Sus Cities Report 20090424151451

An exploration of sustainability in the provision of basic urban services in Indian cities
TERI in partnership with Sustainable Urbanism International and Arghyam, with support from Rohini and Nandan Nilekani
The Energy and Resources Institute 2009
ISBN 978-81-7993-225-4
All rights reserved. No part of this publication may be reproduced in any form or by any means without prior permission of the copyright holders.
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Contents
Project team ...................................................................................................... xi Acknowledgement ............................................................................................. xiii Foreword ......................................................................................................... xv A preamble to urban sustainability in India .......................................................... xvii Summary ........................................................................................................ xix Introduction .................................................................................................... lxiii
Water
Introduction ............................................................................................................ 3 Literature and case study review .............................................................................. 4 Supply side management ................................................................................. 5 Demand side management .............................................................................. 7 Institutional mechanisms for water and waste water sector ............................. 12 Lessons learnt ............................................................................................... 13 Developing the framework for analysis ................................................................... 14 Data procurement and management .............................................................. 15 Economic efficiency ...................................................................................... 16 Source development / protection ................................................................... 16 Institutional reforms ...................................................................................... 17 Analysis of the sustainability parameter in urban India ........................................... 17 Data management ......................................................................................... 18 Source protection/ development .................................................................... 19 Economic efficiency ...................................................................................... 19 Institutional reforms ...................................................................................... 20 Recommendations to operationalize the parameters ............................................... 22 Parameter 1: Data management ..................................................................... 23 Parameter 2: Economic efficiency .................................................................. 24 Parameter 3: Source development/ protection ................................................ 29 Parameter 4: Institutional reforms ................................................................. 32 Recommendation for small and medium cities ....................................................... 34 Recommendations for informal markets and urban slums ...................................... 35 Recommendations for capacity building ................................................................ 36 Capacity building at four levels ...................................................................... 36 Training methodology ................................................................................... 37 Funding for the cities ............................................................................................ 37 Annexure 1: Framework for GIS database system .................................................. 38
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Annexure 2: Training modules ............................................................................... 38 References ............................................................................................................. 40
Solid waste management

Introduction .......................................................................................................... 45 Literature and case study review ............................................................................ 45 Best practices in selected urban settings: national case studies ........................................................................................................... 47 1 Location: Mumbai ...................................................................................... 47 2 Location: Delhi .......................................................................................... 48 3 Location: Chennai ...................................................................................... 49 4 Location: Bangalore .................................................................................... 50 5 Location: Hyderabad .................................................................................. 51 6 Location: Nagpur ....................................................................................... 53 Examples from cities in transition .................................................................. 53 Best practices documented in Indian cities under JNNURM .......................... 55 International best practices ............................................................................ 55 11 Location: Brazil ....................................................................................... 57 12 Location: Belo Horizonte City (Brazil) ...................................................... 57 Developing a framework for analysis: solid waste management .................................................................................................. 59 Defining sustainability in solid waste management ......................................... 59 Current scenario of solid waste management in India ............................................ 60 Municipal solid waste (Management and Handling) Rules, 2000 ........................... 62 Responsibility for implementation ................................................................. 62 Major issues affecting solid waste management in India ......................................... 62 Technical issues ............................................................................................. 63 Institutional issues ......................................................................................... 63 Regulatory issues ........................................................................................... 64 Social issues .................................................................................................. 64 Compliance with MSW Rules 2000 ............................................................... 65 Obstacles to private contracting in SWM ....................................................... 67 Identifying the sustainability parameters ................................................................ 68 Field-testing of sustainability parameters ....................................................... 69 Compliance with issues related to overall operation of local bodies ........................................................................................................... 70 Basic details of selected cities ......................................................................... 70 Service provision in an integrated manner ...................................................... 71 Provision of cost recovery .............................................................................. 71 Users satisfaction with service provision ........................................................ 71 Compliance with issues related to provision of MSW Rules ................................... 72 Conclusions .................................................................................................. 72
Contents
Recommendations for operationalization of sustainability parameters .................... 72 Indicators for operationalization ............................................................................ 73 Parameters related to MSW Rules ................................................................. 73 Overall parameters ........................................................................................ 73 Parameters related to MSW Rules ................................................................. 74 Overall parameters ........................................................................................ 80 Institutional and aspects influencing sustainability ................................................. 81 References ............................................................................................................. 82
Transport
Literature and case study review ........................................................................... 85 Defining sustainable transport ...................................................................... 85 Singapores land transport policy .................................................................. 87 Sustainable Transport Plan of Auckland ....................................................... 89 Integrated land use and transport planning in Curitiba ................................ 90 Dedicated public transport system in Bogota ................................................ 91 Public transport performance monitoring in Victoria .................................... 92 Indores PPP model for urban bus operations ............................................... 95 Reforms to improve bus services in Bangalore .............................................. 98 Identifying the sustainability parameters for transport ........................................ 100 Improving the share and quality of public transport: a key step for making urban transport sustainable ......................................................................... 102 Identifying parameters for assessing the sustainability of public transport... 104 Analysing the existing situation ........................................................................... 105 Inadequate policy thrust ............................................................................. 106 Legal and institutional issues ...................................................................... 107 Lack of organizational coordination ............................................................ 108 Inadequate availability ................................................................................. 108 Poor accessibility ......................................................................................... 110 Poor quality and image ............................................................................... 110 Data challenges ........................................................................................... 110 Operational challenges ................................................................................ 110 Improper planning for routes and fares ....................................................... 111 Lack of priority ........................................................................................... 111 Absence of performance measurement ........................................................ 112 Lack of focus on customers ........................................................................ 113 Absence of demand management measures ................................................ 113 Capacity and human resource issues ........................................................... 113 Challenges for the small and medium-sized cities ....................................... 116 Recommendations for transport .......................................................................... 117 Policy, organizational, and operational reforms ........................................... 117
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Goals and indicators for sustainable public transport services ........................................................................................................ 122 Goals for improving availability of public transport .................................... 122 Goals for improving accessibility ................................................................. 123 Goals for improving transport performance for customer convenience ....... 123 Developing an overall mobility and transport infrastructure plan for the city ..... 125 Specific recommendations for achieving the goals ....................................... 126 Fleet augmentation with private sector participation ................................... 126 Improving access ......................................................................................... 127 Improving operations .................................................................................. 128 Improving internal efficiencies, monitoring performance, and setting benchmarks ................................................................................................. 130 Priority to public transport ......................................................................... 131 Becoming customer oriented ..................................................................... 131 Supporting demand management strategies ................................................ 132 Identifying financing options ....................................................................... 132 Strengthening human resource development and capacity building ............ 133 Preserving the share of public transport trips in the small and medium towns .......................................................................................................... 134 Data requirement ................................................................................................ 135 Conclusion .......................................................................................................... 136 References ........................................................................................................... 137 Bibliography........................................................................................................ 139
Power
Literature review ................................................................................................. 143 Defining sustainability in the power sector .................................................. 143 International review .................................................................................... 144 National review ................................................................................................... 151 Jamshedpur ................................................................................................. 151 Identifying the sustainability parameters for power ............................................. 157 Access to electricity ..................................................................................... 158 Energy efficiency ....................................................................................... 158 Impact on the environment ....................................................................... 158 Quality of supply and quality of services ..................................................... 158 Analysing the existing situation ........................................................................... 159 Access to electricity ..................................................................................... 159 Energy efficiency ......................................................................................... 163 Impact on the environment ......................................................................... 168 Quality of supply and services ..................................................................... 172 Recommendations ............................................................................................... 175 Access to electricity ..................................................................................... 175
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Energy efficiency ......................................................................................... 179 Impact on environment ............................................................................... 183 Quality of supply and services ..................................................................... 185 Capacity building requirements .................................................................. 186 References ........................................................................................................... 187 Bibliography........................................................................................................ 188 Websites .............................................................................................................. 188
Buildings
Introduction ........................................................................................................ 191 Literature review ................................................................................................. 191 Sustainability in buildings ............................................................................ 192 Sustainable buildings: principles, approaches, and characteristics ................. 193 Relation with the location ............................................................................ 193 Flows: energy, water, and materials .............................................................. 193 An overview of international and national best practices ...................................... 196 Country programmes .................................................................................. 196 Energy efficiency assessment: appliances ...................................................... 200 Implementation and incentivizing ................................................................ 200 Water efficiency at building level .................................................................. 201 Building materials specification.................................................................... 201 Waste management ...................................................................................... 201 Sewerage ..................................................................................................... 201 Economic and market-based instruments .................................................... 201 City-specific programmes ............................................................................ 202 National best practices ........................................................................................ 212 Ministry of New and Renewable Energy ...................................................... 213 Identifying the sustainability parameters for buildings .......................................... 217 Sustainability goals ...................................................................................... 217 Basic research framework............................................................................. 217 Analysing the existing situation: buildings ............................................................ 218 Building sector observations ........................................................................ 219 Implementation barriers .............................................................................. 222 Recommendations ............................................................................................... 229 Policy instruments ....................................................................................... 230 Implementation strategy .............................................................................. 231 Framework for broad guidelines/bye-laws amendments at ULBs .................. 236 Disaster preparedness .................................................................................. 239 Awareness programme for government departments and undertakings ......... 243 Publicprivate alliances, corporates, and role of government bodies in capacity building and market transformation ............................................... 244
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R&D in new construction technologies and materials and establishment of testing laboratories ...................................................................................... 246 Enforcement and monitoring ....................................................................... 247 Baseline development .......................................................................................... 247 Indicators .................................................................................................... 249 Annexure 1 ......................................................................................................... 251 Annexure 2 ......................................................................................................... 255 References ........................................................................................................... 257 Bibliography ........................................................................................................ 258 Websites .............................................................................................................. 259
Governance
Literature review ................................................................................................. 263 National review ................................................................................................... 263 Surat Municipal Corporation ...................................................................... 264 Ludhiana Municipal Corporation ................................................................ 266 Municipal Corporation of Hyderabad .......................................................... 267 Guntur Municipal Corporation ................................................................... 269 Case studies of best practices addressing specific good governance parameters ..... 269 Financial capacity ........................................................................................ 269 Citizens participation .................................................................................. 271 Transparency and accountability ................................................................. 272 Equity ......................................................................................................... 274 International review ............................................................................................. 274 Citizens participation .................................................................................. 276 Transparency and accountability ................................................................. 278 Capacity building and training ..................................................................... 279 Defining good governance and parameters of good governance ............................ 280 Research framework ............................................................................................ 282 Analysing the existing situation: governance ......................................................... 283 Analysis of the legal provisions relating to municipal governance .................. 283 Analysis of the urban reform initiatives ........................................................ 288 Impediments in improved urban governance ................................................ 292 Recommendations for governance ....................................................................... 294 Decentralization .......................................................................................... 295 Capacity ...................................................................................................... 297 Public participation ..................................................................................... 302 Equity ......................................................................................................... 303 Sustainability cell ........................................................................................ 304 Provision of basic services by municipal bodies in case of transitioning cities ... 304 Addressing interlinkages with other sectors .......................................................... 308 Intersectoral linkages ................................................................................... 308
Contents
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Buildings ..................................................................................................... 308 Annexure ............................................................................................................ 314 References ........................................................................................................... 315 Bibliography ........................................................................................................ 315
Theme papers
1 Sustainable services in slums: need for an alternative approach ......................... 319 2 Informal markets for basic urban services ......................................................... 329 Conclusion ....................................................................................... 333 Abbreviations ................................................................................... 337
Project team
TERI (The Energy and Resources Institute)
Project advisor
S Sundar, Distinguished Fellow
Principal investigator
Chhavi Dhingra, Research Associate
Co-principal investigators
Water - Anamika Barua, Research Associate Solid Waste Management - Suneel Pandey, Fellow Transport Chhavi Dhingra, Research Associate Buildings - Hina Zia, Research Associate Power - Saurabh Gupta, Research Associate Governance - Veena Aggarwal Associate Fellow
Team members
Akshima T Ghate, Research Associate Gaurav Shorey, Research Associate K Ramanathan, Distinguished Fellow Kiran Bala, Research Associate Sakshi Chadha Dasgupta, Research Associate Shahid Hasan, Fellow Sudipta Singh, Research Associate Divya Sharma, Research Associate Jeevan Mohanty, Research Associate Kaushik Deb, Fellow N B Mazumdar, Consultant Saurabh Prasad, Research Associate Shikha Gandhi, Research Associate Vinod Tewari, Professor, TERI University
Reviewers
Ashok Jaitly, Distinguished Fellow Prabir Sengupta, Distinguished Fellow
Secretarial assistance
Sonia Khanduri
TERI Press
Arshi Ahmad, Senior Editor Rajiv Sharma, Secretarial Assistant R Ajith Kumar, Assistant Graphics Designer T Radhakrishnan, Production Manager
SUI (Sustainable Urbanism International)

Jyoti Hosagrahar, Director
Acknowledgements
TERI would like to express its deep gratitude to Dr Nandan Nilekani and Mrs Rohini Nilekani for not only providing the financial support to undertake this study, but also for their vision for this study. We also thank Dr Nandan Nilekani for his active participation in review meetings at various stages of the study. TERI is also grateful to its partners SUI (Sustainable Urbanism International) and Arghyam. In particular, we are grateful to Dr Jyoti Hosagrahar of SUI for her valuable comments and useful insights at various stages of the project. TERI gratefully acknowledges the active participation of a large number of stakeholders, including sector experts, academia, practitioners, government agencies, bilateral and multilateral donor agencies, the private sector, NGOs, and users, and their valuable comments and views on the study, which they shared during the two external consultation meetings organized by TERI at the beginning and near the end of the study. TERI would also like to express its gratitude to the following individuals for sparing their valuable time and providing constructive inputs that were helpful in writing the report. P B Dutta, Director, Meghalaya Urban Development Authority, Government of Meghalaya P Hima Muktan Shangpliang, Transport Commissioner, Meghalaya State and CEO, Municipal Board, Shillong P P S Kharola, Joint Secretary, D/o Administrative Reforms and Public Grievances, Administrative Reforms Commission, Government of India P S R Rao, Principal Secretary, Urban Development and Urban Housing Department, Government of Gujarat P S Aparna, Commissioner, Surat Municipal Corporation Visiting three very different Indian cities and understanding how urban service delivery is planned, managed, and monitored in these cities, formed an integral part of this study. TERI is extremely grateful for the valuable insights and cooperation received by personnel working with various departments and institutes involved with planning and management of urban service delivery in Surat, Hyderabad, and Shillong.
Foreword
With the rapid pace of urbanization worldwide, urban sustainability has become a very important issue today. According to the State of the Worlds Cities Report 2008/09, nearly 60% of the worlds population will live in urban areas within the next two decades, and it is in the developing countries that this growth will take place most rapidly. In India itself, the number of million-plus cities is expected to increase significantly in the next decade. Unless properly planned and managed, this growth will result in urban sprawl, mounting stress on infrastructure, creation of slums, a widening richpoor divide, deteriorating quality of urban services, and increased environmental pollution and energy use. The concept of sustainable cities represents an overarching challenge and includes addressing social, environmental, and economic sustainability concerns, along with the interlinkages between them. A good, practical and much-needed starting point in the direction of attaining urban sustainability is improving the delivery of basic urban services. This report, in addition to addressing sustainability issues in the delivery of basic urban services like water, management of municipal solid waste, and transport, also analyses sustainability issues in sectors like supply of and use of power and buildings, which offer a huge scope for energy-efficiency improvements. It also attempts to bring facets of their planning and management under the purview of local governments. This report also addresses the interlinkages between these sectors and emphasizes the need for a holistic approach in planning. Interestingly, the Government of Indias National Action Plan on Climate Change, in its Missions on Sustainable Habitat and Water, also endorses these five sectors for inter ventions to reduce energy use and emissions. Clearly, recommendations for improved service delivery in cities cannot be complete without appropriate regulatory frameworks and institutional arrangements to empower city governments with adequate financial resources, institutional capacities, and more importantly, good governance practices, all of which the report seeks to address. I am pleased that TERI has been recognized by the Ministry of Urban Development as a Centre of Excellence in Urban Development with a focus on urban governance and buildings sectors, thus giving it an opportunity to translate its recommendations into practice. It is heartening to see that the Government of India is committed to monitoring outcomes and is in the process of introducing a system of indicators to measure and monitor sustainability in the provision of urban services. This report, besides adding to these indicators, makes recommendations on improved urban service delivery and charts out actions to implement these recommendations in cities. It is hoped that governments at the national, state, and local levels will find this report of value, and adopt the strategies and measures suggested as part of the urban development polices and programmes.
(R K Pachauri) Director-General, TERI
A preamble to urban sustainability in India

Sustainability as a concept came about in response to the environmental degradation and overconsumption in the highly industrialized economies. The Brundlandt Commission defined the objectives of sustainability as improving human well-being in the short term without threatening the local and global environment in the long term. This was further refined as a need to balance economic development, social development, and environmental protection as they were interdependent and mutually reinforcing forces. Despite many other subsequent international standards and guidelines, including Agenda 21, however, the concept of urban sustainability remains nebulous. At a time when India is rapidly urbanizing and the cities are increasingly the engines of its growth, this project began by asking what sustainability means in the Indian context and how Indian cities can be made sustainable. In the context of urban India, sustainability involves the careful management of natural and cultural resources to balance the pressing needs of economic and social development of the present, bearing in mind equity and efficiency considerations, with the protection of resources and ecosystem functions for the future. Cities in India, ranging from fast growing mega-metros to small towns, prone to seismic and hydro-metrological disasters, face the dual pressures of rapid economic growth and grossly inadequate infrastructure and social amenities. The multiple dimensions of sustainability, including water, waste, power, health, education, and finance, are all interrelated. Given the reality of Indian cities, with a very large proportion of the residents living and working in the non-formal sector, and a poor fiscal base, the management of resources needs to embrace a variety of levels and diverse practices, ranging from the formal private and state sectors to community-managed local systems. Enabling and facilitating the adoption of a diversity of solutions, appropriate to the context, and facilitating their seamless integration to enhance the multiple and complex dimensions of sustainability is a critical challenge for Indian cities. Exploring ways to enhance sustainability of Indian cities and its many dimensions in the provision of basic infrastructure is an important first step towards making cities sustainable. This study and its recommendations begin an important and necessary debate about urban sustainability in India. By looking closely at urban local bodies and their provision of basic services, identifying gaps in their effectiveness and ways to improve service delivery, cities can begin the process of reform towards sustainable provision even within the existing administrative and institutional framework. Putting policies and regulations in place to promote energy efficient buildings is an extra step that city governments can take in reform towards sustainability. The paucity of data and the value of data collection in each of the basic urban services become very apparent. From setting sustainability goals to evaluation and monitoring, the absence of precise and reliable data hinders efficient and effective provision of services. Educating and raising the awareness of communities and officials alike as well as building up the capacities of institutions are equally vital steps towards achieving sustainability goals. With this effort as a starting point, a larger conceptualization of what sustainable cities mean in India is essential. The provision of basic infrastructure is one generally accepted dimension
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A preamble to urban sustainability in India
of sustainability (that includes water supply, sanitation, garbage removal, energy, adequate housing, and transportation). Urban water bodies, trees and green areas, health, education, and disaster preparedness are additional dimensions of sustainability. In the Indian context, the numerous and varied informal systems of providing necessary urban services, not only in the slums but everywhere in the city, further complicate simple models of intervention. The institutions that govern these informal and semi-formal systems and the equity of access to municipal infrastructure are added dimensions of sustainability that need to be addressed. The need for an urban vision of sustainability and planning towards it become all the more urgent as disasters and climate change become pressing issues. The need for an understanding of urban sustainability in terms of culture is particularly pressing. Beyond monuments and museums, the cultural particularities of places, including local knowledge and practices, have generally been discarded in the rush to modernize. Further, globalization erodes local knowledge and identities. An expanded view of cultural heritage recognizes its role in livelihood creation, practices of land and natural resource care and management, building, land use, institutional mechanisms (both formal and informal), markets and infrastructure systems that often call for a judicious and careful use of local resources. Local knowledge and cultural practices also help to establish a continuum between urban and rural areas as well as formal and informal ways of living and working. From this perspective, heritage becomes a resource for development that is sustainable: the connective tissue that links spatially as well as temporally connecting our past with present aspirations for the future. The success of our endeavours for urban sustainability will hinge on the ability to identify and engender solutions that balance the needs of formal systems with local, historically informal practices, market efficiency with state protection for the marginal, and place-based cultural heritage with modern technocratic practice. Jyoti Hosagrahar Director, Sustainable Urbanism International
Summary
Introduction
Cities are spatial manifestations of human and economic activities and evolve through a complex process determined by a number of economic, demographic, social, and historical factors. Their development needs to be planned, guided, and monitored to achieve an optimal utilization of resources required to make them sustainable, socially habitable, economically efficient, and administratively manageable. Usually, cities occupy a fraction of any countrys area; however, they consume a major share of energy and result in much greater pollution levels. So far, there has been no standard definition of a sustainable city that is unanimously accepted by all. Sustainability being a broad overarching term, encompasses a number of aspects. A sustainable city cannot be conceived without considering factors like environmental protection, social integration, a sustained economy and good governanceall being a part of a harmonious and dynamic coevolution. Of all the lessons that emerge from a review of literature and case studies on the subject of making cities sustainable, the following emerge most strongly. P Presence of well-functioning infrastructure. P Existence of a legal framework that enables and empowers governments/departments to set up goals, create roadmaps, and carry out the necessary implementation measures. P Presence of well-coordinated institutional and governance mechanisms and unified bodies enabling implementation of integrated sustainability measures. P Existence of strong political leadership and will. P Setting of clearly defined goals and measurable targets and stage-wise review and monitoring of plans and targets with necessary updating wherever required. P Implementation of a continuous, interactive and iterative multistakeholder participatory process involving both sectoral experts and general community throughout.
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SUMMARY
Summary
P Execution of demonstration projects to win public support and acceptance. P Presence of sense of ownership and responsibility amongst citizens. P Replication of successful initiatives by other cities. What also emerges is that a key step and good starting point for making cities sustainable making the delivery of urban services in a city more sustainable. Since a citys population is dependent on services like water, sanitation, power, transport, buildings, etc., for its survival, it is important that these services be planned, delivered, managed, and monitored in a proper way so as to ensure adequacy, equitable access, good quality, and least harm to the environment. In the backdrop of Indias rapid population growth and mass urbanization, the stress on urban infrastructure has resulted in a greater number of people that need to be served, deteriorating service quality, inadequate revenues to cover costs, widening richpoor divides, and the need for capacity augmentation both in terms of skills and physical infrastructure. Poverty, traffic congestion, bad air quality, high noise levels, lesser green areas and open spaces, scarcity of water, long power cuts, unhygienic living conditions leading to serious diseases, etc., are all increasingly putting our cities under the threat of unsustainability. In light of the above, this study on exploring sustainability in the provision of basic urban services in Indian cities as a step towards making cities more sustainable was initiated by TERI, in partnership with SUI (Sustainable Urbanism International) and Arghyam, in March 2008, with the support of Dr Nandan Nilekani and Mrs Rohini Nilekani. TERI hopes that this report will help key stakeholders, particularly state governments and urban local authorities to plan, manage, and monitor the provision of these services in a sustainable manner. TERI also hopes that the recommendations emerging from this study will influence public policy and become part of urban development policies and programmes in India.
Project objectives and scope

As a step towards the larger goal of making Indian cities more sustainable, this study aims to identify processes that would make service planning and delivery in Indian cities more sustainable in the following five urban sectors. P water P solid waste management P transport P buildings P power This is done by identifying P what sustainability in each sector implies;
Summary
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P a framework of parameters and indicators to assess sustainability of a service; P the existing situation in Indian cities with regard to the identified parameters; P recommendations to operationalize sustainability-related actions in Indian cities for each sector; P supporting policy, legal and organizational arrangements, and data and capacity requirements including making suggestions to be incorporated in the JNNURM (Jawaharlal Nehru National Urban Renewal Mission). Recognizing that deficiencies in the existing governance structures adversely impact urban service delivery, in addition to the above-mentioned five sectors, this study also looks at governance as a separate sector. Recognizing the Ministry of Urban Developments pioneering work in the development of a handbook for standardized service delivery benchmarks in context of Performance Management of Urban Services, this study, wherever necessary, suggests additional parameters in the said sectors. This study also focuses on the current planning and delivery processes, and the institutional, regulatory, and capacity issues that are necessary to operationalize these parameters for urban services. In addition, this study also looks at the buildings and electricity sectors and explores the possibility of including them in the current urban development policy scenario, and involving the local governments in their planning and management, as they have great implications for energy and environment, and therefore, sustainability of urban areas. The study acknowledges the issues of informal markets for urban service delivery and provision of basic services to the urban poor, and attempts to flag the key issues and suggest alternative policy directions.
Project methodology
For each of the six sectors (five urban services plus governance) mentioned above, the following methodology was adopted by TERI. P A literature and case study review on best practices for achieving sustainability in urban service delivery. P Identification of parameters necessary to assess sustainability of the service. P Evaluation of the current situation in urban India through secondary sources and visits to three cities to understand the extent to which these cities are addressing the sustainability parameters; the issues/impediments to sustainability; the extent to which some of the identified parameters are feasible to be operationalized; any good practice on sustainability which could be replicated in other cities; P Making recommendations to operationalize sustainability related actions in Indian cities.
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SUMMARY
Besides this, regular interactions and knowledge sharing activities with various stakeholders like city authorities, service providers, academia, NGOs, and research institutions working in these sectors were carried out through visits to cities, as well as wide ranging consultation meetings were held at Delhi. The subsequent sections summarize the key findings for each of the sectors. Each sector discusses the definitions of sustainability, the parameters identified to assess sustainability and the recommendations for operationalizing the identified sustainability measures in Indian cities. This study seeks to identify the major sustainability concerns in the provision of basic urban services and recommends how they can be best addressed in Indias growing cities. The study should be viewed not as a treatise on the subject but as a guide to the way forward.
Summary: Water
Introduction
Providing safe and adequate water to millions across the growing number of cities in the developing countries like India, is a daunting task for the urban authorities. Water scarcity has intensified in most Indian cities over the past few decades and this is to a large extent due to the inequitable distribution and inefficient use of water. In addition to this, lack of good infrastructure/techniques for monitoring, treatment facilities, along with poor management of waste water, have also contributed towards widespread pollution of surface and groundwater, leading to rapid deterioration of the environment. The urban centres are also faced with the emerging reality of informal markets and growing complexities in the urban slums which require specialized interventions. Thus, it has become imperative to understand and devise mechanisms to provide acceptable quality and quantity of water to all urban areas through sustainable water management practices.
Defining sustainable water services

Based on an in-depth study of good practices and measures adopted across the world the following definition was arrived at for addressing sustainability in the water sector in urban areas. Providing people with equitable access to water, while at the same time ensuring socio-environmental and economic sustainability of the resources in the future.
Parameters for analysing sustainable water management in urban India

An in-depth analysis was carried out after a review of good practices to develop a framework of sustainability parameters for water management in urban India that integrates socio-economic and environmental dimensions. The MoUD (Ministry of
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Urban Development) has identified key benchmarking indicators for the various basic services including water supply for the Indian cities. The indicators cover a wide variety of issues related to coverage, access, quality, continuity of water supply, efficiency in redressal of complaints, cost recovery, collection efficiency of waste water, etc., that would be crucial to improve the water supply services in the cities across the country. Further, TERI has developed few additional parameters like data management, capacity building, and source protection to make the list exhaustive. TERIs recommendations also include the process of achieving and operationalizing the benchmark set for each MoUD indicator. The framework developed by TERI for sustainable water management along with the MoUD indicators can be broadly classified into four components.
The existing situation

ULBs (urban local bodies) in India suffer from several deficiencies and are yet to respond adequately to the emerging challenges posed by the rapidly changing urban scenario. Table 1 Parameters of sustainable water management
Parameter Data procurement and management Description
For improved reach and access to quality service, utility provider will need to have adequate data both at supply and consumer end. There is also a need to generate spatial-temporal data base system to be maintained on a GIS framework. Hence, data procurement and management has been developed as an additional parameter to enhance service delivery by utilities. Economics of water Effective water resource management requires water to be treated as an economic good. There is a need for sustainable and equitable tariff structure and efficient revenue collection. Such measures will be instrumental in improving the utilitys financial conditions, increasing revenue collection, reducing water losses, and so on. Source development With the growing water demand in urban India, there is an urgent need to manage and /protection preserve the available water resources for their long-term sustainability. Water resources in India have already reached a critical stage be it surface or groundwater, for which an integrated approach is required in planning, formulation, and implementation with respect to socio-economic, environmental, and ecological aspects. Institutional reform Institutional mechanism is an important parameter, as a strong institutional setup is required to make it conducive to operationalize other parameters in the framework. Within this parameter, it is also important to include the marginalized section such as urban slums) so that these sections of the society are not deprived of their share. Along with reviewing and revamping the existing institutional setup, it is equally important to find ways to regularize the informal water market. GIS geographical information system
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SUMMARY
For each of the above parameters, the existing situation was analysed. Data procurement and management: Except for very few cities, most of the local bodies in urban India lack data on the municipality services. Lack of adequate data and updated maps make it very difficult for the local bodies to improve service delivery since this information is crucial to manage the water works department efficiently and effectively. Economics of water: In most cities in India, service providers are not being able to recover the operation and maintenance cost, which has led to poor service delivery. There is no financial autonomy or equitable tariff structure for efficient revenue collection. Source development/protection: In most of the Indian cities, there is no provision for protection of the existing source from degradation and depletion. Thus, having exhausted, destroyed, and polluted the nearby sources and n e g l e c t e d using the potential of local sources, cities are reaching out to far away sources for their water supply needs, which are not only expensive but also energy intensive. Institutional mechanism: In terms of the institutional mechanisms, inadequate policy and regulation combined with a non-transparent and nonparticipatory process is at the root of many water management problems plaguing almost all cities. No or little cooperation exists between the various agencies responsible for the management of water resources in different sectors. Very few cities have attempted to introduce PPP (private sector participation) in India, but have often failed mainly due to the stronghold of public sector and absence of proper PPP model.
Recommendations
The recommendations have been prioritized based on our understanding of the area within the urban water sector where immediate attention is required for improved provision of water supply. However, stated priorities may change for individual cities, as it will depend upon citys needs, capacity, resources, and stage of development.
Parameter 1: data procurement and management

Data management has been accorded the highest priority since data requirement and management will precede all other reform initiatives. An integrated comprehensive water supply network database is important to get a holistic understanding of the entire network, distribution, including inlets/outlets, etc. This data set will also provide information on coverage, UFW (unaccounted for water), metering, and so on, and ways to manage the system more efficiently and effectively. The data will enable cities to develop its future strategies to improve service delivery and achieve the benchmark set for the MoUD indicators. For effective data management, staff capacity has to be regularly developed and updated on elements like data collection, screening and logging,
Summary
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data transfer, data checking, validation, etc. It is acknowledged that not all the water boards, utilities and local bodies have similar capacities, resources, etc. Therefore, it is not possible to create and develop these capacities within the organization. Some of the tasks can be outsourced or farmed out to consultancies, research institutes, and so on, who have dedicated manpower and infrastructure for data management including GIS (geographical information service), MIS (management information system), and so on. However, water boards, utilities and local bodies should create adequate capacities to assign, deploy, utilize, oversee, and manage the outsourced assignments.
Parameter 2: economics of water

The recommendation made under this section is essentially on the processes involved in establishing and implementing effective water loss management strategies (reduce UFW to 10%15%) and tariff rationalization. P Reduction of UFW: A number of options has been suggested which a local body can adopt for loss reduction. They are listed below. reducing water loss through pressure management reducing unmetered supplies/improving meter accuracy reducing UFW through asset management actively controlling leakage to reduce UFW In fact, all the above-stated initiatives to reduce UFWs in the system can be addressed by developing DMAs (district metered areas). It is an integrated way of systematically analysing and addressing the issues in a designated area. Hence, the recommendation includes reducing UFW through creation of DMAs. P Tariff rationalization: An alternative to the current tariff structure (flat rate) is the two-part tariff structure. Such a tariff design typically includes a consumption/ volumetric rate in addition to the fixed water charge. The two-part tariff structure should be gradually increased over the years with 100% metering and consumers start paying for the water they consume. To operationalize the two-part tariff structure, independent regulatory authority at the state level needs to be set up and should be given adequate power and authority. Roles that the authority can play include the following. Set principles for tariff setting/baseline parameters Monitor regularly based on incentives and disincentives Hear consumer appeal/case/conflict settlements Apart from adopting cost-coverage principles for tariff rationalization, local bodies should also look for ways to reduce their O&M (operation and maintenance) cost. Local bodies should make all efforts to reduce operational wastage and improve costeffectiveness.
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Parameter 3: source development/protection Catchment protection and non-conventional water sources

Catchments/ water bodies should be conserved from encroachment. Traditional water bodies should be restored before looking for alternative expensive augmentation measures like desiltation / import of water from far off sources. Non-conventional water sources like rainwater harvesting, flood-water harvesting can be used as complementary supplies for water utilities.
Groundwater monitoring
P Strict enforcement in notified areas towards inadequately controlled groundwater abstraction and excessive subsurface contamination load. The zones which are non notified should be also monitored and brought under regulation areas. P It should be made compulsory for the water intensive industries within the city limits to recharge groundwater though artificial means like rainwater harvesting. P A system of annual water and environmental audits needs to be put in place to monitor the corporate efforts towards conservation of water (also in the areas surrounding the plant) in a transparent manner. P Before establishing a new plant, water availability needs to be assessed from a long term and ecosystem perspective, keeping in mind the present and future potential of competing with the water demands in the area.
Water quality
P In order to provide more clarity about the prescribed water quality standards provided by BIS (Bureau of Indian Standards) there is a need for thorough reevaluation of the setting of standards of the quality of drinking water by BIS, which again should incorporate the views of different stakeholders like research institutes, NGOs, and water experts. P Waste water management to control water pollution: There should be some standards/guidelines for various reuse of treated waste water. Although at present, there is a general guideline on the quality of waste water for reuse, in order to encourage reuse of waste water for different purposes like irrigation of public parks, schools yards, highway, and residential landscapes, fire protection and toilet flushing in commercial and industr ial buildings, recreational impoundments such as ponds and lakes, environmental reuse by creating artificial wetlands/natural wetlands and industrial reuse, and so on, separate guidelines for each use should be made available by CPCB (Central Pollution Control Board).
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Parameter 4: institutional mechanism

To implement all the above-mentioned recommendations a sound institutional framework is a prerequisite. Some of the institutional reforms that need to be taken up for proper enforcement of the recommendations made are the following. P The existing institutional framework dealing with groundwater needs to be strengthened, which calls for review of the institutional responsibilities and legal provision. SWP (State Water Policy) should be enacted through a legal framework and effectively enforced. The SWP should identify the institutional mechanisms necessary for defining and enforcing physical limits to ground water extraction. P Publicprivate partnership needs to be explored further in areas such as service contract (billing and collection), management contract (water treatment, etc.), small piped networks, leakage control/reduction, mapping of distribution network. Public community partnership can be developed through development and implementation of decentralized water system.
Further recommendations
Capacity building
P The ULBs need to be made aware of the full range of low-cost and appropriate water-saving technologies and need to be provided with skills to assist with their selection. P The ULBs are required to be sensitized and encouraged to be responsive to the specific needs of socio-economically vulnerable groups. The main aim of the training should be to motivate and assist the ULBs and generate awareness. P Different levels of need-based training should be provided to the entire staff of the local bodies on a regular basis to enhance the current skill set of functionaries and to enable them to perform the envisaged tasks more efficiently.
Recommendation for small and medium cities and urban slums

For residents of small/medium cities with little piped water coverage, the existing service delivery should be improved through the following. P Improvement in the condition of tankers, regular cleaning schedule for the tankers, inspection schedule for adequate residential chlorine in the tankers, metering of water supplied through tankers and stand posts. Supplies based on tankers and stand posts should be gradually replaced by piped water supply system. P Water supply in urban slums can be regularized through acceptance of proof of residence such as ration card, voters ID (identity), and ID issued by the state as application requirement instead of land tenure documents, reduction of connection fees which can also be paid in instalments, simplification of application procedures, and implementation of pro-poor tariff structure.
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To operationalize the above-mentioned recommendations, the initial funds need to be made available by the centre to the cities, under various city development schemes. In addition, any developmental/reform initiatives undertaken by the city, state or central government should lay adequate emphasis on incorporating crucial components like water demand management, and institutional reforms and capacity building of the local urban bodies both at the planning and implementation phases. Initiatives like the JNNURM can serve as an appropriate platform to undertake these initiatives in selected cities, thus setting the road map for future reform programmes.
Summary: Solid waste management

Introduction
Rapid urbanization and changing lifestyles are generating huge amounts of municipal solid waste in the urban areas in the country. It is found littered all over the city landscape leading to unsanitary living conditions. Waste management is one of the basic essential services provided by municipal authorities in the country to keep urban centres clean. However, it is one of the most poorly rendered services in the basket of the basic services of the ULBs. The present abysmal state of solid waste management in urban India, therefore, calls for urgent measures to ensure that waste management services are provided in a sustainable manner.
Defining sustainability in solid waste management

Review of literature
Review of literature on solid waste management initiatives in cities was carried out to identify elements of sustainability and define sustainability in solid waste management in the context of Indian cities. Review of literature revealed the following key elements in different cities ensuring long-term sustainability of solid waste management services. P Legislative/policy measures to maximize recycling of waste and its diversion from landfills. P Implementation of integrated waste management system linking waste collection and transportation to processing and disposal. P Achieving waste segregation by involving waste pickers and local community. P Performance-based privatization of services especially in the area of waste collection, transportation, and processing to bring in efficiency. P Provision of performance-based tipping fee to improve project viability. P Establishment of task force and dedicated cell for solid waste management at the municipal level.
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P Role of civil society in providing decentralized waste management services in peripheral/marginalized areas where municipal service is weak. P Provision of MSW (municipal solid waste) services to be in sync with economic/ social needs for the urban poor to ensure its wider acceptability. P User fee is necessary to recover cost of service provision, collection of fee can be linked to bill for other utilities like electricity bill to ensure better compliance.
Sustainability definition and parameters

As per the reviewed literature, sustainable solid waste management can be defined as a process seeking appropriate levels of source segregation, recycling and resource recovery with environmentally appropriate technologies and involving cost recovery mechanisms for long-term financial sustainability leading to conservation of natural resources by minimizing the health, environmental and aesthetic impacts of solid wastes. Sustainability in solid waste management would therefore essentially mean: P complete planning from primary collection to final disposal of the ultimate waste in an environmentally sustainable manner P compliance with the rules and regulation applicable P compliance with projects that are implementable through interactive planning involving all the stakeholders P long-term maintenance of the project P quality service that would satisfy citizens P service coverage that includes the slum areas So, sustainability in delivery of waste management services is defined as a process seeking appropriate levels of source segregation, recycling, and resource recovery with environmentally appropriate technologies and involving cost recovery mechanisms for long-term financial sustainability leading to conservation of natural resources by minimizing the impact of health, environmental, and aesthetic factors of solid wastes. The most applied tool for achieving sustainability in waste management is to adopt the concept of ISWM approach (integrated sustainable waste management). The concept of ISWM recognizes three important dimensions in waste management. 1 Involvement of the stakeholder 2 Technical and management-related aspects 3 Local context affecting sustainability in a given geographical setting Apar t from these issues, there are also regulator y provisions as stated under MSW Rule, 2000 notified by MoEF (Ministry of Environment and Forests), Gover nment of India. The MSW Rules specify the necessar y conditions to be adopted by ULBs to enable them to perform solid waste management services
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in an environmentally and socially desirable manner. These conditions include segregated doorstep collection of waste, proper processing, and sanitary disposal. One of the foremost outcomes of urban growth seems to be its linkage with the growth of waste generation in cities. There is therefore the desired need to decouple growth and waste generation to be able to achieve sustainability in waste management. Sustainable solid waste management delivery therefore addresses the following issues: P provision of services in an integrated manner by ULBs P provision for cost recovery P satisfaction of citizens with the solid waste management services P adherence to MSW rules by ULBs
Operationalization of sustainability parameters

Operationlization of selected parameters for sustainability of solid waste management services in the cities are intended to be achieved by the carrying out the following steps. P Selecting suitable indicators for each of the parameters P Defining the selected indicators P Defining at what levels and frequency the indicators should be monitored for solid waste management in a city The MoUD (Ministry of Urban Development) in its Handbook on Standardised Service Level Benchmarks has also identified a set of performance indicators for ULBs. It is expected that once local bodies start monitoring their performance and report the achievement of the benchmarks listed as per the given indicators, there will be inherent improvement in their performance. With respect to MSW, the following service areas have been covered. The above-mentioned performance indicators are a must for any city to assess the efficiency in the provision of service delivery. However, benchmarks suggested (100%) in five cases are tough to be achieved by ULBs, given their indifferent performance Table 2 Service areas covered with respect to MSW
Indicator Household coverage of SWM service Efficiency of collection of MSW Extent of segregation of MSW Extent of MSW recovered Extent of scientific disposal of MSW Extent of cost recovery of SWM service Suggested benchmarks 100% 100% 100% Not provided as waste varies from city to city 100% 100%
MSW municipal solid waste; SWM solid waste management
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regarding compliance of MSW Rules. This report has suggested the performance indicators largely targeting the attainment of integrated waste management systems, public acceptance, and cost recovery. The report has also suggested progressively improving the benchmarks wherever it was felt that 100% compliance in one would not be possible by ULBs. Table 3 below lists the indicators to be measured with respect to solid waste management and summarizes operational issues associated with these indicators.
Institutional aspects of sustainability in SWM

The subject of SWM has remained neglected for the past several decades in the country. As a result, the level of services is highly inadequate and inefficient as discussed in the previous section. However, with the advent of the JNNURM process and with the coming in of the funding necessary to upgrade the process, the delivery of the Table 3 Operational parameters for sustainability of SWM
Indicators Measurement Suggested benchmarks Implementation issues
Parameter 1: No littering and provision of two coloured litter bins Ward level coverage To be measured biannually 90%100% for larger cities; with litter bins and reported annually 60%75% for smaller to reach to 100% progressively Citizen satisfaction To be measured biannually 75%90% for all cities and reported by SI and bins for biodegradable and recyclable waste
Zero-littering policy for urban areas at national as well as state level Provision of separate covered report annually Wet waste to be collected on daily basis whereas dry waste can be stored at spaces with roofing and in partitioned areas for a week Campaigns, rallies, and street plays, to ensure peoples participation Team of sanitary inspectors at zonal level to monitor littering Heavy spot fines can be strong deterrents; the fines should also cover the administrative charges for constituted monitoring team Citizen satisfaction surveys suggested to be carried out by third party at least annually to maintain the transparency and authenticity of the results of the survey
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Table 3 Contd...
Indicators Measurement Suggested benchmarks Implementation issues
Parameter 2: Doorstep collection of waste in segregated manner Percentage of households To be measured on daily basis 90%100% for larger cities; Provision of trained waste covered by daily at ward, zonal, and city levels 50%70% for smaller; collectors doorstep collection and reported on monthly basis to reach 100% progressively Formalization of informal waste pickers, involvement of NGOs and Percentage of collection 90%100% for larger cities; CBOs for peripheral area efficiency 50%70% for smaller; Contracting out of doorstep to reach 100% progressively collection of waste User fee to be levied on generators, slums to be covered for free Parameter 3: Road/street sweeping on all days Beats cleaned every day To be measured on daily basis 100% for larger cities; Activity to be partly contracted out at ward, zonal and city levels 60%80% for smaller; Sweepers in congested areas to and reported on monthly basis to reach 100% progressively cover 250-350 RMT of road length and in less congested areas to Staff deployed per lakh of cover 400-600 RMT of road length population Ergonomically designed cleaning implements to be used Weekly review and reporting system to be in place Parameter 4: Abolition of open waste storage Percentage of waste To be measured quarterly at stored in open space ward and zonal levels monthly over total storage and reported annually
0% for larger cities; 2530% for smaller cities; to reach 0% progressively
Detailed inventory of open storages and reason for their existence Close/redevelop all open storage areas in parks/greenery
Parameter 5: Transportation of waste in covered vehicles No. of covered vehicles 60%75% for smaller cities Conversion/replacement of open over total no. of vehicles to reach 100% progressively vehicles with closed vehicles available in working order 100% for larger cities; Privatization of transportation of waste with collection to improve efficiency Parameter 6: Treatment of biodegradable waste Percentage of bioTo be measured on daily basis 60% for larger cities; degradable waste generated on daily basis 50%60% for smaller; collected over total waste and reported on monthly basis to reach 100% progressively at city level
Doorstep collection of biodegradable waste in segregated manner Privatization of waste processing,
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Table 3 Contd...
Indicators Percentage of biodegradable waste treated daily over the quantity of biodegradable waste reaching the processing site Measurement Suggested benchmarks Implementation issues
100% for larger cities; linking it with waste collection and 60%80% for smaller; transportation. Government can to reach 100% progressively own land asset and only privatize services Collection of user fee Decentralized processing of organic waste in peripheral areas Mandatory utilization of compost by public utilities
Parameter 7: Minimize waste disposal in landfill; no disposal of organic waste Percentage of waste To be measured on daily basis 50% for larger cities and Maximize recycling and waste disposed over total and reported on monthly basis initially 70% for smaller cities; treatment waste generated at city level both reaching up to 40% in Payment of tipping fee for waste phased manner disposal Need to establish sanitary landfills; regional landfills for small and medium towns Parameter 8: Cost recovery of services Percentage cost recovery To be measured on monthly 60%75% for larger cities ; City administration should be with respect to monthly basis and reported on monthly 50% for smaller cities; reaching authorized to recover cost of expenditure basis at city level 90% in phased manner services Phased targets for cost recovery including smaller cities Accounting system for expenditure and revenues needs to be improved for smaller cities Parameter 9: Citizens satisfaction Citizens satisfaction on To be measured and reported various aspects of SWM on annual/biannual basis which are in public at city level domain
>90% satisfied with the services for larger cities 60%80% satisfied in smaller cities
Through citizens survey or rating by trained observers. Agency can also appoint inspection committee to inspect the cleanliness (third party preferred) Should be mandatory for all ULBs to go for annual survey and present the results in annual report
CBO community-based organization; SWM: solid waste management; RMT running meters
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basic services is supposed to improve in the cities. The funding, however, requires cities to adopt reforms regarding municipal administration in the cities. The reforms at the institutional level are an ongoing process for larger JNNURM cities which are in the process of accessing funds under the scheme. There are however additional measures which would be required to improve the functioning of local bodies in terms of improving management SWM services. These measures can be summarized follows. P Establishment of separate cell for SWM with the municipal body. The cell should be headed by the environmental engineer or civil engineer as against the public health officer as is done still in smaller cities. The cell should be guided by the steering committee of eminent technocrats and senior citizens of the city for planning process P Decentralization of municipal functioning at the zonal level and ward level to bring out the accountability and efficiency improvement as is done in the case of Surat P Formation of ward committees as envisaged under 74th Constitutional Amendment for creating public awareness Inviting the private sector for service improvement and better cost recovery would require local bodies to gain expertise in the preparation of contracts and to understand the technical and legal issues related to the requirements regarding processing facilities, landfill sites, and so on. The technical capacity of local bodies needs to be enhanced to cover such aspects as well.
Summary: Transport
Introduction
The present day urban transpor tation crisis in cities is a major threat to sustainability. Severe levels of local air pollution and GHG (greenhouse gas) emissions, reliance on fossil fuel-based energy sources, rising number of road injuries and deaths, hostile pedestrian environment, high congestion and noise levels, long travel distances and increased travel times, are all negative externalities resulting from the urban transport sector. Based on a review of sustainable transport definitions, good practices and measures adopted both nationally and internationally to address sustainability concerns in urban transport, the following definition for a sustainable transport system in an Indian city was arrived at. A transport system where every individual or commuter category in the city is able to fulfil his or her mobility needs in a quick, affordable, safe, reliable, comfortable, energy efficient and environmentally benign manner. This is also in line with the objectives spelt out by the NUTP (National Urban Transport Policy) of the MoUD for addressing the mobility situation in urban areas.
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A citys transport system affects its sustainability, and one of the key pillars of a sustainable transport system is a sound and efficient public transport system. 1 Therefore, a sound and efficient public transport system becomes an important indicator for a city to be sustainable. Best practices on sustainable transport initiatives in cities from the world over reveal that provision of adequate, efficient, and comfortable public transport is one of the most important means to ensure sustainability of urban transport. This measure, if accompanied with supporting actions like restraining personal vehicle usage, integrating land use and transport planning, according priority to public transport, better traffic management, and introduction of ICT (information and communication technologies) can help achieve the goals of sustainable mobility in urban areas.
Parameters for a sustainable public transport system

Sustainable public transport system goals would typically focus on the adequacy and efficiency of the public transport system, and these could be translated into the following parameters. P Availability of public transport P Access to public transport P Customer conveniencereliability of services, presence of information systems, safety and security while travelling, comfort and cleanliness levels in the buses, time and cost of travel P Operations and management of public transport As mentioned earlier, the recommendations for urban transport in this report focus primarily on the ways and means to make public transport in Indian cities more sustainable. These recommendations focus on aspects like policy, institutional and organizational frameworks, setting of goals in line with the above-mentioned parameters and specific actions to achieve those goals. The recommendations are primarily intended for use by state and city authorities in Indian cities having direct and indirect responsibility for the planning and management of urban bus services and passenger transport services and transport service operators.
Recommendations
Formulation of state-level urban transport policies
Since public transport subsystems form a part of a larger system which comprises the overall policy, laws, regulations, quality of infrastructure, etc., the making of the public transport subsystem more sustainable would require making changes
1
Here, public transport systems include shared IPT (intermediate para transit) modes like auto rickshaws, jeeps, taxis, vans, and mini buses, which carry passengers on a per seat fare basis. Such modes are common in many Indian cities as public transport carriers, especially in cities where there are no formal public bus or rail systems.
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in the external environment along with the internal working of the public transportsub-system. No doubt, the NUTP is an excellent means for cities to get started with a propublic transport planning approach, however, none of the states have formulated a SUTP (state urban transport policy) to take forward the objectives of the NUTP and ensure they get translated in urban areas. Every state should develop an SUTP, which is a further detailing of the NUTP and reflects priority areas for the state and its cities, and give guidance to cities to set and achieve the goals of sustainable transportation. Some of the key points that should be highlighted in the SUTPs have been mentioned below. P Increasing the share of public transport by a given percentage by a target year (for instance, increase share of public transport trips in a city to 85% by 2030) in cities P Improving the availability, efficiency, and quality of public transport on a continuous basics. P putting in place supporting travel demand management measures like personal vehicle restraint measures, and so on. P Integrating land use and transport planning P Improving traffic and traffic management P Regularly monitoring public transport performance and publishing results of the same P Achieving intermodal integration wherever necessary and possible P Using suitable technologies that facilitate improved public transport service delivery P Progressively reducing the burden on environment by monitoring energy use P Developing data systems and human capacity to tackle the various aspects related to urban transport P Highlighting public transport as a key aspect of a citys development P Identifying the requisite fiscal policies and markets for improving urban transportation services Cities should detail out actions based on the above-mentioned policy guidelines and ensure that these are a part of their transportation plans. States should sanction funding to cities on the condition that the plans developed by them should help in achieving the policy objectives. At present there is virtual absence of a state-level apex body on public transport which could do policy formulation, prepare plans, provide technical assistance to the city authorities, arrange financing for projects from various sources, monitor performance of public transport, and carry out capacity building. Therefore, a dedicated public transport division needs to be set up to function as a unit in the state transport departments to assist cities in these activities and also city governments in gaining access to funds.
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Constituting a transport cell in the ULB

It seems logical and sensible for a city to take responsibility for planning and managing its urban transportation system, particularly planning, managing, and running its public transport systems. Either through initiative of the state governments (as in case of Surat) or by self initiative (as in case of Indore), other city authorities in India should also take on the responsibility of augmenting and managing their public transport systems. This can be done in collaboration with the state governments, particularly, the proposed public transport division. To start with, state governments should empower city municipal authorities to address urban transportation functions, particularly public transportation systems. Setting up of an urban transport cell in the ULB with the assistance of the state governments should then be done. This unit could comprise transport planners, engineers, and experts in the field. Drawing help from the proposed public transport division, the urban development authorities, research institutions, academia, and external consultants, this cell should perform the functions listed below. P Prepare an integrated land use and transport infrastructure plan for the city. This would include activities like the following. Deciding on an optimal modal mix for the city Assessing public transport demand Identifying routes, nodes, etc. Collecting data P Facilitate the provisions of public transport. This would include the following. Entering into contracts with private operators Bringing in the necessary technological improvements Measuring performance of public transport regularly and publishing results Regulating informal/paratransit modes P Reassessing the present not-so-favourable taxation structure for urban buses together with the state governments P Initiating and conducting capacity-building exercises P Coordinating between service providers and infrastructure providers. This should be done by putting in place a mechanism on the lines of the UMTA (unified metropolitan transport authority). Such a mechanism is being attempted in cities like Bangalore, Hyderabad, and Chennai. Here, a committee, having the required legal backing (say through a bill passed in the state legislative assembly), should be set up to address all urban transport-related concerns of the city. The recommendations/instructions of this Committee should be binding on all the concerned departments. This Committee could be chaired by the Municipal Commissioner of the city and have officials from relevant departments like urban development, roads, police, pollution control, transport, and finance, and transportation experts as its members, as suggested in the Andhra Pradesh Bill to provide for the establishment of a Metropolitan Development Authority for
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Hyderabad. Collectively, this Committee should have a deep understanding of the citys transportation needs and systems, its problems, and potential solutions. This would provide the much required forum for coordinating, planning, as well as monitoring public transport in the city. Though such a model has been recommended for more than a million cities by the NUTP, smaller cities should also set up an urban transport cell at the ULB level and move gradually towards such a mechanism. P Carrying out regular consultation meetings with stakeholders: The urban transport cell should ensure that frequent discussions amongst the stakeholders are held. The stakeholders should include citizens groups, all relevant departments like urban development, police, finance, pollution control, municipality, state transport department, and JNNURM representatives (where applicable). Working with various stakeholders would give access to useful and substantial knowledge and help in identifying problems and solutions in a better way.
Goals and indicators for sustainable public transport services

Setting goals and indicators to measure sustainability would provide cities with the necessary guiding framework to progressively improve their public transport systems. The MoUD has recently listed the indicators to measure the level of service of urban transport in Indian cities. MoUD is currently in the process of finalizing these indicators in consultation with academia and research institutes, including TERI, and it is expected that once finalized, MoUD will ask the JNNURM cities to establish baselines on these and work towards improving performance on each based on a set of norms. The following goals and indicators are suggested by TERI to assess the sustainability of public transport services in Indian cities.
Goals for improving availability of public transport

The first and foremost goal has to be related to making public transport available to the citizens. This can be measured by the indicators listed below. P Number of buses per 1000 people: Typically, this value should lie between 0.5 and 1.2 per 1000 population. Given the stark contrasts existing between Indian cities today in terms of public transport availability, cities having virtually no public transport systems should progressively target reaching the 0.5 target in the next 23 years. The other larger cities already having bus systems in place should move towards the higher target. It is important to note here that this indicator also depends on a number of factors like the citys modal share, capacity of buses, their utilization, and the average length of bus journeys undertaken in the city. Hence, each city should assess its own requirement. P Percentage modal share of bus trips: This is measured by dividing the number of passenger trips by bus over a given period (usually an average weekday) by the
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total number of passenger trips in the urban area over the same period. This information is best obtained from the results of a household survey carried out as part of an urban transport study. There is no one norm that is established for this indicator; however, countries demonstrating sustainable transportation systems have targeted a modal share of at least 70%80% for public transportation trips in their cities. Indian cities had an average of 60% as public transport trip share, which has fallen to 45% in many cities. Cities should target arresting this decline and set a target of increasing the public transport share say by 5% each year from now till 2015.
Goals for improving accessibility

Improving accessibility is a continuation to the first goal and seeks to make the public transport system physically accessible for all categories of transport users. Access would include two aspectsprovision of proper and complete road networks and public transport networks in a city ensuring sufficient coverage as well as convenient physical access to public transport services by the users. The following is one indicator to assess accessibility. P Percentage of population in an area/zone having access to public transport services within 500 metres of walking distance: The higher is the percentage of population, the better it would be. Anything above 80%-85% is considered to be good accessibility. All cities should move towards this target by ensuring that the public transport systems serve well all areas of the city.
Goals for improving transport performance for customer convenience

Even if public transport is available and easily accessible, many would not use it at all or use it occasionally due to various factors. This particular goal includes actions that are necessary from the viewpoint of the public transport user. Indicators to measure this goal would include the following. P Reduced congestion/overcrowding in buses P Reduced incidents of eve-teasing, thefts, assaults and so on, in buses P Reduced bus accidents P Reduced passenger complaints P Facilities for the physically challenged on public transport vehicles and stations P Well-maintained clean buses, bus stand premises, and polite crew behaviour P Easy-to-understand and quick access to information regarding bus schedules, routes, delays, and so on for public transport services P Online information on movement of buses P Eighty per cent of all services running at a headway of not more than 15 minutes during weekday peak periods P Reduced waiting time in peak hours between 57 minutes
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P Provision of services (main and feeder) so that all households in a city are within a maximum of 30 minutes of travel time by public transport from the regular trip generating points like schools, hospitals, employment centres, colleges, and shopping areas Under this goal, the first four indicators are qualitative, and it is difficult to set norms for these. Therefore, cities should target a progressive reduction in each of these indicators and target zero levels for each as the ultimate goal. This would involve putting in place proper enforcement measures and passenger-friendly facilities. For the next four indicators, cities should progressively aim at achieving a 100% target for coverage. Some of these could even be made part of the conditions in the permits issued to operators. The remaining indicators can be measured quantitatively, and cities, together with the service operators, should target achieving the prescribed targets. The last indicator, in particular, measures the attractiveness of public transport in terms of travel time. Cities should plan their services, scheduling, and networks so that a reasonable journey time (say 3040 minutes in larger cities) and (1020 minutes in smaller cities) should be possible. This may lead to actions like creation of dedicated bus lanes, development of good services, and so on in the city.
Goals for improving operations and management

This is a crucial aspect as it will help operators cut down on losses and ensure financial sustainability. Indicators to measure this goal would include the following. P Frequency and effectiveness of training and capacity-building modules organized for various levels of staff P Reduced operational cost P Reduced breakdown rate P Increased fare collection efficiency P Reduced employee absenteeism P Reduced staff per vehicle P Increased fuel efficiency P Improved fleet utilization Many of these indicators (and more) are already being monitored by the STUs (state transport undertakings) and reported by the ASRTU (Association of State Road Transport Undertakings) Though there are no norms or targets that exist for these, this aspect could be looked into by the urban transport cell and the operators. This aspect has been discussed in greater detail in the section detailing out actions to achieve these goals. Once the baselines on selected parameters have been established with the help of data collection, cities should gradually move towards progressive improvements. All
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these parameters should be monitored over time and across operators. The results on performance of each parameter should be published annually and this will give citizens an opportunity to get more involved in the process. Such a process will enable the city to assess its own status of public transport service delivery and also enable inter city comparison. Central or state governments should set norms with respect to each of the identified indicator and cities should measure public transport performance over a period of time, with reference to those norms. Cities having similar characteristics should have the same norms. However, classifying cities category-wise and defining and setting those norms is a fairly extensive exercise that is outside the scope of this study.
Developing an overall mobility and transport infrastructure plan for the city
Based on the information collected under various heads as discussed earlier, the city should draw up a comprehensive mobility plan which should reflect the goals of sustainable transportation and fit into the overall city development plan. This plan should be in line with the state urban transport policy objectives. Subsequent to this, an infrastructure development plan should be made which should spell out the infrastructure requirements for various user categories, especially the non-motorized mode users, pedestrians and public transport users.
Specific recommendations for achieving the goals

The action plan to achieve the goals of sustainable public transport services would broadly include the following actions. P Improving availability of modes by using private sector participation to acquire and run buses based on carefully drafted agreements P Improving access by planning for the more vulnerable user groups like the urban poor, the elderly, and disabled, as well as improving bus designs and providing differentiated services P Improving operations by better route planning, rational fare setting, using modern technologies, giving priority to public transport, and better intermodal integration P Improving internal efficiencies, monitoring performance, and setting benchmarks P Becoming customer oriented through trainings, customer satisfaction surveys, enforcing the citizens charters, and so on. P Identifying supporting demand management strategies to discourage use of private vehicle and encourage usage of public transport modes P Identifying financing options to implement improvement actions P Strengthening HRD (human resource development) and capacity building at various levels in various organizations
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Training and capacity building

In order to implement the above actions, training and capacity building at various levels, are prerequisites. Topics should include planning, data collection, perfor mance monitor ing, use of new technolog ies, moder n business and management practices, financing of options for public transport, use of modern technologies, tackling of labour and staff issues, etc. Even the HRD in the current public transport service organizations would require better personnel policies including training, recruitment, incentives, employees grievance redressal mechanisms, sensitization to customer needs, etc.
Preserving the share of public transport trips in the small and medium towns
Recognizing that most small and medium-sized cities in India do not have formal modes of public transport, it is recommended that the urban transport cell in the local body also register and bring together these informal services (autorickshaws, taxis, mini buses, vans, and so on) under its ambit. The transport performance parameters described for buses earlier could be used for analysing the performance of these modes as well. Eventually, a separate category of performance indicators should be worked out for this category of modes. Where auto rickshaw and taxi services, etc., run on a shared basis, a separate category of permits could be created for them by the state government, which could be the equivalent of the stage carriage permits for public buses. These would lay down routes, fares, etc., for these IPT (intermediate public transport) modes and make them a part of the formal public transport delivery system. In cases where auto rickshaw and taxi services are not used on a shared basis but used personally, aspects like fare structures, ease of hailing these vehicles, safety of travel and drivers behaviour towards passengers, etc., could become the evaluation parameters. Permits for these modes could be modified to factor in all these concerns. Integrating IPT and formal modes, activating citizens groups to put pressure on local governments for improved services and putting in place measures to discourage growth of private vehicles are other measures that could be implemented.
Data collection
It is extremely important to note that before a city embarks on such an exercise, it would need to establish a baseline of relevant data using primary and secondary sources. Typically this data would include data on the city, the travellers and their travel needs and patterns, characteristics of available modes, transportation infrastr ucture, existing laws and regulations, organizations involved, etc. The urban transport cell should collect the above-mentioned data so that experts can use this information while planning the required improvement strategies.
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Conclusion
Finally, the role that a city authority or an ULB needs to play in order to ensure sustainable transportation in the city cannot be emphasized enough. European and a few Latin American cities have demonstrated world class transportation systems, owing to the initiatives taken by local city officials like the city mayor, who had the requisite will power and legal powers to bring about a radical change in the system. Bogota and London stand out as examples of sustainable cities merely because of the interventions made by the city authorities in revamping the public transportation systems in these cities. Unless our governments also start thinking on these lines and give public transport and non-motorized transport the attention and resources it deserves, it will be difficult to make our urban areas sustainable. City authorities should be given the requisite powers and training to become sound managers of public transport services.
Summary: Buildings
Introduction
India is one of the fast-growing economies of the world showing an equally high growth in the construction sector of 10% and above. The existing approach of building design and use in urban India symbolize unrestrained consumption of energy and other natural resources, with a consequent negative environmental impact. The building sector in India, in general, faces a number of sustainability challenges in the existing set up of policy framework and market forces. The prime challenge across the country is the new building stock which is coming up at a very fast pace. They are not built on the principles of green design and are highly resource intensive. Also, the country has a huge building stock which needs to be retrofitted to make them sustainable to the extent possible. Although piecemeal, yet some efforts have already started at various scales to start a movement of greener and more sustainable buildings.
Defining sustainable buildings

Sustainable buildings are often termed as green buildings. TERI defines, A sustainable/ green building is designed, constructed, and operated to minimize the total environmental impacts while enhancing user comfort and productivity (MNRE and TERI 2008). A sustainable building thus looks at the following aspects in an integrated manner (MNRE and TERI 2008). P Site planning P Building envelope design including optimal design of roof, walls, and windows in order to reduce heat gain during summers and heat loss during winters
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P Passive architectural systems design to reduce dependency on electrical/energyintensive comfort systems P Optimized building system design for minimal energy consumption (HVAC, lighting, electrical, and water heating) P Integration of renewable energy sources to generate energy onsite P Optimization of building and surrounding (site) water consumption P Water and waste management including Resource recovery from waste (through segregation, recycle and reuse) Recycling and reuse of waste water P Selection of ecologically sustainable materials including Locally available/used materials High recycled content materials Materials with high possibility of recycling P Indoor environmental quality including Noise levels Indoor air quality levels P Water quality
Recommendations
Based on the best practices followed nationally and internationally and the various challenges and barriers in the existing building scenario towards the path of sustainability, this study attempts to integrate the existing efforts and to strengthen it further with a set of policy tools, means for capacity building, implementation process, role of corporates and public private organizations in tuning the market forces for greener products and technologies, etc. The recommendations made on this are briefly stated below:
Policy instruments
A set of 30 policy instruments have been analysed and their potential and effectiveness in the Indian context has been studied. It is observed that there is a strong need to have a mix of instruments such as new bye-laws (incorporating building codes, Energy Conservation Building Code), appliance labelling, rating system, mandatory/subsidized audits, public demonstration buildings, education and awareness.
Implementation strategy
P A national green building policy should be made. P All states should issue a statutory order to make a mandatory provision that all public buildings to be built in future should be green buildings, at least ECBC (Energy Conservation and Building Code) compliant, and to make a plan for energy
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P P
and water audits of all prominent government buildings which should be retrofitted with energy and water conserving measures. Procurement legislations for energy and water saving equipment, appliances, fixtures should be introduced for all public buildings in at least Class I and Class II cities. All new construction in all central government ministries should necessarily follow green building principles and for existing buildings, provisions for energy and water audits and their retrofit, based on the recommendations of the audits, should be made. Each development authority should amend the building bye-laws of municipalities and corporation coming under their respective jurisdiction in a defined time-frame. The new set of bye-laws should be based on the principles of green buildings and also the Energy Conservation and Building Code. For small towns, these amendments could be simpler and implementable given the limited capacities of such towns. Create a new wing in the local government especially dedicated to green buildings or convert the existing units of the Energy Efficiency Cell (wherever present) to a holistic green buildings cell. This wing would take inputs from building centres (wherever available), research centres, state designated agencies of new and renewable energy besides giving building approval.
Capacity building
Capacity building of the respective organizations at state and city level to implement the various policy measures needs to be strengthened. This will include appointment of more professionals with adequate expertise to check the compliance of the new building bye-laws and also regular training programmes for the evaluators and officials on the aspects of green buildings, various codes including ECBC
Education and awareness

P State government websites and city government websites (in case of big cities) should be linked to a dedicated section on green buildings. The site should give relevant information on the benefits of green buildings, building codes, ECBC, bye-laws, technical guidance for designing and constructing green buildings, green products available in the market and their payback period, BEE labelled products, list of certified auditors, designers and consultants giving such services and a brief of major demonstration projects in the state and nation. P Integrate the existing engineering, architecture and diploma courses curriculum with the principles of green design to overcome the lack of knowledge and expertise on green buildings. P An extensive consumer awareness programme focused on economic and environmental benefits from green buildings should be launched though various media like radio, television, hoardings, print media, etc.
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P Extensive awareness programmes for government departments should be made at central, state and city levels.
Public private alliances, role of corporates and government bodies in capacity building, and market transformation
P Market transformation (a holistic, market-based approach designed to promote the manufacture, purchase) and use of sustainable/green products, services, and/or practices should be culled out by adopting various policy measures. P Involving organizations like CIDC (Construction Industry Development Council), NAREDCO (National Real Estate Development Council) , Builders Association of India, Council of Architecture, (CII (Confederation of Indian Industry), TERI, etc., in developing the required capacity building for mobilizing green building movement. P Corporate players in the private sector finding strategic business opportunities in promoting sustainability in the residential and commercial sector. Some of these opportunities are listed below. Producers may manufacture and promote resource-efficient appliances such as bulbs and other lighting equipment, fans, coolers, air-conditioners, refrigerators, and geysers, water-efficient fixtures, materials with lower embodied energy, etc. Corporates can commit themselves to turn their offices and industries as green buildings. Financial institutions can work out innovative financing packages for green buildings/retrofits Multinational companies can work on technology transfer for efficient equipment Testing, certification, and labelling of various products as recommended under ECBC could be taken up on priority by the private sector. Training/capacity-building and awareness campaigns could be taken up for inhouse employees as well as for CSR (corporate social responsibility) activities Operation and maintenance protocol for all equipment that consumes energy and water should be in place. Regular energy and water audits and performance enhancement should be mandated Purchase preference policy for labelled and green products (air-conditioners, refrigerators, tube lights, water fixtures) should be incorporated.
Research and development in new construction technologies and materials and establishment of testing labs
For the successful implementation of various bye-laws and building codes targeted at making buildings more sustainable and energy efficient, it is essential that green building materials, equipment and systems are available, tested, and reasonably priced.
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Significant investment is required in R&D (research and development) to achieve this. It is also essential to establish more testing labs across the country. Organizations such as IITs, NITs, private engineering colleges, TERI university, building centres, BMTPC, and central research institutes should be encouraged to take this up and sufficient financial support and incentives for the same should be given.
Baseline development
Before setting any targets and to effectively implement green buildings programme, the development of a baseline and a benchmark for various typologies of buildings, both air-conditioned and non-air-conditioned and mixed types in each city/town is a prerequisite. A building bye-law has to make some mandatory compliance of minimum benchmarks for building performance. To achieve this, the following is recommended. Phase 1: In this phase, all cities and towns could link their built-up area (property tax data) and electricity consumed (utility data) and develop a certain benchmark/ baseline for various building typologies. Phase 2: In this phase, each city based on its size and capacity to fund this exercise should go for a detailed survey-based baseline development of various building types and uses. Adequate sample size should be selected and actual field measurements should be taken for this exercise.
Indicators
A list of indicators is suggested to be maintained at each ULB level to gauge the progress made in green building movement and to accordingly plan and target for further developments. Baseline development shall initially be done for these indicators and thereafter targets shall be made for each of them for the respective urban centre by the ULBs depending on the baseline and the market forces. Table 4 shows some of these indicators. The MoUD has recently launched a set of standardized service level benchmarks in context of performance management of urban services. These urban services, however, currently covers only five basic services. 1 Water supply 2 Sewerage 3 Solid waste management 4 Storm water drainage 5 Urban transport Buildings being huge resource guzzlers and a key component in achieving overall sustainability, there is therefore, an urgent need to extend these benchmarks to
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Table 4 List of indicators to be maintained at each ULB level

Indicator EPI of new residences Unit kWh/ m2 Definition It is a measure of the total electricity consumed per m2 by a building annually. An average EPI will be calculated for all the new residential buildings under two categories of air-conditioned and non air-conditioned
This parameter will indicate whether the EPI is reducing or not. The lower the EPI is when compared to the baseline EPI of residences, the better it is. EPI for air-conditioned and non air-conditioned buildings will be different. Data requirements Electricity used by each new residence annually Built-up area of the residence EPI of residence (E) EPI of new residences EPI of new non-residential buildings kWh m2 kWh/ m2 kWh/ m2 kWh/ m2
'=a/b' '=average of all the Es' It is a measure of the total electricity consumed per m2 by a building annually. An average EPI will be calculated for all the new nonresidential buildings under two categories: air-conditioned and nonair-conditioned
This parameter will indicate whether the EPI is reducing or not. The lower the EPI is when compared to the baseline EPI of non-residential buildings, the better it is. EPI for air-conditioned and non air-conditioned buildings will be different. Data requirements Electricity used by each new non-residential building annually Built-up area of the building EPI of building (E) EPI of new non-residences Percentage of GRIHA-certified buildings kWh m2 kWh/ m2 kWh/ m2 %
'=a/b' '=average of all the Es' It is a measure of the total number of GRIHA certified buildings as percentage of the total number of buildings
This parameter will give an indication of the number of environmentally rated buildings. Higher percentage will show a healthier trend of green buildings
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Table 4 Contd...
Indicator Data requirements Total number of buildings within the ULB limits Total number of GRIHA certified buildings within the ULB limits Percentage of GRIHA certified buildings Percentage of LEED-certified buildings Unit Definition
Number Number % %
'=(b/a)*100' It is a measure of the total number of LEED certified buildings as percentage of the total number of buildings
This parameter will give an indication of the number of environmentally rated buildings. Higher percentage will show a healthier trend of green buildings Data requirements Total number of buildings within the ULB limits Total number of LEED certified buildings within the ULB limits Percentage of LEED certified buildings Percentage of green public buildings and their average EPI Number Number %
'=(b/a)*100'
%, kWh/ m2 It is a measure of the total number of green public buildings (existing and new) as percentage of the total number of public buildings in the ULB limits
This parameter will reflect the extent to which public buildings are constructed and retrofitted on the principles of green buildings Data requirements Total number of public buildings within the ULB limits Total number of green public buildings (new and retrofitted) Electricity used by public building Built-up area of public building Percentage of green public buildings EPI of public buildings Number Number kWh m2 % kWh/ m2 '=(b/a)*100' '= average of EPI of all public buildings'
EPI Energy Performance Index; GRIHA Green Rating for Integrated Habitat Assessment; LEED Leadership in Energy and Environmental Design; kWh kilowatt-hour
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buildings sector as well. The above set of suggested indicators could be the first step in achieving the desired objective.
Summary: Power
Introduction
Electricity is an essential component of energy for ensuring the economic development of a country. It is required in all facets of our life and has been recognized as a basic human need as it affects our day-to-day life. At present, the electricity sector in India in general and in the urban centres in particular is succumbed to various sustainability challenges and issues. Rapid industrialization, commercialization, and urbanization of the Indian cities have led to an increase in the requirements of electricity resulting in a deficit of power supply. Provision of equitable access of electricity to all sections of society especially the urban poor has become a formidable task. Lack of access and poor quality of supply and services has increased the use of diesel generators which are not only a major source of noise and air pollution thereby affecting on public health adversely. Further, electricity requirements have been intensified over the years due to the high technical and distribution losses and wastage of electricity on account of adoption of inefficient practices with regard to the usage of electricity. All these factors necessitate the need to emphasize electricity services in an urban context. It is important to note that electricity is a subject in the concurrent list of the Constitution of India, that is, both the Union and the state governments can formulate policies and laws on the subject. However, the legislative policies and acts gover ning the power sector in India assign no par ticular roles, responsibilities, and authority to the local bodies with regard to electricity services except the provision of street lighting, the only component in electricity services under their pur view. Never theless, the impor tance of ULBs in facilitating improvement in the delivery of electricity services cannot be underestimated. It can provide an important supporting role to the utility through a certain set of activities that can help in attaining sustainability in the sector. Also, these roles and objectives are in line with JNNURM which aims at reform driven, fast track, planned development of identified cities with focus on efficiency in urban infrastructure/services delivery mechanism, community participation and accountability of ULBs/parastatals towards citizens. It provides incentives to cities to undertake institutional, structural, and fiscal reforms, which are necessary to improve ser vice deliver y systems that are sustainable in order to create economically productive, equitable and responsive cities.
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Defining sustainable delivery of electricity services

Based on the literature review of good practices and measures adopted to enable delivery of electricity services in urban areas more sustainable, the following definition for a sustainable power system in an Indian city was arrived at: An electricity supply system that ensures adequate, reliable, and affordable electricity to all citizens with focus on energy efficiency and utilization of locally available renewable and non-polluting resources, wherever feasible, and also capable of catering to the future growth of the city.
Framework for analysing sustainable electricity system in urban India

The sustainability parameters identified thereof that are essential to make delivery of power services sustainable in a city are presented in Table 5.
Table 5 Parameters essential to make power services sustainable

Parameter Access to electricity Description In order to make cities sustainable it is important to ensure access to electricity to all the sections of the society especially the urban poor in an equitable manner. In order to ensure access, it is crucial to understand the planning procedures and approaches adopted by the service providers with respect to demand estimation and expansion of distribution system. Promotion of efficiency in the delivery of services by reducing losses and promotion of efficiency in usage or DSM (demand side management) acts as one of the least cost options for meeting the demand of electricity. This includes reduction in T&D or AT&C losses (including theft) in the city and increase of awareness with regard to energy efficient appliances and incentives for the promotion of the same. To meet the increasing demand of the city there should be a well-balanced mix of supply sources. Since electricity generation through the use of fossil fuel leads to the emission of GHGs and other local pollutants, it is required to generate electricity through locally available and renewable sources of energy. It can be defined as the end result of utilities planning, designing of network, operation and service management which determine the degree of satisfaction of the consumer. This parameter includes the following: planned interruptions, that is, load shedding, unplanned interruptions, voltage profile, consumer redressal mechanisms This report explores the role that an urban local body can play in order to achieve sustainability in the provision of electricity services in the city in light of the aboveidentified parameters.
Energy efficiency
Impact on the environment
Quality of supply and quality of services
Role of urban local body
GHG: greenhouse gas; T&D transmission and distribution; AT&C aggregate technical and commercial
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Recommendations
Based on the in-depth sectoral analysis, through literature review, city visits and interactions with various stakeholders, the study recommends the following in order to ensure sustainability in the provision of electricity services.
ULBs as energy-efficient consumers

This should be the first step for the local bodies in order to contribute to the improvement of power services in the city by becoming an efficient consumer. ULBs being a bulk consumer, almost consuming 8%-10% of the total electricity supplied by the utility, can significantly bring down the consumption of power in the city by undertaking demand side measures such as efficient public lighting system, efficient water pumping system, etc. Efficient public lighting system can be achieved through incorporation of efficient designs, metering, monitoring and selection of energy efficient lamps, etc. Efficient water pumping system can be achieved through proper sizing of the pump, selection of energy efficient pumps, and so on. To undertake the conservation activities local bodies can also form an in-house DSM (demand side management) cell (as done by the SMC (Surat Municipal Corporation). SMC, saved approximately Rs 350.23 lakh/annum or 79.40 lakh kWh/ annum due to re-engineering of filtered water transmission routes and adoption of other energy-saving measures, which not only assess the potential but also implement these activities and lay down the road map for further decrease in inefficient consumption. These measures will not only help the utilities due to reduction of inefficient load but also the local bodies, as electricity cost in certain cases constitutes more than 50% of the municipalitys budget.
ULBs as planner of the city

It has been generally seen that the urban local authorities prepare the city development plans in isolation and do not consult the infrastructure providers such as electricity, telecommunications, etc. while planning the cities. With the increase in different infrastructure services and multiple service providers for these different infrastructure services, the involvement of the infrastructure service providers in the planning process has become inevitable. Also, it is conjectured that involvement of utilities in the preparation of city development plans would help the utilities in preparing the long term distribution master plan. To plan the city in a sustainable manner it is required that local bodies while laying new infrastructure must develop trenches in the side of roads for the laying down of lines of different infrastructure services such as electricity, telecommunications, and so on. This would help in the systematic development of the cities and would require less time for restoration of services by service providers in case of any technical fault. Also, GIS map may be prepared for all the infrastructure facilities and made available
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on price to the concerned entity with due consideration to the security issues involved in this. Further, if a plan related to the upcoming industrial/ commercial/housing establishment is approved by the ULB, it should be forwarded to the utility, as it will aid in the timely and proper planning/expansion of the power distribution structure. It is important that ULBs devise some mechanisms as part of building bye-laws so that while approving large building/colony plans, the builders are asked to provide power sourcing details which are then forwarded to the utilities. This would inform form where large consumers/ builders would be sourcing power, that is, through their own generation in the form of captive power plants or through distribution utility. This would help the utilities in getting timely information about the upcoming plans and would help them in proper planning of services.
ULBs as coordinator
As mentioned above, with the increase in services and providers of these services, coordination between different infrastructure providers has become important for carrying out day-to-day activities. For instance, a body or committee can be formed by the ULBs, headed by the principal secretary of municipal boards involving heads from different departments/infrastructure providers to ensure timely execution of activities. This committee can also help in facilitating the planning process as discussed above.
ULBs as agent for providing equitable access to services

With increasing urbanization in the cities, provision of access to basic infrastructure services such as electricity, especially to urban poor has become a formidable task. About 40% of the worlds poor living in urban areas lack access to the basic urban infrastructure services including electricity. Land tenure issues, illegal colonies/ slums, etc. prevent quality services to certain consumers, which lead to creation of informal market or theft of these services, creating inefficiencies in the system. One of the ways to address this issue is through the introduction of prepaid metering for slum electrification and use of smart cards for providing the subsidies directly to the urban poor. The prepaid metering can also be extended to other segments of society and incentivizing it by proposing preferential tariff to prepaid meter consumers. It would be a win-win situation for all the stakeholders involved consumers, utilities, and the government. The benefits of such a system would be that it would improve the revenue stream of the utility, decrease the AT&C losses and also reduce the cost of service in the slums. Also, the government would be able to directly subsidize these consumers thus increasing the transparency in delivery of subsidies. On the other hand, consumers would benefit from legal connections and would not be required to pay high upfront payment in terms of
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security charges. Implementation of such a system also promotes equity in the society. Further, utilities can also provide a single-point supply to slums or such clusters and may make use of the franchisee for providing quality access to them.
ULBs as promoters of renewable energy

ULBs have an important role to play in order to promote renewable energy generation. As discussed, local bodies generally account for approximately 8%-10% of total demand of electricity in the city. If conscious efforts are undertaken by the local authorities to use renewable sources of generation such as solar to meet their own respective demands, they can provide a major support to the utility and the city in meeting citys electricity demand. This can also facilitate in creating awareness and the promotion of solar technologies. Local bodies may use any unutilized or vacant land to generate power by using solar photovoltaic/rooftops. Power generated from solar energy could be utilized for supplying power to street lighting, traffic signals and can also be fed into the grid. Also, property tax rebates may be used as an option to encourage consumers to adopt solar technologies especially solar water heating systems. Further, an integrated planning approach is required on behalf of local bodies in order to facilitate waste-to-energy projects, wherein suitable provisions such as land availability are provided for both the processing of waste and installation of power plant, making the project more viable and cost-effective.
ULBs as awareness raisers

ULBs can support the utilities and other agencies involved in the creation of awareness amongst consumers and can encourage others through amendments in the bye-laws. By amending bye laws, it can be made compulsory for large consumers such as government offices, hospitals, schools, etc., to adopt certain energy-efficient measures such as use of solar water heaters, use of CFLs (compact fluorescent lamps) in place of incandescent bulbs, etc. In case of small /domestic consumers it can encourage them to adopt energy-efficient measures or renewable sources of supply by incentivizing, these consumers through rebates in the property tax. Consumer awareness campaigns can also be carried out to curb power theft in the cities and where power theft cases are high, it is required that ULBs may approach the state government to constitute special courts as per the provision of the Electricity Act 03 for the speedy trial of offences.
ULBs as accountable and responsible consumers

In order to reduce AT&C losses of the distribution utilities and to improve the efficiency of their operations, ULBs, being bulk consumers, are required to act as a responsible consumer by timely payment of electricity charges or dues to the
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utilities and judicious use of electricity. This would set an example for other consumers and can help the utilities in bringing down the losses significantly. ULBs with support from state governments can also facilitate the creation of alternative grievance redressal forums similar to the Public Grievance Cell in Delhi, in order to improve consumer satisfaction and quality of services. To start with, grievance redressal cells must be established in the mega cities and then should be considered for million plus cities. Further, it can facilitate mechanisms to represent consumers by creating an ECAC (electricity consumers advocacy committee) for representing consumers before the respective ombudsman, state regulatory commission, the ATE (Appellate Tribunal for Electricity), the high court and Supreme Court in matters involving public interest.
Indicators
The indicators that needs to be monitored in light of the above recommendations are discussed in Table 6. With regard to quality of supply and services, respective state electricity regulatory commissions have laid down standards of performance guidelines/parameters for the utilities and these must be adhered to.
Capacity building
In order to implement these recommendations, it is very essential that appropriate training is being imparted to the concerned stakeholders. Some of the areas identified are mentioned below. P Capacity-building programmes are required for local bodies to sensitize energy efficiency and demand side measures/ interventions that can be undertaken in order to promote energy conservation. P Capacity-building programmes are required to sensitize local bodies with regard to various renewable energy technologies P Capacity-building programmes are required for the local bodies to make them well versed with the use of modern tools and technologies that may assist them in their work like the MIS system. P Capacity-building programmes are essential to sensitise local bodies with regard to various provisions of the acts and the policies of the government related to the power sector.
Summary: Governance
Introduction
Good governance is a prerequisite for achieving sustainability. Governance for sustainability involves integrating the three pillars of sustainability: environmental,
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Table 6 Sustainability indicators in the power sector

Indicator Energy consumption P Water pumped in raw water pumping stations (kWh / kl [kilowatt-hour per kilolitre]) P Water treated at treatment plants (kWh / kl) P Water pumped at booster pumping stations (kWh/kl) P Water pumped from tube wells (kWh/ kl) Energy consumed in each of the above facilities per month) /Total quantity of water pumped or treated in a month Energy efficiency is an important parameter in the operational performance of the water supply system. By monitoring the trend of energy consumption per unit of output at each stage, energy costs can be controlled P Combined rated consumption of all electrical equipment (An energy audit can provide the appropriate benchmark for energy consumption) P Trend (by month) P Monthly records of electricity consumption should be maintained P The indicator should be monitored monthly for each facility AT&C losses Ratio of difference between energy input (MU) to the system and energy whose bill has been realized (MU) to energy input (MU) to the system (MU input-MU realized)*100 /MU input Maximizing availability of electricity to legitimate consumers Target set by GoI: reduction in AT&C losses to 15% by the end of Eleventh Plan P Quarterly or yearly records must be maintained P To be undertaken by utilities and submitted to SERCs and local authorities Access to electricity Connection for supply of electricity Electricity being a basic human need, it is important to monitor its access The ministry of power has set the target of 100% access of electricity by 2012. As per Census 2001, 44% of Indian households have no access to electricity. P Quarterly status of access must be maintained P To be undertaken by utilities and submitted to SERCs and local authorities Green indicator Extent of penetration of renewable energy sources in meeting energy needs Adoption of renewable technologies is an important tool for mitigating adverse environmental impacts. Surveys required for assessing the potential of renewable electricity in the Indian cities to establish appropriate benchmarks. P Yearly records must be maintained P To be undertaken by state nodal agencies
Definition Usefulness
Benchmark
Implementation Indicator Definition
Usefulness Benchmark Implementation Indicator Definition Usefulness Benchmark Implementation Indicator Definition Usefulness Benchmark Implementation
kWh / kl kilowatt-hour per kilolitre; SERC state electricity regulatory commission
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social, and economic, within the framework of governance processes and to administer the same to achieve sustainable societies. A number of Indian cities are becoming unsustainable. Due to population pressures, many have reached a point where their urban service delivery systems cannot cope with the demands put on them. Services and the quality of life in cities are under tremendous stress. The challenge is to incorporate in a conscious manner, future sustainability concerns in our policies and development programme. A good governance system is thereafter required to ensure delivery of services in a transparent, equitable and sustainable manner.
Defining good governance

Good governance has been described in different ways by development agencies involved in urban governance. It is difficult to arrive at an ideal definition of good governance. The UNESCAP definition for good governance comes closest to a comprehensive understanding of governance issues in the Indian context. It defines good governance as one that is participatory, consensus oriented, accountable, transparent, responsive, effective and efficient, equitable and inclusive and follows the rule of law.
Parameters of good governance

A review of the parameters of good governance identified by various developmental institutions, including UNESCAP helped us in short-listing parameters of good governance that are most relevant in the Indian context and in context of this study. These identified parameters of good governance are: decentralization, transparency and accountability, public participation, capacity of the municipal bodies, and equity.
Recommendations for governance

The biggest challenge for municipal bodies is their weak capacities and therefore building their capacity has to be the most immediate concern. All municipal bodies should carry out a comprehensive needs assessment to understand their respective training and capacity-building requirements. This study recommends the following measures to address common issues of governance across municipal bodies and therefore, these recommendations would apply to all municipal bodies.
Decentralization
Identifying core functions for all municipal bodies
P All municipal bodies across the country should perform the core municipal functions as identified under Chapter 6, Section 47(1) of the Model Municipal
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Law. 2 In addition, municipal bodies should also been involved in planning for transport and power. In areas falling under the Nagar Panchayats, 3 it is recommended that the core functions should remain the Nagar Panchayats responsibility. The Nagar Panchayats would then decide whether they to go in for private participation or take assistance from the state agencies. Urban agglomerations should be brought under the purview of the nearest municipal body within a fix time frame. Meanwhile, a state level agency should ensure that the quality of service provided in these areas is at par with services provided in the municipal area. There should be greater decentralization by way of giving more financial and decision-making powers to lower level officials in the working of municipal bodies.
Capacity
Personnel capacity
P An HR policy should be put in place by the municipal body, which would spell out remuneration and incentives, career progression opportunities, transparent performance evaluation criteria, and so on, for its employees. P Municipal bodies should provide for additional staff in areas requiring specialized expertise, such as accountancy, environment, and so on. P Demand-driven capacity building and training programmes should be designed and conducted to upgrade the skills of its employees. P Incorporating sustainability goals in delivery of urban services would require educating and training people on sustainability issues.
Operational capacity
P The municipal bodies should focus on managing the delivery of service and should involved itself in the actual delivery of those services where alternate options of service delivery are not available or are not cost effective. P Private participation should be considered in areas where the municipal bodies lack capacity and where it would be cost effective to invite private participation. P Since private participation may not be forthcoming in certain areas of municipal service, it would be pragmatic to consider private participation in areas where the quantum of private investment required is limited but where considerable efficiency gains can be achieved. One such area is billing and collection.
2 3
http://urbanindia.nic.in/moud/legislations/li_by_min/ Model_Municipal_Law/indexmml.html The 74th Amendment, under 'Statements for Objects and Reason, Section 3 states setting up of nagar panchayats for areas in transition from a rural to urban;
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P In areas where considerable investment may be required and where PPP (public private partnership) arrangements are necessary, the state government should explore options for viability gap funding. Also, all such PPP arrangements should be governed by well defined and well monitored contracts.
Financial capacity
The financial capacity of municipal bodies should be built in phases. The most immediate focus should be on improving financial management practices and assessment of the existing financial position of the municipal bodies. P The first step therefore for all municipal bodies should be to adopt double entry and accrual based accounting and regularly arrange for an external audit of its accounts. P Second, the focus should be on improving its income by improved tax collection and collection of user charges. P User charges should be rationalized and revised periodically. The billing and collection should be strengthened and customer-friendly payment mechanisms should be established. P Municipal bodies should also explore additional sources of income such as a development cess or through better use of its assets. P As a next step, the focus should be towards exploring alternate sources of income through market-based instruments.
Technical capacity
P Efforts should be made to increase awareness on new technologies/practices available for delivery of services and the management of these services. P National and regional institutions of excellence should be given the responsibility of conducting regular training programmes to educate municipal officials on adopting new technologies.
Accountability and transparency

P The Municipal Disclosure Law should be enacted by all state governments. This law requires municipal bodies to provide/publish audited financial statements on an annual basis. They are also required to provide information on their planned and actual expenditure, details on subsidy received from the government, details of master plans, and annual budget allocated to each ward. P E-governance initiatives need to be greatly encouraged, as it will help improve communication and flow of information between the municipal body and citizens. P Performance of municipal bodies should be evaluated on certain parameters. The MoUD has worked out SSLB (standardized service level benchmark) for various urban services. In this report, TERI has suggested additional indictors in water and
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solid waste management, as well as a set of indicators for buildings and power. These performance parameters and benchmarks should be used to evaluate performance of Municipal bodies. P Rating of performance of municipal bodies could be undertaken for each state based on the SSLBs. To begin with rating can be undertaken for all municipal corporations in a state. The purpose of such a rating would be to create competition between the municipal corporations within a state to improve performance. P A nodal officer for the redressal of consumer issue should be appointed for each department under the municipal corporation. In addition, an ombudsman should be appointed, on lines of the ombudsman in the electricity sector to settle consumer disputes.
Public participation
P The Community Participation Bill should be enacted by all state governments and implemented by the municipal bodies. The area sabha and ward committees need to be sufficiently empowered and their roles defined. P Citizens should be involved in planning for capital works and scrutinizing municipal budgets. P Citizens should also be involved in reviewing the quality of service provided by Municipal bodies through initiatives such as the Citizen Report Card. P Citizens should also be involved in initiatives like water and electricity conservation. This involvement of citizens would also reduce the pressure on municipal services. P Citizens and the industry should be involved in the maintenance of public spaces. This will serve the dual purpose of improving the quality of urban life and inculcating a sense of responsibility and ownership amongst them. It will also raise civic awareness amongst citizens.
Equity
P GIS tools should be used to organize and maintain a strong database on the urban poor. P Technologies such as smart cards need to be introduced which would do away with the need of tenurial security in provision of municipal services in unauthorized areas including slums. It would also help in providing targeted subsidies to the poor. P Inclusion of integrated housing projects for the urban poor in the larger development projects in a city or a region should be encouraged. It should be ensured that developers abide by the timelines under which such projects are proposed for completion.
Summary
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Sustainability cell
To achieve long-term sustainability goals and to deal with climate change related issues within a municipal organization, a sustainability cell should be established within each municipal body. The cell could be steered by a state-level sustainability committee. The municipal level sustainability cell would develop a mandate and sustainability indicators as per city-specific needs and demands and pressure on the resources. One of the major areas for interventions being that of planning, the sustainability cell, would ensure that every development plan or master plan meet the sustainability criteria. The functions of the sustainability cell could include capacity building of municipal staff and the public on climate change and other sustainability issues. This sustainability cell at the city level should also undertake an exercise to assess the load-bearing capacity of the city (that is, how much load/population can a city carry given its available resources).
Provision of basic services by municipal bodies for cities in transition

The 74th Constitutional Amendment Act on decentralization provides for constitution of Nagar Panchayats for urban peripheral areas or transitioning areas. However, a number of areas still fall under the Gram Panchayats which in turn have limited functional purview which is insufficient for the development of the city in transition. The study recommends constituting the Nagar Panchayats as soon as possible and the necessary functions be delegated to them. The Nagar Panchayats can take the assistance of the state agencies/parastatals in the actual delivery of service.
City planning
P The responsibility to prepare the city plan should be given to the municipal body. The development authority or the town-planning department should be merged with the respective municipal bodies and should act as a technical wing of the municipal body with the responsibility of preparing the master plan. P In case of non-metro cities, these plans should be integrated into the district and regional plans by the DPCs (district planning committees) . P The MPC (metropolitan planning committee) an take care of the metropolitan area and the urban agglomerations falling in the purview of the metro. This arrangement should bring about the coordination between MPC and DPC to ensure equitable allocation of resources. P The master plans should translate long-term vision into short- and medium-term actions which are monitored regularly for consistency of implementation and investments.
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P Holding public consultation would be a better way to ensure citizen centric planning instead of the earlier practice of presenting the draft document for public comments. P The master plan should address both the spatial context of planning and the socioeconomic objectives of development process.
Triggering reforms
Reforms can be triggered by creating external pressure on the municipal bodies and the city administration. This pressure should come from the following: P Informed and tax paying citizens demanding better services and greater accountability. A prerequisite for this would be increasing awareness amongst citizens on their rights and responsibilities in urban governance. P Competition and comparison between the performance levels of municipal bodies should be induced. This requires periodic publicizing of the performance of municipal bodies. P Linking all government and multilateral funding to the performance of municipal bodies on the MoUDs SSLB indicators and reforms carried out within the municipal area.
References
MNRE (Ministry of New and Renewable Energy) and TERI (The Energy and Resources Institute). 2008 National Rating System: GRIHA (Green Rating for Integrated Habitat Assessment) New Delhi: TERI
Introduction
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Introduction
Sustainable cities
Cities are spatial manifestations of human and economic activities and evolve through a complex process determined by a number of economic, demographic, social, and historical factors. Their development needs to be planned, guided, and monitored to achieve an optimal utilization of resources required to make them sustainable, socially habitable, economically efficient, and administratively manageable. Usually, cities occupy a fraction of any countrys area; however, they consume a major share of the energy and result in much greater pollution levels. A citys sustainability is characterized by its ability to feed and power itself with minimal reliance on resources outside its boundaries and its ability to create the smallest possible ecological footprint for its residents consumption pattern. A sustainable city, ecocity, or ecopolis, is an entire city dedicated to minimizing the required inputs (of energy, water and food) and its waste output (of heat, air pollution as CO2 and methane and water pollution.)1 So far, there has been no standard accepted definition of a sustainable city. After the Bruntdland Commission defined the term sustainable development in 1987, as development that meets the needs of the present without compromising the ability of future generations to meet their own needs, it was the Rio Earth Summit in 1992 that took a serious stand on the need for cities to become sustainable. Since then, not only has the concept of urban sustainability been extensively written about, a number of cities the world over have taken wide-ranging steps and reform measures to become more sustainable. Programmes like the C40 Cities, the SCP (Sustainable Cities Programme), and LA21 (Localizing Agenda 21), as well as individual initiatives like Santa Monicas Sustainable City Program, San Franciscos Sustainability Plan, Curitibas and Bogotas integrated land-use and transport projects, Bayamos Local Agenda 21 project, and Buffalo Citys integrated institutions approach, all became examples of good practices initiated to make cities sustainable. The plans, approaches, and processes adopted have
1
http://en.wikipedia.org/wiki/Sustainable_city
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varied from place to placewhile some cities have adopted overall integrated plans to ensure that the city grows on the path of sustainability in a phased manner, some cities have adopted a set of interventions in select priority areas to start with. Some of the lessons that emerge from these initiatives to make cities sustainable include the following. P Well-functioning infrastructure P Presence of a collective and clear vision of the citys future P Identification of priority areas and key institutional weaknesses and strengths upfront P Strong political leadership and will P Presence of a legal framework that enables and empowers governments/departments to set up goals, create road maps, and carry out the necessary implementation measures P Well-coordinated institutional and governance mechanisms and unified bodies enabling implementation of integrated sustainability measures P Setting of clearly defined goals and measurable targets and stage-wise review and monitoring of plans and targets with necessary updating wherever required P A continuous, interactive and iterative multistakeholder participatory process involving both sectoral experts and general community throughout P Demonstration projects to win public support and acceptance P Presence of citizens sense of ownership and responsibility P Replication of successful initiatives by other cities Sustainability, a broad overarching term, encompasses a number of aspects. A sustainable city cannot be conceived without environmental protection, social integration, a sustained economy, and good governance, all being a part of a harmonious and dynamic co-evolution. However, there are a number of ecosystems/ sectors in a city to which these principles could be applied. Given the complexities of various ecosystems existing in cities today, to address all the elements together for sustainability is impossible. However, areas can be prioritized and a beginning can be made from a certain point.
Sustainable urban services

A review of literature and case studies reveals that a key step and good starting point for making cities sustainable is making the delivery of urban services in a city more sustainable. Since all of a citys population is dependent on services like water, sanitation, power, transport, buildings, and so on, for its survival, it is important that these services be planned, delivered, managed, and monitored in a proper way so as to ensure adequacy, equitable access, good quality, and least harm to the environment. Sustainable urban services are be characterized by some common parameters.
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P P P P P P P P
Adequate supply of services Equitable access and distribution Efficient pricing/cost recovery Reliability of service Good quality Improved efficiency Minimum environmental burden and energy use Community participation, transparency, accountability
Enhancing the processes of local urban governance has also been acknowledged as a key input towards achieving sustainability.
Addressing urban service delivery in Indian cities

India is growing rapidly, with 27.8% of its population residing in urban areas in 2001, as compared to 25.7% in 1991. This is expected to increase to 40% by the year 2030. The number and size of cities and towns have been increasing; the total number of cities and towns in the country increased from 4651 in 1991 to 5161 in 2001 (NIPFP 2007). Also, the number of cities with population above 1 million has grown dramatically from 12 in 1981 to 35 in 2001 (NIPFP 2007). According to the Planning Commission, increasing population, coupled with continued urbanization and current economic development trends, is likely to result in the emergence of 6070 cities with one million plus population by the year 2021 (NIPFP 2007). Indian cities are clearly emerging as the key drivers of economic growth, with almost 52% of the countrys GDP (gross domestic product) coming from these urban areas (NIPFP 2007). Rapid growth in India has resulted in the concentration of economic activity in urban centres and increased the pressure on basic service delivery systems. The stress on urban infrastructure has manifested itself in terms of a greater number of people that need to be served, inadequate revenues to cover costs, and the need for capacity augmentation, both in terms of skills and physical infrastructure. The escalating demand for basic services, coupled with the widening socio-economic divide between the rich and the poor, has resulted in a serious deterioration of access and service quality across all urban service sectors, namely, transport, power, water supply, sanitation, health, education, and so on. Poverty, traffic congestion, bad air quality, high noise levels, lesser green areas and open spaces, scarcity of water, long power cuts, unhygienic living conditions leading to serious diseases, are all increasingly putting our cities under the threat of unsustainability. If we do not start thinking of approaches to address these challenges now, we will be imposing huge negative externalities on the generations to come and put under threat the very economic progress that has driven our nation forward.
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In 2005, India launched a mega programme for urban development called the Jawaharlal Nehru National Urban Renewal Mission, or JNNURM. With a budget of approximately Rs 50 000 crore (Rs 500 billion), this programme aims at reform driven, fast track, planned development of identified cities with focus on efficiency in urban infrastructure/services delivery mechanism, community participation and accountability of ULBs (urban local bodies)/parastatals towards citizens. 2 It provides incentives to cities to undertake institutional, structural, and fiscal reforms, necessary to improve service delivery systems that are sustainable in order to create economically productive, equitable and responsive cities. The funding under the JNNURM is to be released to cities, once planned urban perspective frameworks for a period of 2025 years (with five-yearly updates) indicating policies, programmes, and strategies of meeting fund requirements have been prepared by them. Though a well-intentioned programme, there are some gaps in the same. P There is no mention of areas like energy conservation, environmental protection, and combating climate change, which have become key sustainability concerns for our cities today. P Sectors like buildings and electricity have not been included, as they do not come under municipal functions, but contribute largely to any citys sustainability challenges. P Ways to integrate initiatives under the JNNURM with other existing national-/statelevel policies and action plans, both within and across sectors, are not spelt out in the programme and, therefore, most JNNURM projects tend to remain as standalone initiatives in cities. P Focusing more on spending the available funds and building new infrastructure does not ensure that the basic goals of sustainability access to all, affordability, equity, safety, comfort, reliability of supply, environmental protection, quality of services, and so on are being met. P Interlinkages between the identified areas and the impacts of the kind of development outlined in the programme on other areas have not been addressed The above-mentioned factors have led to the JNNURM becoming a highly projectdriven programme, where cities are being developed through a series of huge investments being made in urban infrastructure sectors, without necessarily ensuring that the goals of sustainability are being met. In the light of the above, this study on exploring sustainability in the provision of basic urban services in Indian cities, as a step towards making cities more sustainable, was initiated by TERI (The Energy and Resources Institute) in partnership with SUI (Sustainable Urbanism International) and Arghyam, in March 2008, with the support of Dr Nandan Nilekani and Mrs Rohini Nilekani.
2
http://www.urbanindia.nic.in/moud/programme/ud/jnnurm/guidelines_jnnurm.pdf
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TERI hopes that this report will help key stakeholders, particularly state governments and urban local authorities, to plan, manage, and monitor the provision of these services in a sustainable manner. TERI also hopes that the recommendations emerging from this study will influence public policy and become part of urban development policies and programmes in India.
Project objectives and scope

As a step towards the larger goal of making Indian cities more sustainable, this study aims to identify processes to make service planning and delivery in Indian cities more sustainable in the following five urban sectors. 1 Water 2 Solid Waste Management 3 Transport 4 Buildings 5 Power This can be achieved by identifying the following. What sustainability in each sector implies A framework of parameters and indicators to assess sustainability of a service The existing situation in Indian cities with regard to the identified parameters Recommendations to operationalize sustainability-related actions in Indian cities for each sector P Supporting policy, legal, and organizational arrangements and data and capacity requirements, including making suggestions to be incorporated in the JNNURM P P P P Recognizing that deficiencies in the existing governance structures adversely impact urban service delivery, in addition to the above-mentioned five sectors, this study also looks at governance as a separate sector. This section of the report addresses issues impacting upon the delivery of basic urban services, which include financial impediments, capacity constraints, inadequate decentralization, insufficient transparency, accountability, and so on. Recently, the Ministry of Urban Development developed a handbook for standardized service delivery benchmarks in the context of performance management of urban services. This document emphasizes the need to introduce performance measurement; suggests performance measurement parameters for water supply, sewerage, solid waste management, and storm water drainage; and recommends ways to institutionalize operationalization of these parameters. Recognizing the ministrys pioneering work in the development of these indicators, in this study wherever necessary, TERI suggests additional parameters in the said sectors. This study also focuses on the current planning and delivery processes, and
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the institutional, regulatory, and capacity issues that are necessary to operationalize these parameters for urban services. In addition, this study also looks at the buildings and electricity sectors and explores the possibility of including them in the current urban development policy scenario, as they have great implications for energy and environment, and therefore, sustainability of urban areas. This study also recognizes the fact that urban services outside the formal system of delivery are characterized by the existence of informal markets that need to be studied and analysed in greater detail. There is also recognition of the fact that a chunk of our urban population resides in slums, and these are often not adequately served with basic urban services, thereby leading to concerns of inequity. The study touches upon these two issues and attempts to flag the key issues and suggest alternative policy directions.
Project methodology
For each of the six sectors (five urban services plus governance) mentioned above, the following methodology was adopted by TERI. P Literature review A detailed review of literature and case studies, both national and international, on how sustainability in urban service delivery can be addressed was carried out and good practices were identified. P Identifying sustainability parameters Drawing from this, the definition of a sustainable service and parameters necessary to make service delivery sustainable were identified. P Evaluating the current situation through secondary sources and visits to three cities Based on available literature and TERIs past works, an analysis of the current situation of each of the parameters was carried out for each sector. The analysis was done for urban India in general. Visits were made to three very different Indian cities, reflecting the heterogeneity in social, cultural, resource, economic, and physical characteristics in urban India, and the validity of these parameters tested there. These cities were the following. Hyderabad (5.53 million): large-sized, rapidly expanding metropolis, state capital, cultural and tourist city, IT (information technology) hub Surat (2.81 million): medium-sized, industrial, and trade city Shillong (0.25 million): small-sized, hilly, tourist destination, and state capital Having a dialogue with various stakeholders (ranging from urban local bodies, private service providers, NGOs working in the sector and citizens) in each city formed a critical link in understanding the planning and approaches adopted behind the delivery of services. The focus of the stakeholder interviews was to address the following issues. Extent to which these cities are addressing the sustainability parameters Issues/impediments to sustainability
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Extent to which some of the identified parameters are feasible to be operationalized Any good practices on sustainability which could be replicated in other cities P Recommendations to operationalize the sustainability parameters in Indian cities Recommendations on how to implement the identified sustainability measures in Indian cities, monitor these measures over a period of time, the supporting data and capacity requirements, the kind of policy institutional and organizational changes required, and suggestions for the smaller and medium-sized Indian cities which are rapidly adopting the not-so-sustainable path of the larger cities were made. Though governance was treated as a separate sector in the study, it drew from all the other sectors. While the methodology for governance was similar to the others, the identification of the principles of good governance was done upfront (deriving from the accepted definitions of good governance) and the case studies helped to draw lessons on how principles of good governance when operationalized in the working of municipal bodies, could improve the quality of urban services. Besides this, regular interactions and knowledge-sharing activities with various stakeholders like city authorities, service providers, academia, NGOs, and research institutions working in these sectors were carried out through both visits to cities, and two wide-ranging consultation meetings held in Delhi.
Report structure
After the common introductory chapter, the report is divided into six sections, each of which deals with one sector in detail. Each section/sector contains the following. P Review of good practices and case studies on making service delivery more sustainable P Identification of parameters to assess sustainability P Analysing the existing situation in light of the identified parameters for urban India P Recommendations to operationalize these parameters in Indian cities, including recommendations on technical, policy, legal, organizational, capacity building, data collection and monitoring aspects The report also contains two short theme papers on sustainable service delivery for the urban poor and the role of informal markets in urban service delivery.
References
NIPFP (National Institute of Public Finance and Policy). 2007 India Urban Report: a summary assessment New Delhi: NIPFP
CHAPTER
Water*
Introduction
The continued destruction of ecosystems, loss of aquatic species, dislocation of human populations, disruption of sedimentation processes and contamination of water sources (Falkenmark 1998; Gleick 2000; WRI 2003; Sophocleous 2004) are all evidence of the overexploitation and poor management of freshwater resources. The concept of sustainable development, however, has reinvigorated attempts to better manage the water environment through appropriate policy-making and planning strategies, and represents an important extension of the principles of integrated water management (Simonovic 1996). According to the OECD (2003, p. 19), water is the perfect example of a sustainable development challengeencompassing environmental, economic and social dimensions. The sustainable management of water resources, therefore, implies not only the indefinite continuation of physically and biologically stable systems (Newson, Gardiner, and Slater 2000), but also concern for the other dimensions of sustainable development, such as the economic efficiency of water use, the equitable distribution of the costs and benefits of water resource developments and participatory approaches to policy-making and decision-taking (Lee 1992; Stagl 2004). Addressing the sustainability of water resources management requires appropriate frameworks of indicators, which can ideally describe and communicate current (and perhaps previous) conditions, foster critical thinking about remedial actions required and facilitate the participation of various stakeholders in decision-making processes (Brugmann 1997). Bossel (1999) argues that indicators should provide essential information on the viability of a system and its rate of change, and on how these contribute to the sustainable development of the overall system. With this backdrop, this chapter seeks to develop a framework of sustainability indicators for water management in urban India that integrates socio-economic and environmental dimensions, and that could assist policy-making and the wider communication and understanding of water resource issues.
*The authors would like to acknowledge the contributions by Mr Kamal Kumar Murari and Ms Roshni Chakraborty from the Water Resources Division, TERI.
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Water
Literature and case study review

Sustainable management of water resources is a multidimensional way of thinking. This process involves recognizing the interdependencies between nature, society, and the economy with respect to water use. The Brundtland Report popularized the term sustainability for human and environmental development when it was published in 1987. In the report, sustainable activities were defined as ones where the needs of the present generation are met without compromising the needs of future generations. What the Brundtland definition implies is an equitable distribution of the resource, not only spatially between users in a given location, but temporally between users over time. The idea is to allocate the resource in such a way for all, including the environment, as to have an adequate share without making any one group worse off, both now and in the future. However, sustainable management of water resources involves much more than its name implies. It involves a whole new way of looking at how we use our precious water resources. It also demands a shift from traditional top-down approach to a more open management system, where all levels have a say in the allocation and use of the resource. If properly done, this system ensures that the needs and concerns of those most affected by the use of the resource are addressed, without losing sight of the wider issues touching the society as a whole. Only when the needs of each user are understood can the resource be allocated and managed in a sustainable manner (DA 2007). For sustaining the water resources in any city, it is necessary that the available water resources be used optimally and efficiently. Programmes of demand management and network efficiency improvements, energy conservation, leakage reduction, and careful priority setting will bring the highest return in reducing operating costs and improving service. Consumers need to understand that the level and quality of services they receive will depend largely on the level of tariffs they are willing and able to pay. Sector institutions must strive to provide the service that people want at the least possible cost. Consumers should not be asked to pay higher tariffs only to have them squandered by wasteful management and inefficient operations. Given the severe limits on public financial resources and the dearth of management and operations capacity, entry of private utility operators and investors in the form of management contracts could be also a way of achieving efficiency in water management. Financial sustainability and cost recovery from tariffs, while providing inclusion and appropriate protection for the poor, should be the key objective of the citys reform agenda. As stated by the International Hydrological Programme, a UNESCO initiative, water problems cannot be solved by quick technical solutions. Solutions to water problems require the consideration of cultural, educational, communication and scientific aspects. Given the increasing political recognition of the importance of water, it is in the area of sustainable freshwater management that a major contribution to
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avoid/solve water-related problems, including future conflicts, can be found. Therefore, in this study, an attempt has been made to deal with water as well as waste water in a holistic fashion, taking into account the various issues affecting water use, including political, economic, social, technological, and environmental concerns. A lot of initiatives towards sustainable management of water resource have been already taken up in number of countries across the world. A few Indian cities have also realized the importance of efficient management of water resource through both supply and demand side management, and have made efforts to improve the existing management strategies. The following section presents a compilation of good practices, drawn from both national and international literature, adopted by different cities, which have led to augmentation, efficient use, and conservation of water.
Supply side management

Public utilities in different parts of the world engage in some form of planning, although the extent and scope of planning vary greatly. In most cases, developing countries follow a supply side management of water resource. The prevailing planning processes undertaken by water utilities have been internally driven and dominated by supply considerations. The emphasis has been on maintaining reliable water supplies and, accordingly, the engineering of facilities for source development, treatment and storage, and transmission and distribution of water. Water-supply planning generally takes the form of forecasting future demand and developing and analysing supply options to meet the projected demand level, plus a comfortable margin.
Case 1: Source augmentation, Chennai Water Supply Board

Chennai has the lowest per capita water availability out of all the metros in India. In the absence of perennial rivers, the Chennai Metropolitan Water Supply and Sewerage Board (hereafter referred to as Chennai Metro Water), the agency responsible for water supply and sewerage systems in Chennai, has had to exploit ground aquifer to complement water from reservoirs. However, in recent years, Chennai Metro Water has been shifting its strategy from extraction-based to conservation-based water supply. Chennai Metro Water faced problem of groundwater depletion and sea-water intrusion into the aquifers in the last three decades. In 1987, Chennai Metro Water evolved strategies to overcome this crisis through water harvesting at macro and micro level. At macro level, check dams were constructed along the river basins and floodwaters were injected into underground aquifers though injection wells. Minjur area, north Chennai, was well known for the availability of a groundwater aquifer in the mid 1960s (CMWSSB 1998). But the aquifer was not able to reach its expected yield, and the extraction only gave way to intrusion of saline water. To overcome this, Chennai Metro Water evolved strategies to harvest rainwater on a large scale through check dams along the AraniyarKorataliyar basin. These check dams have shown significant results in
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improving the water table in various observation wells set up by the Chennai Metro Water (Nair 1998). To further reduce sea-water intrusion caused by over extraction of groundwater, pollution from industries and existence of saltpans, along the same area, large-scale recharging wells were constructed between the coast and Minjur. Floodwater was injected in these wells as a recharge to create a barrier to the salt-water intrusion. These measures have shown significant results in the decrease of Electrical Conductivity values, one of the measures to assess the saline content in the water. (CMWSSB 1998, p.45). Learning from the experience in Minjur area of north Chennai, Chennai Metro Water realized the importance of saving the coastal aquifers and other groundwater potential zones in and around the city. It introduced an act to regulate and control extraction, use or transportation of groundwater, called the Chennai Metropolitan Area Ground Water (Regulation) Act 27, 1987. The Act envisages registration of existing wells, regulations for sinking new wells, issuing licenses to extract water for nondomestic use and issue of licenses for transportation through goods vehicle. The Act covers the city and the adjoining 243 villages. The Act has been able to control the private water market; to regulate water extraction and improve the groundwater levels in the southern aquifers, in particular, and Chennai city in general (CMWSSB 1998). The lesson that could be learnt from Chennais initiative is that rather than augmenting the source through further extraction, source augmentation can be also done through a conservation-based approach. Also, through introduction of the Act to regulate and control the extraction of groundwater, the Chennai Metro Water could to a large extent, control the private water markets. Since groundwater depletion is one of the major challenges that most of the ULBs (urban local bodies) face, such an act can help in reducing the pressure from groundwater reserves of the city.
Case 2: Groundwater recharge in Rajkot

In the arid Saurashtra region of Gujarat, the water situation is made difficult by the destruction of forests and local water systems, and by the overuse of groundwater and consequent salinity ingress along the long coastline. In this region, a peoples movement to recharge existing wells by diverting local streams to the wells via a filtration pit has led to remarkable change in the water availability situation. Over 300 000 of the total 700 000 wells have already been recharged. Hundreds of local tanks have been renovated or dug up. In the urban areas, the movement has led to groundwater recharging through handpump tube well. In Rajkot city alone, in 1995, more than 4000 handpumps were recharged by this method. Roof or terrace water is diverted into a small tank from which it is allowed to flow in the casing pipe of a handpump (Parthsarthi and Patel 1997). The case study demonstrates that to make any scheme successful, it is imperative to have peoples support and involvement. In this case, it is mainly because the people/
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community took the lead to recharge a large number of groundwater sources, thus reducing the impact on the groundwater table due to extraction.
Case 3: Waste-water management in Sangli, Maharastra

A scheme was developed for the treatment of domestic sewage after 15 years of intensive research by the Shivasadan Co-operative Society. The scheme envisaged treatment of 6 MLD (million litres per day) of the nearly 50 MLD of water collected from the city of Sangli. The actual purification was done with the help of water hyacinth and water thus treated was utilized for agricultural purposes or drained into the Krishna river. The estimated capital expenditure on the Shivsadan waste-water treatment scheme was Rs 4.8 million and maintenance cost Rs 963 000 per annum. About 30 tonnes of water hyacinth biomass was harvested from four hectares daily, yielding nearly 6 tonnes of rich organic manure, which, in turn, enriched the civic coffers by Rs 931 000 annually. While the capital investment on a conventional advanced water treatment system operated mechanically will be Rs 1.5 million per MLD, Shivsadans scheme cut it down to Rs 800 000. Power consumption was reduced to one-tenth. The plan demonstrates an innovative approach to treat, as well as reuse, waste water by using less energy.
Demand side management

WDM (water demand management), an important component of integrated water resources management, promotes and balances efficiency, equity, and sustainability objectives for the management and allocation of water resources. It covers a wide range of technical, economic, educational, capacity building and policy measures that need to be applied by water resource planners, water supply agencies, and end users (Gumbo, Forster, and Arntzen 2005). The economic, social and environmental reasons for WDM vary from country to country in terms of meeting basic human needs and providing affordable access to minimum supplies of water for that purpose (GWPTEC8 2003). Various studies have indicated that for a variety of reasons, most end-users in developing countries use water inefficiently and that most municipal water supply agencies face high levels of water that is unaccounted for and do not reuse waste water beneficially. This water-use inefficiency is a reflection of traditional supply side bias of water management. It is important to note that WDM does not always imply that water usage should be reduced, instead it implies that water should be used efficiently without wastage.
Case 1: A. Rainwater harvesting, Tokyo, Japan

After battling both water scarcity and floods, Sumida City in Tokyo has become a trailblazer in catching and using rainwater (SANDRP 1999). Rainwater utilization policies have been promoted with three basic aims: developing water resources by
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community efforts, restoring the regional natural water cycle, and ensuring water supply for emergencies. The ward office boasts of a rainwater utilization system that covers half of the water needs and saves 1.8 million yens for the government. One of the major achievements has been the installation of a rainwater harvesting facility at Ryogoku Kokugikan, a well known Sumo wrestling arena in Tokyo, where 70% of the facilities use only rainwater. In August 1998, six ministries in the Japanese government announced to jointly draw out water conservation policies. By formulating rainwater-harvesting policies and implementing it through communities involvement, Tokyo has been able to demonstrate that rainwater can serve as a supplementary source of water supply for the city and can ensure water when there is any failure in the main water supply scheme.
B. Rainwater harvesting, Germany

Municipalities in Germany have devised a taxation system that encourages rainwater harvesting. Residents are charged separately on the basis of paved and sealed areas in their houses, such as backyards and drives. A tax inspector measures the paved area and calculates the average run-off it will generate. Accordingly, tax is levied. Residents are compensated for carrying out rainwater-har vesting structures by lowering the water bills to recover the cost of harvesting. This has resulted in reduced demand for water, as residents water demand has been addressed by harvesting rainwater.
Case 2 A: Leak detection in Cornwall, United Kingdom

During the period 199295, the water company South West Water developed a leakage control programme, and enough water was saved to supply the domestic needs of Cornwall. The company started to install valves and measuring equipment in its 471 DMAs (district meter areas). They were split into 20 leakage control types pubs and farms, for instance and a survey was undertaken into legitimate night use in each category. It also introduced the so-called super-key meters, which measure the water that leaves each water treatment works. The company also developed a mathematical model known as MELT (modelling economic leakage targets). The first step in creating the model was to break down the company into 65 water into supply zones. Any water entering or leaving or being produced in a zone was measured. The measuring devices were connected to telemeters to obtain details of instantaneous demand. The model sets leakage targets for each zone. The case study demonstrates a systematic way of detecting leaks by demarcating the city into several DMAs and setting targets for each zone. The method used will not only help reduce wastage of water, but also help in keeping a record of the demand in each zone, which can be useful in formulating any future policy.
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B: Leak detection, Nagpur, Maharastra

Reforms in Nagpurs water supply were long overdue; the quantity of water available was adequate, but huge losses in distribution due to 35 000 illegal water connections and 18 000 authorized but non-metered connections caused acute water shortage. Motivated by the need to augment revenues, the NMC (Nagpur Municipal Corporation) in October 2001 declared a time-bound programme aimed at regularizing illegal water connections and also applying universal metering policy. For identifying unauthorized and unmetered connections, licensed plumbers were involved in the programme, since they were the ones who generally installed water connections and were probably instrumental in installing the illegal connections to begin with. The incentive of Rs 50100 for every illegal connection motivated about 200 plumbers. They were organized into teams and assigned to the seven water zones of the city. They undertook a door-to-door survey, convincing the illegal connection holders to regularize their connections, getting the connections sanctioned, depositing the requisite charges, fixing meters and reporting those who refused to regularize their connection to respective zonal office. The water connections of those who refused to avail the scheme were immediately disconnected. Like the plumbers, a fixed monthly target of revenue collection from respective zones also motivated the NMC staff working on the team. With insignificant expenses of about Rs 0.2 million as incentives for plumbers and a minimum amount spent on the publicity drive, the programme achieved regularization of about 25 000 (71%) connections within a short period of four months. There was significant and evident increase in revenue generation as the quantity of water billed reached 300 MLD in 2002/03 from 163 MLD in 1998/99, translating into over three-fold increase in revenue from Rs 148.3 million in 1998/99 to Rs 500 million in 2001/02. The NMC has also had some luck with private sector participation. It was found that after receiving a very high quotation for one of its water supply and sanitation expansion schemes, the NMC decided to go in for a target-oriented and focused tendering process. This brought in a lot of new ideas along with substantial reduction in the costs and time span for project completion. Locally available consulting organizations (not named by the authors) suggested some innovative options such as use of pulsator technology for water treatment and also professionalizing the whole process. The leakage detection work was outsourced to a consulting firm and suggestions from them to avoid further leakages were seriously implemented, such as bringing the water through pipelines from the source itself, rather than through open channels. The NMC now also has a contract with a private firm for conducting repairs. Leakages in pipelines are a major source of wastage of water in most Indian cities. This case study demonstrates an interesting way of tacking the leakage problem. By
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giving incentives to the plumbers a huge amount of water as well money could be saved. Also, limited but vital PSP (private sector participation) initiatives can also bring in a new culture of solving problems and improving efficiency in the water sector, as initiated by NMC.
Case 3 A: Water management through tariff regulation, a case of Singapore

In Singapore, the average monthly household consumption of water has steadily declined during the 19952004 period. The consumption in 2004 was 11% less than in 1995. During the same period, the average monthly bill more than doubled. These figures indicate that the new tariffs had a notable impact on consumer behaviour and have tur ned out to be an effective instrument for demand management. This is a positive development, since the annual water demands in Singapore increased steadily, from 403 million m3 in 1995 to 454 million m3 in 2000. The demand management policies introduced have resulted in lowering of this demand, which declined to 440 million m3 in 2004. In terms of equity, the government provides specially targeted help for lower income families. Households living in one- and two-room flats receive higher rebates during difficult economic times. For hardship cases, affected households are eligible to receive social financial assistance from the Ministry of Community Development, Youth and Sports. The current tariff structured used by PUB (Public Utilities Board) have several distinct advantages, among which are the following. P There is no lifeline tariff, which is used in many countries with the rationale that water for the poor should be subsidized, as they cannot afford to pay high tariffs for something that is essential for human survival. The main disadvantage of such a lifeline tariff is that it also subsidizes water consumers who can afford to pay for the quantity of water they actually consume. P The poor, who cannot afford to pay for the current water tariffs, receive a targeted subsidy. This is a much more efficient policy in socio-economic terms, instead of providing subsidized water to all for the first 2030 m3 of water consumed by all households, irrespective of their economic conditions. P The current domestic tariff of water consumption up to 40 m3/month/household is identical to the non-domestic tariff. Both are set at S$1.17/m3. In other words, commercial and industrial users do not subsidize domestic users, which is often the case for numerous countries. P The tariff structure penalizes all those households that use more than 40 m3 of water per month. They pay the highest rates, S$1.40 m3, for consumption above this level. This rate is higher than the commercial and the industrial rates, and is a somewhat unusual feature compared to the existing norm.
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P The WCT (water conservation tax) is 30% of the tariff for all consumers, except for domestic households who use more than 40 m 3/month. The WCT on consumption of each unit higher than 40 m3/month goes up by 50%, from 30% to 45%, which must be having perceptible impacts on household behaviour in terms of water conservation and overall demand management. P The WBF (water-borne fee) is used to offset the cost for treating waste water and for the maintenance and extension of the public sewerage system. It is set at S$0.30 m3/s for all domestic consumption. For non-domestic consumption, this fee is doubled, at S$0.60/m3, presumably because it is more difficult and expensive to treat non-domestic waste water. P An SAF (sanitary appliance fee) is also levied per sanitary fitting per month. It is currently set at S$3.00 per fitting. P There are two components to water tariff. A major component of the overall revenue collected through water tariffs accrue to the PUB recovering all operation and for considering maintenance costs and new investments. However, revenue from the WCT accrues to the government and not to the PUB.
B: Implementation of new tariff structure, Santa Cruz de Tenerife, Canary Islands, Spain
The water use in the city of Santa Cruz de Tenerife increased between 1985 and 1991. From 1992, it has slowed down after the implementation of the following measures. P Campaign of education for water saving P New tariff structure (rising blocks) with variable prices by m3 The new tariff included a fixed service charge and a variable tariff divided into five rising blocks for domestic use and just three rising blocks for industrial use. Both the case studies highlight different tariff structures for the city. In both the cases special attention has been given for the marginalized section of the society. A good tariff structure can act as an effective way of demand management as well as can lead to equitable distribution of water by reducing wastage and excessive use.
Case 4: Recycling waste water in Chennai

Chennai Metro Water has just commissioned the first of its two sewage treatment plants at Kodungaiyur. The second plant is expected to become functional before the end of the year and thus, Metro Water is hoping to throw out something like 20 MGD (million gallons per day) of secondary treated water. The Tamil Nadu government has asked major industries in Manali, including Madras Fertilizers (5 MGD), Madras refineries (10 MGD) and SPIC group of industries (5 MGD), to recycle the secondary treated water from Kodungaiyur for their industrial uses. This would mean saving nearly 10 MGD of drinking water, which is now being supplied to these industries. A tertiary treatment plant will be set up to bring the secondary treated water to the prescribed
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specifications. The Chennai Metro Water would offer land on lease for the setting up of tertiary treatment plant and supply secondary treated water, with a BOD (biological oxygen demand) level of 50 PPM (parts per million) at nominal cost of 10 paise per 1000 litres. The initiative undertaken by the Chennai Metro Water in Tamil Nadu can help reduce the demand on fresh water from industries, thus making water available for drinking purposes. Usually, the availability of land to set up treatment plant acts as a barrier but Metro Waters offer to provide land on lease to set up treatment plants and to provide treated water to industries at a cheaper rate, can encourage the industries to use treated water in their plants. This could be replicated in other cities as well, where the demand for water from the industrial sector is very high. There is a huge scope in the industries to use treated water, thus reducing the pressure on fresh water resources, which can be then made available for other priority sectors.
Institutional mechanisms for water and waste water sector Case 1: Publicprivate partnership in Bangalore
At present there are no Indian cities with private sector involvement in the water and waste-water sector but some cities are moving towards management contracts with private operators. For example, the BWSSB (Bangalore Water Supply and Sewerage Board) is negotiating contracts for operation and management of two pilot areas, each with a population of 1.2 million. The private operator will be responsible for water supply, sewerage collection and treatment, revenue collection and customer relation, including grievances in these two areas. The BWSSB will continue to be responsible for service delivery to the rest of the city serving a population of 3.6 million. A regulatory unit will be set up within the BWSSB and if these initial concessions, prove successful, two further concessions covering the entire city will be granted after five years (Tippeswamy 2004).
Case 2: Overall water governance: a case of Singapores Public Utilities Board

The Singapore PUB ranks among the top 5% of all the urban water utilities of the world in terms of its performance. The following are some indicators that highlight the notable features of the PUB. P 100% of the population has access to drinking water and sanitation. P The entire water supply system, from water works to consumers, is 100% metered. P Unaccounted for water as a percentage of total production was 5.18% in 2004. P The number of accounts served per PUB employee was 376 in 2004. P Monthly bill collection efficiency: 99% in 2004. P Monthly bill collection in terms of days of sales outstanding was 35 days in 2004.
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The PUB has extensively used the private sector, where it did not have special competence or competitive advantage in order to strive for the lowest cost alternative. Earlier, the use of the private sector for desalination and waste-water reclamation has been noted. In addition, specific activities are often outsourced to private sector companies. The PUB has a high level of autonomy and solid political and public support, which allowed it to increase water tariffs in progressive steps between 1997 and 2000. Water tariffs have not been raised since July 2000. The increase between 1997 and 2000 has not only reduced the average monthly household water demand but has also increased the PUBs income, which has enabled it to generate funds not only for good and timely operation and maintenance of the existing system but also for investments for future activities. The overall governance of water supply and waste-water management systems in Singapore is exemplary in terms of its performance, transparency, and accountability. There is much that both the developed and developing world can learn from the PUB experience. The Singapore experience indicates that given autonomy and other appropriate enabling environmental conditions, the utilities can not only be financially viable but also perform their tasks efficiently.
Lessons learnt
From the above literature review, it is clear that several urban local bodies dealing with water sector across the world have initiated numerous innovative approaches to manage the water for domestic and industrial purposes. Many of these approaches Table 1 Summary of good practices studies
City Chennai Rajkot Sangli Chennai Tokyo Nagpur Cornwall Singapore Bangalore Country India India India India Japan India UK Singapore India Good practice Source augmentation through conservation approach Initiative undertaken by community to recharge depleting groundwater Waste-water treatment through water hyacinth and reuse for irrigation Recycling and reuse of waste water by industries Policy initiatives towards rainwater harvesting and implementation through community participation Identifying and regularizing illegal connections through licensed plumbers Systematic way of leak detection and monitoring water demand Water management and conservation through tariff rationalization BWSSB negotiating contracts with private operators to take responsibility of water supply, sewerage collection and treatment, revenue collection and customer relation in two areas of the city, for improved efficiency in the service delivery.
BWSSBBangalore Water Supply and Sewerage Board
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can be adopted by the urban centres in India to improve their water management systems in terms of resource management, economics of water, and institutional mechanisms with appropriate modifications. Most of the cases discussed above have been successful in managing its water and waste water is because of their concurrent emphasis on supply and demand management, waste-water management, institutional effectiveness and creating an enabling environment, which includes a strong political will, effective legal and regulatory frameworks, and an experienced and motivated workforce.
Developing the framework for analysis

Based on the literature review of good practices and measures adopted to make the water sector in urban areas more sustainable, the following definition for a sustainable water resource management in an Indian city was arrived at. Providing people with equitable access to water, while at the same time ensuring socioenvironmental and economic sustainability of the resources in the future. The overall vision is to come up with a sustainability framework for the urban water sector, with a source-to-sink approach, integrating technological, socio-economic and environmental considerations. Based on the above definition, a research framework/ agenda for assessing sustainability in the urban water sector in the Indian cities was created. The research framework primarily translated the above definition of sustainability of water resources into a set of parameters important for a city to consider for ensuring sustainable management of water resources in a city. Initially, a large number of indicators were selected based on both national and international reviews of literature. In order to reduce the number of indicators to a manageable number, intensive literature review and analysis through city visits were undertaken. The agenda of the city visits was primarily to understand the present water and waste-water scenario in the cities of Hyderabad, Surat, and Shillong. The visits were undertaken to understand the issues, barriers, and gaps that are impeding sustainable management of water resources. The MoUD (Ministry of Urban Development) has identified key benchmarking indicators for the various basic services, including water supply for Indian cities. The indicators cover a wide variety of issues relating to coverage, access, quality, continuity of water supply, efficiency in redressal, of complain, cost recovery, collection efficiency of waste water, and so on, which would be crucial to improving the water supply services in the cities across the country. In addition to that, TERI has developed a few additional parameters like data management, capacity building, and source protection to make the list exhaustive. Further, our recommendations include the process of achieving and operationalizing the benchmark set for each MoUD indicators.
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The framework developed by TERI for sustainable water management is described below. These parameters are crucial for any water utility, board or local body to undertake. The priority may differ, depending on the city status, needs, resources, and so on, but eventually these reforms are crucial to the provision of equitable and adequate access to water. The framework developed by TERI for sustainable water management, along with MoUD indicators can be broadly classified into four components. Each of the components has been discussed below in detail. 1 Data procurement and management 2 Economic efficiency 3 Source development /protection 4 Institutional reforms
Data procurement and management

Water utilities in Indias urban centres tend to suffer from a chronic failure to establish meaningful programme objectives, mainly due to the lack of data and a comprehensive information system to aid decision-making. Information is required in order for a water authority to function properly. This information is derived from data, such that the data has to be collected, processed, and interpreted to provide this information. A water authority is dependent upon information to carry out its scientific, engineering and operational functions. The provision of information for a water authority is something that has to be organized rather than just allowed to happen. Keeping this objective in mind, data management in urban water utilities in India has been taken as the most important parameter to be analysed. The MoUDs indicators for water and waste water for better service delivery by the utilities are (100% benchmark) P Coverage of water supply connections and waste-water network P Per capita production of water P Extent of metering of water connections P Extent of non-revenue water Data procurement and management is a crucial parameter to achieve the benchamark (100%) set by the MoUD for the above-mentioned indicators. For improved reach and access to quality service, the utility provider will need to have adequate data, both at the supply and consumer end. There is also a need to generate spatialtemporal database system to be maintained on a GIS (geographical information system) framework. Hence, data procurement and management has been developed as an additional parameter to enhance the service delivery by utilities.
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Economic efficiency
Effective water resource management requires water to be treated as an economic good. Given that water is a basic human necessity, affordability of the services, transparency and accountability become major issues. The MoUD indicators for economic efficiency with 100% benchmark are P Continuity of water supply P Cost recovery in water supply services P Efficiency in collection of water-supply-related charge and waste-water network To achieve economic efficiency, there is a need for sustainable and equitable tariff structure and efficient revenue collection. Such measures will be instrumental in improving the utilitys financial conditions, increased revenue collection, reducing unaccounted for loss, and so on. Along with the above-mentioned MoUD parameters, tariff rationalization, efficient billing and collection, water audits, and cost reduction by utilities have been added by TERI, to ensure economic efficiency in urban local bodies to br ing financial sustainability in water resource management.
Source development / protection

With the growing water demand in urban India, there is an urgent need to manage and preserve the available water resources for their long-term sustainability. Water resources in India be it surface or groundwater have already reached a critical stage, for which an integrated approach is required in planning, formulation, and implementation with respect to socio-economic, environmental, and ecological aspects. Also, in most cities, water demand is much higher than is being supplied from the available resources. Water conservation practices like the use of recycled water, rainwater, and storm water harvesting can go a long way in reducing the pressure on the available resources. They can serve as supplementary source of water supply in the city. In this context, source development/protection has been taken up as one of the key parameters to assess the sustainability of water resources in a city. MoUD has suggested the following indicators with 100% benchmark. P Quality of water supplied and waste-water treatment P Adequacy of waste-water treatment capacity P Extent of reuse and recycling of waste water However, to ensure long-term sustainability of water resources, the following parameters have been suggested by TERI. P Catchment protection/ ecological assessment of surface water/ groundwater monitoring/ desilting
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P Water conservation/waste-water management and reuse P Water and waste-water quality
Institutional reforms
Institutional mechanism is an important parameter, as a strong institutional setup is required to make it conducive to operationalize the other parameters in the framework. Within this parameter, it is also important to include the marginalized section (for example, urban slums) so that these sections of the society are not deprived of their share. Along with reviewing and revamping the existing institutional setup, it is equally important to also find ways to regularize the informal water market. All these will be dealt within the parameter of institutional reforms. The indicator suggested by the MoUD, is P Efficiency in redressal of customer complaints (100% benchmark) Along with the MoUD indicator, to strengthen the existing institutions, the institutional parameters suggested by TERI are the following. P Standard review/ legal and legislative requirements/ setting up of regulatory board P Regulating informal markets P Increased and efficient community involvement and participation P Appropriate publicprivate partnership model Along with the above-mentioned parameters, capacity requirement, funding, and role and responsibility of the ULBs will be discussed in detail.
Analysis of the sustainability parameter in urban India

Urban local bodies in India suffer from several deficiencies and are yet to respond adequately to emerging challenges posed by the rapidly changing urban scenario. The critical issues are service coverage and quality, per capita water supply, increasing demand for water, inequitable water supply, deficiencies in the treatment of raw water and in the distribution system along with poor revenue collection Box 1 Single source of water
In both Surat and Shillong, the entire surface water is sourced from a single river, that is, Tapi and Unimew, respectively. The Tapi is under threat due to contamination from domestic and industrial sources, and the Umiew is under threat from the massive deforestation, traditional farming practices, and quarrying activities in and around the catchments. However, in case of Hyderabad, the citys water supply is fed by multiple sources. These include both rivers and lake, namely, Osman Sagar on Musi, Himayat Sagaron Esi river, Manjira river and Krishna river. In spite of multiple water sources, in contrast to other cities, Hyderabad is facing acute water shortage due to rapid degradation of all the above-mentioned water sources, except the Krishna. Source City visit, 2008
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(Pachauri and Batra 2001). These drawbacks have in many ways resulted in the establishment of informal water markets, where the urban poor are the main sufferers and pay more than the affluent for the service. To understand the present situation and challenges that the ULBs are facing, an in-depth analysis of urban centres of India was carried out for the chosen parameters through city visits and literature review. Boxes 17 describe the findings from the city visits.
Data management
Except for a very few cities, most local bodies in urban India lack data on the municipality services. Lack of adequate data and updated maps makes it very difficult for the local bodies to improve service delivery. There is no record of leaks in the system, repairs down, age of the infrastructure, water demand by consumers, amount of water supplied to different localities, and so on. This information is crucial to manage the water works department efficiently and effectively. In most cities, it was found that no primary assessment had been made to find out the actual UFW (unaccounted for water). Without such an assessment, it is all the more difficult to design strategies to reduce the UFW. Thus, a comprehensive municipal GIS should provide a common platform for data collection, storage, authorized and secure access to spatial data, harmonizing the work flow of respective departments, and disseminating information for the benefit of the public at large.
Box 2 Poor coverage

The city of Hyderabad has 70% area under the municipal city limits, covered under piped water supply. But this supply is also irregular, since water is supplied for only half to around two hours every alternate day in the HMC and for one hour every third day in the surrounding municipalities. Although the city of Surat fares better in terms of coverage (97%), in terms of regular water supply, it also shares the same fate as Hyderabad, as the city residents receives water on an average for 2 to 3 hours daily at different timings in different localities. The service providers are able to supply to only 50% of the population. The residents of Shillong are coping with the poor water supply by using small springs, private bore wells, and water supplies through private tankers. Source Hyderabad city visit, 2008
Box 3: Unaccounted for water

In Surat, where on official records the UFW (unaccounted for water) is only 15%, city officials agree that the figure does not represent an accurate estimate. In cities like Hyderabad and Shillong, which are under severe water stress, the UFW is nearly 40%. Source Surat city visit, 2008
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Source protection/ development

With rapid urbanization, water is becoming an increasingly scarce resource in the country. Water crisis is already evident in many parts of urban India, varying in scale and intensity at different times of the year. In most of the Indian cities, water demand far exceeds supply. The cities in India mostly depend upon a single source of water supply, usually surface water source. Although groundwater has also been tapped as a major source of water supply by residents and industries within the city, the ULBs usually tap surface water sources to supply water to its residents. Due to tremendous pressure from different sectors, the water sources are degrading both in quantity and quality. Unfortunately, there is no provision of protection of the existing source from degradation. As a result, once the existing source of water is depleted and is not enough for meeting the demand for water in the cities, residents are left with no choice but to dig borewells or buy water from private tankers. Apart from that, mismanagement of existing water resources is putting severe pressure on the water authorities to look for alternative sources of water. Thus, having exhausted, destroyed, and polluted the nearby sources and neglected using the potential of local sources, cities are reaching out to faraway sources for their water supply needs, which are not only expensive but also energy intensive. Where surface water sources fail to meet the rising demand, groundwater reserves are being tapped, often to unsustainable levels. Besides, widespread pollution of surface and groundwater is affecting the quality of water.
Economic efficiency
Most Indian cities have intermittent water supply of varying periodicity and quantity. A large number of cities in India have been able to provide piped water systems to their residents, but it is characterized by poor efficiencies, high levels of non-revenue water, low pressure, and water available for only a few hours (ADB 2007). Therefore, the consumers even connected by a piped network often spend large sums of money on expensive and unsafe alternatives to cope with the poor quality of services (WSP 2006). Apart from that, the urban water sector faces another major challengethat Box 4 Tariff reform
Both Hyderabad and Shillong municipalities have reported huge deficits. Although Surat is also faced with similar situation, the city has already introduced tariff reforms. To recover the future O&M expenditure of each service, necessary projections have been done with due consideration of past growth rates as well as estimated future growth. The SMC (Surat Municipal Corporation) is currently recovering 40%50% of the O&M costs for various services, including water supplies through various taxes and charges. Further, in the reform agenda of the municipality, the user charges projections have been stated categorically. Source Surat city visit, 2008
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of poorly maintained transmission and distribution networks. Consequently, physical losses are typically high, ranging from 25% to over 50%. Low pressures and intermittent supplies allow back-siphoning, which results in contamination of water in the distribution network. These inefficiencies unnecessarily drive up the operating costs of the utility provider. In the metropolitan cities of India, only 30% of waste water is treated before disposal. Most cities only have primary treatment facilities (Singh 2004). Due to urbanization, waste-water flows will increase in future. Treatment and disposal of waste water are inadequate or non-existent in most Indian cities. Invariably, the infrastructure issue is seen as the principal challenge, so that much of the debate is centred on waste-water treatment plants, their design, cost of operation, maintenance, and so on. Another critical problems faced by the urban water sector in India is the massive amount of unaccounted water. Because of this, the water supply authorities are losing valuable treated water and incurring mounting losses daily. The main reason for this is massive leakages across the entire water supply chain, illegal connections, non-/faulty metering, and so on. However, most of the cities do not have a proper system to estimate and track these losses; as a result, the exact quantity and locations are rarely traceable. In most cities in India, service providers are not being able to recover the O&M (operation and maintenance) cost, which has led to poor service delivery. The city water authorities are facing acute challenges of shortfall in revenue targets, failure to recover full cost of services from user charges, debt trap, and so on. As a result, the sector relies extensively on large state operating subsidies and capital grants, supplemented by loans to develop new water sector infrastructure. It is, therefore, imperative that water utilities should introduce tariff reforms that will lead to full cost recovery of the services, leading to improved water services to its customers.
Institutional reforms
Despite mammoth efforts of governments, a large portion of the urban population, especially the poor, still lack potable water supply (Chary 2005). In India, 82% of the urban population has access to safe drinking water, but only 63% have access to tapped water. Even though a target of 140 LPCD (litres per capita per day) has been Box 5 Installation of SCADA
The city of Surat has undertaken a commendable initiative by installing state-of-the-art instrument for online quality monitoring at various water distribution networks (installation of SCADA). Online instrument has inbuilt facilities for preserving database for at least six months. This is also useful for developing a troubleshooting matrix for better process control. Apart from that, the entire water supply network has been re-engineered; grid network has been developed to maintain the water quality status even during dry season. Source Surat city visit, 2008
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set, average per capita water supply ranges between 57 LPCD and 160 LPCD. In slum areas, average supply is a mere 27 LPCD, which results poor level of service, causing serious health risks. One of the important causes of poor service in many Indian cities is the intermittent water supply. In Asia, very few cities get continuous water supply. At present, no Indian city gets 24 7 water supplies. Along with that, another important challenge is the regulatory enforcement to ensure compliance with the required practice on part of water authorities, those discharging waste water, and those handling and using waste water. Inadequate policy and regulation, combined with a non-transparent and non-participatory process, is at the root of many of the water management problems plaguing the region. No or little cooperation exists between the various agencies responsible for the management of water resources in different sectors.
Urban slums
The slum areas in most Indian cities are often underserved by the public or formal water supplies. The slum dwellers facing inadequate water supplies have to bear the timeopportunity cost, as they have to spend long hours lining up for tankers. In addition to that, since regular water supply is not ensured from a single source, there is a growing reliance on multiple sources. Thus, the amount of time, effort, and money spent on ensuring sufficient supply impacts the slum in terms of household expenditure, health, routine, work or school hours, and so on.
Informal water markets

Water institutions depend critically on the level of formalization of the water economy (proportion of economy that comes under the ambit of direct regulation). The water sector is highly informal in countries like India. It is marked by heavy dependence of water users on self-provision, on informal personalized exchange institutions and community-managed sources (Shah 2007). In most Indian cities, there is a growing market for private small-scale companies, mostly selling bulk water through water tankers. The water supplied through such sources is rarely monitored or checked for quality. Further, such markets often lack or are outside the ambit of regulation and control. A few of these companies are registered with the water boards or municipal Box 6 Zero-leakage campaign
Hyderabad has initiated number of campaign programmes by the HWSSB (Hyderabad Water Supply and Sewerage Board) to educate people about the value of conserving water. Along with that, a zero-leakage campaign has been started to reduce the unaccounted for water losses. Further, Andhra Pradesh Pollution Control Board is planning to provide treated waste-water at a cheaper rate to reduce the industrial demand on treated fresh water. Source Hyderabad city visit, 2008
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Box 7 Examples of PPP in India

A success story of PPP (publicprivate partnership) is Navi Mumbai, which has improved water and sanitation services by using performance-based contracts to manage its water distribution and transmission the system. There was an increase of almost 45% in revenues and a substantial drop in customer complaints. Tirupur in Tamil Nadu was the first town to implement a PPP water project. A consortium of three private firms implemented the project to ensure sustained supply of water to this industrial town. The project was designed on a BOOT (Build-Own-Operate-and-Transfer) basis for 30 years, after which it was to be transferred to the government. Post project, the residents receive water every day for foursix hours, as opposed to receiving water on alternate days. The number of household connections has increased by 8000, and local industries have a reliable source of water. The DJB (Delhi Jal Board) has been running into controversy though privatization has not happened as yet. Lack of transparency in the process is a major concern, and the allocation of risks and potential rewards is drawing heavy flak. The DJB plans to invest huge public money to improve water supplies, but its plan for a greater role of private players is being questioned. Source Mehta U S, Hindu Business Line, Wednesday, 21 February 2007
corporations and often have rights or access to agricultural land, which provides them with access and property rights to the groundwater. Broadly speaking, the above discussion brings to light that along with efficient resource management and strong institutional mechanism, to ensure long-term sustainability of water resources in urban India, it is also important to increase water availability through more efficient allocation and use. This is guided by economic efficiency, equity and access, environmental protection, and sustainable ecosystems functioning, governance based on maximum participation, responsibility and accountability, and political acceptability (IUCN 2003). Overall, in most Indian cities, the parameters undertaken for this study are yet to be properly addressed. Some efforts have been made by these cities to address a few of the issues within the chosen parameters, but to be able to address the various issues related to water and waste-water management, an integrated and multidimensional approach is crucial.
Recommendations to operationalize the parameters

It is imperative for most of the cities across India to undertake reforms to improve the efficiency and management of the water utility with the principal goal of improved access through conservation. Although it is to be acknowledged that Indian cities are at various levels of provision, performance, and growth, the process and the ultimate goal should be common to all. The following section presents the recommendations based on the literature review and city visits that need to be adopted by the cities to be able to manage their water resources in a sustainable manner. The recommendations have been prioritized based on our understanding of the area within the urban water sector, where immediate
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attention is required for improved provision of water supply. However, stated priorities may change for individual cities that are dependent on needs, capacity, resources, and stage of development. These recommendations are not mere wishlists but provide a roadmap and operationalization plan that can be incorporated (policy changes, capacity building, and so on) to be able to execute the recommendations. Each of these recommended components is discussed in detail for their importance along with a brief operationalization plan. These identified priorities need to be defined for different cities, since each city is at present is differentially placed due to a variety of social, economic, demographic and political factors. The nature of capacity building, roles/responsibilities, funds, and so on has been also discussed towards the end of section.
Parameter 1: Data management

Data management has been accorded the highest priority, as data requirement and management will precede all other reform initiatives. One of the critical bottlenecks in the management of water resources is the lack of updated data on various aspects of water supply with the utility providers. Database generation is an important step to account for and analyse the performance of any water utility/ board. It should also be equipped with necessary information required for decision-making at all levels. Thus, it is imperative to couple management strategies such as metering, UFW, and tariff with an effective data acquisition, compilation, and processing system to use it as an aid for decision-making. A database management system would essentially consist of formats and tools for collection and compilation of data. Therefore, it is important to set up a spatial database system, wherein all records related to water operations under the utility are maintained on a GIS platform. A robust database should be maintained on the supply side, as well as the consumer end. The categories of data include customer data, operational data, and asset data. Annexure 1 provides a framework for GIS database system, An integrated comprehensive water supply network database is important to get a holistic understanding of the entire network and distribution, including inlets/outlets. In addition to this information, other ancillary, yet critical, information (like road network and locations), should be overlaid to create a comprehensive database to support resource management and planning. This data set will also provide information on coverage, UFW, metering, and so on, and ways to manage the system more efficiently and effectively. The data will enable cities to develop their future strategies to improve service delivery and achieve the benchmark set for MoUD indicators.
Technical requirements for data management

As the existing maps are obtained from various sources and are of different scale, integration of such data and information poses the major challenge in GIS database
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generation. However, it is worth noting that GIS database is usually developed based on secondary information and are always prone to certain level of inaccuracy, especially in the case of pipeline network distribution. In this regard, it is highly recommended that accuracy assessment of such databases needs to done based on stakeholder consultation and selective ground survey. Such database can be considered as a baseline and further refinement, updating and development can be done based on information to make it more accurate, updated, and comprehensive.
Roles and responsibilities

To improve and integrate the data generation and management capacities, the utilities or boards can form a separate department to handle such databases and to carry out updating of data on a regular basis. Any addition or alteration in the existing water supply infrastructure should be communicated to the cell responsible for maintaining this database. Stakeholders that are generally involved in this component include the water utilities and boards, research and engineering institutes, private GIS consultants, and funding agencies. However, for effective data management staff capacity has to be regularly developed and updated on elements like data collection, screening and logging, data transfer, data checking, and validation. It is acknowledged that not all the water boards, utilities and local bodies have similar capacities, resources, and so on. Therefore, it is not possible to create and develop these capacities within the organization. Some of the tasks can be outsourced or farmed out to consultancies, research institutes, and so on, have dedicated manpower and infrastructure for data management, including GIS and MIS (management information system). However, water boards, utilities, and local bodies should create adequate capacities to assign, deploy, utilize, oversee and manage the outsourced assignments.
Parameter 2: Economic efficiency

Economic efficiency is significant for any ULB or water utility to sustain the reform initiatives and to efficiently manage water supply and resources. Economic efficiency integrates several key components that are important to achieve this goal in a sustainable manner. P Reduction in UFW P Rationalization of water tariff P Efficient billing mechanism with metering P ULBs cost reduction
Reduction in unaccounted for water (Benchmark: 10%15%)

This section discusses the processes involved in establishing and implementing effective water loss management strategies and procedures to reduce UFW.
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Evaluating water loss in the system

The first and the foremost step is to evaluate the amount of water loss. Repair work can be planned and strategies chalked out once the level of losses in the system is determined. Therefore, such an assessment is extremely useful in resource assessment, policy formulation, and decision-making, particularly on future investments in infrastructure.
Water audit / balancing

Water audit and balancing provide a comprehensive appraisal of the availability, distribution, utilization, and the extent of losses in the system. A water audit is a thorough examination of water system records and field control equipment and helps in accounting for all the water distributed through a water system. In simple terms, auditing the water usage implies doing a mass balance study, wherein the inputs to a system are compared with the aggregate of consumption and outputs to assess the difference, which is the loss or unaccounted water. Dataset generated during the water auditing procedure should be used to calculate the (Infrastructure Leakage Index)1 for the entire city to determine the level of leakage within the distribution network.
Evaluating options to reduce UFW

After evaluating the existing water loss in the system the next step is to evaluate the existing practices of the local bodies to reduce UFW for both real2, as well as apparent loses.3 There are a number of options that a local body can choose for loss reduction.
Reducing UFW through pressure management

Pressure in the supply lines is often used as one of the performance indicators to assess the quality of service provided by any water utility. Management of pressure in the pipelines can be done through various measures like installation of pressure gauges, pressure loggers, and network modelling. Pressure management can lead to a minimum head loss while also ensuring adequate pressure to the consumers located at the tail end of the network. Pressure management extends infrastructure life and reduces unnecessary energy costs.
Reducing unmetered supplies/improving meter accuracy to reduce UFW

Metering as set by MoUD metering should be 100%. Metering needs to be done at three levels. 1 Utility level
1
The ILI gives the ratio between unavoidable annual real loss and the current annual real losses, representing the level of losses currently occurring throughout the system 2 Real loss: water lost through distribution system leakage and excessive pressure 3 Apparent loss: includes water that was not read accurately by a meter, unauthorized consumption, including water taken by theft, data analysis errors, and data used for billing.
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2 3
Bulk consumers Domestic level
P At utility level, installation and monitoring of bulk meters at inlet/outlet of water treatment plant, break pressure point, and at the outlet of major water storage tanks are essential in order to measure flows and carry out water balance. P Bulk revenue meters should be installed at the inlet of all bulk consumers like, hospital, schools, hotels, and so on. The cost of the meters and their installation should be borne by the respective consumer. P For metering at domestic level, arrangements for installation and the cost of meter should be worked out in advance before going for 100% metering. P If the utility faces any resistance from consumers regarding installation of meters, in such cases implementation on a pilot scale can be done, before scaling up for the entire city. P Utility should also make arrangements and provide facilities for meter repairing and purchase, as well as monitor meter tampering. P To ensure quality and reliability of the meters, the municipality should plan out regular schedule of calibration and maintenance of bulk meters in association with the manufacturer/supplier of these meters.
Reducing UFW through asset management

This includes retrofitting, replacement, and maintenance of existing infrastructure. An asset management programme involves developing a time- bound plan for retrofitting and replacement of existing infrastructure in a manner that ensures that the system keeps functioning at optimum efficiency. Replacement of old pipelines in the distribution network should be carried out in accordance with a worked out plan. To move towards the long-term objective of providing 24-hour water supply to the city in a sustainable manner, the existing infrastructure in the city needs to be replaced or rehabilitated in a phased manner. A properly planned maintenance schedule would help in improving the service life of the infrastructure. It is necessary that regular monitoring of system health be undertaken, covering all infrastructurepumps, water treatment units, pipes, valves, meters, and storage units.
Active leakage control to reduce UFW

Leakage management refers to the cost-effective reduction measures for reducing water lost due to leakage from the service providers distribution system and needs to be undertaken continuously rather than as a one-off initiative. Leakage is an outcome of poor O&M and low priority given to leak detection and control. Currently, leak repair is carried out on ad hoc basis with no regular planning. Further, leak control is limited to repair of major bursts, while hardly any attention is given to the large number of
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smaller leaks in the system. In addition to this, no data or information gathering system exists for recording leaks. A leakage management strategy is, thus, necessary to address the problem of leakages. This should address the following points. P Identification of leakage and repair should be taken up as a priority area by the utility provider P Adequate resources should be made available for this purpose, so that the utility can buy adequate leak detection equipment. P Leakages occurring from transmission pipes, valves, and pumps should be repaired immediately.
Reducing UFW through creation of district metered areas

For better monitoring of the water-supplied vis--vis the quantity supplied (total and LPCD), water consumed (total and LPCD), leakages in the system before and after the property line/consumer meter, it is recommended that the entire city can be divided into small discrete units called DMAs. P DMAs are established to have smaller zones of control in a utility distribution network. P They consist of a meter and PRV (pressure-reducing valve) controlling pressure and measuring flow. P The meter allows the measurement of flow into a district and by comparing the flow out of the district (metered customers) leakage could be determined. Such sectorization on hydraulic principles also assists in the following ways. P Better pressure optimization over a smaller zone of control and lower water losses P Financial savings P Shorter run times of leaks, as they are easier to identify P Easier active leakage control P Areas within the network more defined, smaller, and more manageable
Outcome
The outcomes of implementing an effective water loss management strategy include the following. P More efficient use of existing supplies P Increased knowledge of the distribution system and reduced leakage levels P Reduced disruption to customers (more leaks are repaired on a planned basis, rather than being allowed to develop into major breaks) P Increased revenues from previously undercharged customers P Savings for customers, who pay only for the water received rather than for water lost in the distribution system
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In fact, all the above stated initiatives to reduce UFWs in the system can be addressed through developing DMAs. It is an integrated way of systematically analysing and addressing the issues in a designated area.
Rationalization of water tariff

Currently, most of the water utilities in Indian cities follow a method of charging flat rates for water supply, primarily because there is no metering at the consumer end and also a low willingness to charge. An alternative to the current tariff structure is the two-part tariff structure. Such a tariff design typically includes a consumption/ volumetric rate in addition to the fixed water charge. The former is primarily a variable charge that recovers costs based on usage. The two-part tariff design is beneficial over current structure, as it encourages conservation, recovers costs of holding unused capacity for peak demand and reflects tariff efficiencies for servicing various customer categories. To operationalize the two-part tariff structure, a state-level independent regulatory authority needs to be set up and should be given adequate power and authority. The authority can play the following roles. P Set principles for tariff setting/ baseline parameters. P Conduct regular monitoring based on incentives and disincentives. P Hear consumer appeal/ case/ conflict settlements. The two-part tariff structure should be gradually increased over the years with 100% metering, and consumers should start paying for the water they consume. P Consumer categories that are not being charged for the water supplied, for example, places of worship, need to start paying for the same. If the state government wants to provide free water to these consumers, they need to provide subsidy to the municipality for the same. P The tariff schedule needs to be made more exhaustive, which not only clearly details the applicable charges for each consumer category. Tariff rationalization should also include some collection efficiency-improvement measures, for example, rebate/discounts on early payment and penalty of delayed payment. P Continuation of lifeline slab for poorest of the poor domestic consumers keeping in view their capacity to pay. P Currently, there is a high level of cross-subsidy in the existing tariff structure. Bulk consumers getting treated water and industrial consumers are subsidizing the consumption of domestic, non-domestic, worship places and public standpost categories. This cross subsidy should be gradually reduced and all categories be moved to pay the costs of supplying water to them. However, as highlighted earlier, there is a need to continue lifeline tariffs for the poorest of poor consumers.
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P The local body needs to maintain an exhaustive database to be able to undertake tariff rationalization. Hence parameter 1 data management can play an important role here. Also, costs incurred on inputs to water supply provision such as manpower, materials, equipment, fuel and energy, and transportation, and so on, need to be properly documented and accounted for.
Billing and collection

A separate cell for billing and collection can be set up so that this function can be segregated from the rest of the water department functions. The short-term aim for this cell should be to have completely updated computerized records and the analysis of the available information. The recommendation is to decentralize this process to the zonal levels for ease in billing and collection.
Cost reduction
Apart from adopting cost-coverage principles for tariff rationalization, local bodies should also look for ways to reduce their O&M cost. Local bodies should make all efforts to reduce operational wastage and improve cost effectiveness. Regular energy audits needs to be carried out by ULBs to save on energy costs. A reputed agency can be appointed by the ULBs to conduct regular energy audits of the complete system and pumping stations in water supply sector in order to identify areas where energy can be saved.
Parameter 3: Source development/ protection Ensuring long-term sustainability of water resources

1 Catchments protection and non-conventional water sources Most Indian cities depend heavily on surface water supply. However, since these existing sources are not protected from overexploitation and pollution, it has led to the depletion of traditional sources of water supply. In order to manage their mounting water demands, cities opt for expensive augmentation measures like long-distance import of surface water or desalination. Recommendations P Non-conventional water sources as complementary supplies for water utilities Rainwater harvesting Floodwater harvesting P Conservation of catchments/ water bodies from encroachment and restoration of traditional water bodies
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P The treatment of waste water before discharging it into surface water bodies P Assessment of ecological status of the rivers based on ecological classification 2 Groundwater monitoring The provision of water supply relates to groundwater, as it is an important source of water for the local bodies, and for domestic and industrial use. But the major concern is over decreasing availability and degrading quality. There are numerous groundwater management issues that need to be addressed, if urban groundwater development is to be more sustainable. There are two underlying causes behind the degradation of the groundwater resource. a Inadequately controlled groundwater abstraction b Excessive subsurface contamination load Recommendations P Non-notified zones should be brought under regulation and strict enforcement in notified areas. P It should be made compulsory for water-intensive industries within the city limits to recharge groundwater though artificial means like rainwater harvesting. There should be direct regulatory measures as well as economic instruments (financial incentive and sanctions) to achieve this. P Groundwater abstraction rights should be withdrawn from industrial companies that have not installed water-efficient technologies. Trading treated waste water for groundwater abstraction rights with industrial abstractor in fringe urban areas on a carefully planned basis can be done. P Before establishing a new plant, water availability needs to be assessed from longterm and ecosystem perspective, keeping in mind present and future (potential) competing water demands in the area. P A system of annual water and environmental audits needs to be put in place to monitor in a transparent manner, the corporate efforts towards conservation of water and in the areas surrounding the plant. P Water-intensive plants / beverage industries should ensure that all their bottling units have a clear mandate to give back to the local communities an appropriate part of the rent accruing from the use of their water.
3 Water quality
Drinking water quality standards (IS 10500) prescribed by the BIS (Bureau of Indian Standards) are largely based on the standards prescribed by the WHO (World Health Organization). While packaged drinking water standards (IS 14543) provide limits for individual pesticide residues (not more than 0.0001 mg/l) and total pesticides residues (not more than 0.0005 mg/l), IS 10500 mentions the
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permissible limits for pesticides as 0.001 mg/l. Also, IS 10500 is silent about important pollutants like PCBs (polychlorinated biphenyl) and PAHs (polyaromatic hydrocarbons). Again, for certain toxic substances like cyanide and lead, different values are provided by IS 10500 and IS 14543. The limit provided for fluoride is a subject of intense scientific debate. (Ayoob, Gupta, and Bhatt 2008). Recommendations P In order to provide more clarity about the prescribed standards, there is a need to do the thorough reevaluation of the process of setting of drinking water quality standards, which should incorporate the views of different stakeholders like research institutes, NGOs and water experts. P The quality of the water supplied by ULBs needs to be subject to periodical audits by independent organizations (like TERI). The audit should also be carried out to test the water quality at consumer level.
4 Waste-water management to control water pollution

P Discharge of waste water into surface sources (like rivers) is a great concern in urban India. Since the majority of waste water is discharged without any treatment, a waste water management plan is urgently needed. P The CPCB (Central Pollution Control Board) should come up with separate set of standards for waste water discharged from laboratories. SPCBs (state pollution control boards) can follow the standards set by the CPCB to monitor the lab discharge and wherever required should make the standard stringent. Recommendations The following recommendations are for industrial waste water. P There should be some standards/guidelines for various types of reuse of treated waste water. Although at present, there is a general guideline on the quality of waste water for reuse, in order to encourage the reuse of waste water for different purposes like irrigation of public parks, schoolyards, highway, and residential landscapes, for fire protection and toilet flushing in commercial and industrial buildings, recreational impoundments, such as ponds and lakes, environmental reuse by creating artificial wetlands/natural wetlands and industrial reuse (cooling tower), and so on, separate guidelines, wherever required, need to be formulated. P It should be made compulsory for the industries to reuse the treated water within their premises for various purposes. At present, some industries are using treated water within their premises mainly for gardening purpose. However the reuse needs to extend for other applications as well, like industrial cooling, car washing, and flushing. P Treated water should be supplied to bulk consumers like hospitals, schools, universities, hotels, and shopping malls. To encourage them to use treated water,
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financial incentives need to be given; for example, supply of treated water at a lower rate compared to the tariff that they pay for drinking water. The following recommendations are for domestic sewerage. P Improved guidelines and regulations for residential and commercial buildings for onsite waste-water systems. The guidelines should also provide various technical, as well cost options for decentralized waste-water treatment plants (for example, effective microbe technology). Water-saving technologies Several technologies are available to save water. P Ultra-low-flow toilets consume as little as one-fifth to one-seventh of what traditional toilets consume. P Toilet dams or other water displacement devices block part of the tank, so that less water is required to fill the toilet following each flush. P Xeriscaping involves planting native species that are able to survive under local rain and climate conditions can save large amounts of water. Even though the water consumed for gardening activities in these cities may be very less, there is a need to look at such water consumption. This is all the more important as the government maintains most of public gardens. One of the biggest challenges is to persuade consumers to use water-saving devices due to its high cost. Therefore, extensive research needs to be taken up in this sector to come up with water-saving accessories that are easily accessible and affordable. If required, a subsidy scheme needs to be developed to encourage consumers to install water-saving equipment. Apart from that, incentives should be also given to manufacturers/ retailers, to market/ sell water-efficient devices. As a more aggressive strategy, a municipality can enact standards for water-using appliances, at least for upcoming localities with new construction. In the medium term, along with the construction of sewage treatment facility, the municipality should also consider exploring opportunities for the reuse of treated waste water.
Parameter 4: Institutional reforms

To implement all the above-mentioned recommendations, a sound institutional framework is a prerequisite. The institutional reforms that need to be taken up for proper enforcement of the recommendations are the following.
Legal reforms
P Strengthening the existing institutional framework dealing with groundwater requires a review of the institutional responsibilities and legal provision.
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P SWP (state water policy) should be enacted through a legal framework and effectively enforced. P Rainwater harvesting should be made mandatory not only for households and industries but also for ULBs. There should be proper RWH guidelines, which should include information on design and methods, as well as contact information.
Policy/regulations
P Policy support and enforcement should ensure that water is released, and abstraction is limited to maintain the recommended environmental flows. P The SWP should identify the institutional mechanisms necessary for defining and enforcing physical limits to groundwater extraction. P There should be proper coordination between various agencies involved in managing water resources at different levels like the CPCB, SPCBs, MCs (municipal corporations), and GWBs (groundwater boards). P Regulations are required for residential and commercial buildings for designs/ standards for onsite waste-water systems. Enforcement should be applied with sanctions to parties that do not follow the regulations. P Water resource planning should be inclusive of waste-water reuse. P To prevent encroachment of the catchments of the rivers and other water bodies, strict regulations should be formulated in coordination with the land development authority.
Publicprivate partnership model

Private sector involvement in water services is both crucial, as well as a sensitive aspect in urban service improvement in India. PPP (publicprivate partnership) seeks to fuse the skills, funds and expertise from both public and private service providers with an ultimate aim of delivering good standard of services to the consumers. There is, however, a realization that no single model will suit all situations, and PPP must be tailored to meet local infrastructure, affordability, cultural norms, and so on. PPP has been explored and can be further explored in areas such as service contract (billing and collection), management contract (water treatment, and so on), small piped networks, leakage control/reduction, and mapping the distribution network. Apart from that, some other areas could be metering, pilot demonstration, project implementation, costing, quality control, and customer care (ADB 2007). Though the private sector is expected to bring in operational efficiencies and arguably better accountability to consumers, in the absence of adequate incentives, it may not be inspired to meet the social obligations. Therefore, attaining multiple policy objectives demands a careful design of the PPP initiatives.
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Community involvement and participation

Increase and improve participation/ awareness through information dissemination, running water and waste-water related programmes and community involvement in W&WW (water and waste-water) controlling and management. The ways in which community participation can be increased and improved have been discussed in detail in the recommendations in the governance sector.
Recommendation for small and medium cities

Residents of small cities depend heavily on tankers or stand posts. One of the reasons for the absence of basic services like piped water and waste-water disposal is the low investment in these urban centres and the inability of the local bodies to raise enough revenues. Thus, while the big cities and metropolises can generate funds through local taxation because the urban economy yields higher revenues, greater poverty in the smaller towns makes it difficult for ULBs to collect funds for local services, thereby feeding into the vicious cycle that compounds urban neglect. These cities can gradually extend their coverage for piped water supply, while in the meanwhile to improve the existing service delivery, the following approaches can be adopted by the utilities.
Improvement in service delivery in small and medium cities

P Tanker filling points and the stand-post area should be improved to avoid wastage during filling. P The condition of tankers should be improved, with regular cleaning schedule for the tankers, inspection schedule for adequate residential chlorine in the tankers. P There should be metering of water supplied through tankers and stand posts.
Waste-water treatment plants in small and medium cities

P Cost-effective decentralized treatment of waste water. P Extension of waste-water disposal provision should be in line with the growth of the city.
Capacity building
Training is required for GIS, MIS, and modern tools for better management of water such as network modelling, leak detection, and SCADA (supervisory control and data acquisition) system, should be given in a phased manner to build their capacity to deal with the growing demand due to urbanization and extension of city limits.
Publicprivate partnership
In small and medium cities, another way to improve water service and quality is through PPP models. Public community partnership through development and implementation
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of decentralized water system is also a growing feature in the cities. These water systems, if handed over to be managed or supported by the local community, will offer potential for increased community participation. One option in community managed water supply could be the water kiosk that also has provisions for the users to pay for the water services, thus making it a revenue-generating enterprise. Based on the principle of decentralized water supply system, a water kiosk was designed and implemented by TERI in one of the slums in North Delhi. Such decentralized models can be adopted in the small and medium cities to improve both the water quantity and quality supplied by tankers or stand posts. In these cities, if the present water supply is mainly from tankers, then supplies based on tankers and stand posts should be gradually replaced by piped water supply system. These smaller urban centres require adequate government support in terms of funds, capacity development, technology, and so on. These reforms, especially in the water sector, should be taken up in a phased manner, looking at the various constraints mentioned. Cities of such nature being in the transition phase have an advantage to learn lessons in improving water supply services from the bigger cities and from their own experiences. These cities can develop better planning strategies and implementation techniques during the transition phase to ensure water for all and if they are tapped for planned development, they would grow as planned bigger cities.
Recommendations for informal markets and urban slums

Informal water market/ providers are an urban reality and emerging stakeholders in the urban water service provision. Therefore, in the present scenario, a clearly defined partnership between these small-scale operators and the public undertaking could formalize this mode of supply and lead to a better control on the quality provided through public regulation. At the same time, other aspects like cost and coverage will be required to be adequately addressed as well. It is possible that both the public and private suppliers will stand to gain by making use of the assets available with either party, for example, production capacities, vehicles, distribution, and coverage extent. The experience of Chennai, where the water board has entered into a contractual agreement with private water tankers organized in associations, could be considered as an interesting example that can be replicated in other cities. However, issues such as overexploitation of groundwater, quality control, pricing, and distributional problems also need to be adequately addressed. The recommendation to regularize water supply in urban slums is based on the successful case study from Bangalore, described in Box 8.
Recommendations
The programme offers affordable connection fees and other perks that attract even the poorest of the poor. These include the following.
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Box 8 Bangalore slums: beneficiaries of water reforms

Around 43 slum communities in Bangalore got cut-rate water connections as the citys water utility launched a slum connection project and offered them an attractive water reform package. They now have water meters installed in their homes and clean, safe water flowing from their faucets. They also have become the proudest customers of the BWSSB (Bangalore Water Supply and Sewerage Board), whose slum connection programme improved their access to piped water supply and brought about a marked change in their lives. Conceived and nurtured by the BWSSBs SDU (Social Development Unit), a new unit established to address the social challenges of connecting the urban poor. Source ADB 2007
P Reduced connection fees which can also be paid in instalments P Acceptance of proof of residence, such as ration card, voters ID, and ID issued by government, as application requirement instead of land tenure documents P Simplified application procedures P Pro-poor tariff structure revisions that include lowering the minimum consumption range P Shared connections for groups of 510 households as another option for the very poor and for those living in extremely congested settlements.
Recommendations for capacity building

Capacity building is required at all levels for efficient and demand-responsive approaches in the water management chain. ULBs need to be made aware of the full range of low-cost and appropriate technologies for water and need to be provided with skills to assist with their selection. The same professionals have, in turn, a responsibility to educate and build the capacity of the end-users, especially at the level of the community, to which management and maintenance of the service will be increasingly devolved. The ULBs are required to be sensitized and encouraged to be responsive to the specific needs of socio-economically vulnerable groups. The main aim of the training should be to motivate and assist the ULBs and generate awareness. This will enable them to formulate implementation strategies, best suited to the local situation by considering the social, economic, technical (engineering and environment) and institutional (including operational) aspects.
Capacity building at four levels

It is recommended that for the purpose of training, the entire staff may be divided into four categories. 1 Operating level: foreman, lineman, and so on 2 Supervisory level: junior engineers 3 Managerial level: assistant engineers and above, who have overall responsibility for management within their zones
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4 Top management: superintending/chief engineers, commissioners, elected representatives (councillors, mayor in council, mayor, and so on) Apart from the above-mentioned technical capacity building, the following training modules are recommended as part of the capacity building programme. P Policy and institutional reforms: Need for policy, water audits, technical, financial and institutional strategies and implementation action plans, community managed water supply schemes for urban poor P Financial management: Revenue management, including debt, management, customer services and management reporting, financial assessment of water utilities and tariff rationalization P Technical training: Use of GIS and MIS in network planning and management, hydraulic and network analysis, meter and distribution system management, leakage control and detection P Customer services, reporting, and documentation
Training methodology
P It is recommended that a combination of lectures, exposure visits, and onsite training may be employed for skill development of the staff. P To begin with, the training cell must conduct a review of the functions and responsibility of the entire staff of the local bodies and draw up the list of skill sets required for undertaking the job. P This may then be compared to the existing skill sets of the various functionaries to identify the specific training needs. P As a first step, the top management must be sensitized to the reform agenda and need/benefits of investing in a large-scale capacity building programme. Specific courses that can be conducted to train the staff of local bodies have been given in detail in Annexure 2.
Funding for the cities

To operationalize the above-mentioned recommendations, initial funds need to be made available by the centre to the cities, based on detailed project reports under various city development schemes. The Centre should set a timeline for the cities to bring reforms in the sector, to ensure that the fund is utilized properly. The JNNURM (Jawaharlal Nehru National Urban Renewal Mission) should also extend its support to the cities mainly in areas like data management and capacity building of the local urban bodies. The allocation of the fund should be done in a phased manner. The second phase allocation should be done based on the achievements of the first phase. A target should
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be also set by the Centre regarding the revenue that the city needs to generate through reduction in water loss, collection of tariff, and so on, so that cities become financially self-sustaining in the long run.
Annexure 1: Framework for GIS database system
Annexure 2: Training modules

The table below provides details of training modules that need to be developed for capacity building of staff of local bodies at different levels.
Level Module Policy and institutional
Operating level
Supervisory level
Managerial level Policy and institutional frameworks for delivery of services, including various forms of PPPs. Principles of financial management, including tariff restructuring, project formulation, and appraisal Overview of water supply operations. Importance/concepts of WDM Tendering for technical works Preparation of DPRs (project formulation and appraisal) Project planning and control (Use of PERT/CPM)
Technical
O&M of WTPs and distribution network Leakage detection and control,Record keeping Metering
Overview of water supply Basics of design Basics of equipment O&M Water balance estimation and auditing Materials management
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Level Module
Operating level
Supervisory level Basics of financial management Accounting systems Procurement Basics of computers MS-office Database management
Managerial level Basics of financial management Accounting system Budgeting Principles of tariff restructuring Basics of computers MS-office Database management, including GIS Modelling tools for distribution optimisation and demand assessment Management information systems
Financial NA management
IT (Information Basics of computers technology) (wherever applicable)
Environmental Environmental issues management related to water supply
Environmental issues related to water supply. Basic course in environmental assessment Social issues related to water supply
Environmental issues related to water supply. Basic course in environmental assessment Techniques/tools for environmental assessment Social issues related to water supply Rehabilitation of PAP Techniques for social assessment.
Social
Social issues related to water supply
Customer services
Basics of public dealings Grievance redressal Grievance redressal system system Basics of public dealings Basics of public dealings Safety procedures Rules/regulations governing utilities Safety procedures Rules/regulations governing utilities Time management Safety procedures Rules/regulations governing local bodies Time management Human resources management Basics of water resource management and issues facing water sector in India.
General
Source TERI 2006
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References
ADB (Asian Development Bank). 2007 Country water action: India, Bangalore slums get bargain connections http://www.adb.org/Water/Actions/ind/bangalore-slums.asp Ayoob A, Gupta K A, Bhatt T V. 2008 A conceptual overview on sustainable technologies for defluoridation of drinking water Environmental Science and Technology 38: 401470 Bossel H. 1999 Indicators for sustainable development: theory, method, applications: a report to the Balaton Group Winnipeg: International Institute for Sustainable Development Brugmann J. 1997 Sustainability indicators revisited: getting from political objectives to performance outcomes a response to Graham Pinfield Local Environment 2: 299302 Chary. 2005 24- Hour Water Supply: a goal achievable? Hyderabad: ASCI CMWSSB (Chennai Metropolitan Water Supply and Sewage Board). 1998 Ground Water Development and Management Chennai: CMWSSB, pp. 45 DA (Development Alternatives). 2007 Developing water sustainable livelihood http://www.devalt.org/water/WaterinIndia/swm.htm, last accessed on 25 July 2008 Falkenmark M. 1998 Dilemma when entering 21st centuryrapid change but lack of sense of urgency Water Policy 1: 421436 Gleick P H. 2000 The changing water paradigm: a look at twenty-first century water resources development Water International 25: 127138 Gumbo B, Forster L, and Arntzen J. 2005 Capacity building in water demand management as a key component for attaining millennium development goals Physics and Chemistry of the Earth 30: 984992 GWPTEC8. 2003 Poverty reduction and integrated water resources management Details available at www.gwpforum.org, last accessed on 9 March 2009 [Global Water Partnership Technical Committee paper No. 8, Stockholm] IUCN (International Union for Conservation of Nature). 2003 Promoting water demand management from local to regional level In Proceedings of the exchange visit, Seminar for directors held at Cresta Bosele, Selebi Phikwe, Bostswana, 9-11 July 2003, Harare
Water Lee R G. 1992 Ecologically effective social organisation as a requirement for sustaining watershed ecosystems In Watershed Management: balancing sustainability and Environmental Change New York: Springer, pp. 7390 Nair S S. 1998 Policy implications: lessons learnt from pioneering efforts made to introduce rainwaterharvesting systems case study of Chennai Paper presented at the CSE National Conference on Potential of Water Harvesting, 25 October 1998, New Delhi Newson M, Gardiner J, and Slater S. 2000 Planning and managing for the future In The Hydrology of the UK: a Study of Change, edited by M Acreman London: Routledge and British Hydrological Society, pp. 244269 OECD (Organisation for Economic Cooperation and Development). 2003 Improving Water Management: recent OECD experience OECD: Paris Pachauri R K and Batra R K. 2001 Directions, Innovations and Strategies for Harnessing Action for Sustainable Development New Delhi: TERI Parthsarthi, G S and Patel A S. 1997 Groundwater Recharge Through Peoples Participation in Jamnagar Region In Journal of Indian Water Works Association (January), pp. 516 SANDRP (South Asian Network on Dams, Rivers and People). 1999 Assessment of Water Supply Options for Urban Indialarge dams have no case New Delhi: SANDRP [Submission to the World Commission on Dams: thematic reviews, options assessment] Shah T. 2007 Issues in reforming informal water economies of low-income economies: examples from India and elsewhere In Community-based water Law and Water Resource Management Reform in Developing Countries, edited by B von Koppen, M Glordano, and J Butterworth Oxfordshire, UK: CABI Simonovic S P. 1996 Decision support systems for sustainable management of water resources: 1. General principles Water International 21: 223232 Singh R B. 2004 Assessment of wastewater generation, management pattern and its re-use potential in urban India Proceeding of symposium HSO4 held during IUGG 2003, at Sapparo, Japan, July 2003 Sophocleous M. 2004 Global and regional water availability and demand: prospects for the future Natural Resources Research 13: 6175 Stagl S. 2004 Valuation for sustainable developmentthe role of multicriteria evaluation Vierteljahrshefte zur Wirtschaftsforschung 73: 110
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Water TERI (The Energy and Resources Institute). 2006 Water Demand Management Strategy and Implementation Plan for Gwalior New Delhi: TERI Tippeswamy M N. 2004 Public Private Partnership in Water Chief Engineer, Corporate Planning BWSSB, BWSSB Training programme manual, August 2004 WRI (World Resources Institute). 2003 World Resources 20022004: decisions for the earth: balance, voice, and power Washington DC: UNDP, UNEP, World Bank, and World Resources Institute WSP (Water and Sanitation Program). 2006 Urban Water Sector in South Asiabenchmarking performance Details available at <http://www.wsp.org/index.cfm?page=page_disp&pid=16225>, last accessed on 20 December 2007
CHAPTER
Introduction
Rapid urbanization and changing lifestyles are resulting in the generation of huge amounts of MSW (municipal solid waste) in urban areas in the country. Waste is found littered all over the city landscape, leading to unsanitary living conditions. Waste management is among the basic essential services provided by municipal authorities in the country to keep urban centres clean. However, it is among the most poorly rendered services in the ULBs (urban local bodies) basket of basic services. With rapid urbanization, the situation is becoming critical. The urban population in India has grown five-fold in the last six decades, with 285.35 million people living in urban areas as per the 2001 census. Municipal laws governing the ULBs do not have adequate provisions to deal effectively with the ever-growing problem of solid waste management. Several chapters of Agenda 21 deal with environmentally sound management of toxic chemicals, hazardous wastes, solid wastes, and radioactive wastes. They stress on the direct need to manage waste or advocate the institution of measures that reduce the generation of waste, or its effective integration into recycling or reuse scheme that maintains material flow loops. Despite passage of the Municipal Solid Waste (Management and Handling) Rules in 2000, the situation of management of municipal solid waste in most of the cities is far from satisfactory. It is of paramount importance, therefore, to ensure that SWM (solid waste management) services are delivered in a sustainable manner in cities with minimal environmental/social/health impacts. In this chapter, we attempt to define sustainability in solid waste management with the help of literature review, and identify a set of parameters that would be crucial to ensure sustainability, and finally, operationalization of these parameters in the city environment.

A literature review was undertaken to assess the present SWM practices in various cities. A summary of key findings both nationally and internationally is presented in Table 1.
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Table 1 Summary of review of good practices

City Country Good practice examples
National case studies Mumbai India P Involvement of CBOs in waste collection by providing them fiscal incentives in initial years P Involvement of waste pickers in waste collection P Privatization of collection and transportation services with gradual targets for collection of waste in segregated manner P Provision of tipping fee for collection and transportation of waste P Independent performance monitoring and compliance to regulation built in the contracts P Privatization of door-to-door collection of waste to achieve 95% collection efficiency P Performance-based secondary collection of waste P Implementation of waste composting and sanitary landfilling of waste P Planning of solid waste management services by setting up and involving task force P Privatization of door-to-door waste collection to reach 100% efficiency P Integrated waste management system, resulting in service improvement and cost effectiveness P MSW services need to be in sync with other economical/social issues like livelihood of urban poor, sanitation and health status for wider acceptability of proposed system P Need to involve private sector in waste processing options waste-to-energy or landfilling P Involving NGOs and local ragpickers in waste collection, transportation, and treatment, resulting in a saving of Rs 20 million for the municipal corporation and creation of 1500 jobs P Adoption of this model by local bodies in other cities like Jalgaon and Nashik in Maharashtra P Exnora Green Pammala unique venture of private, public, and government participation to improve waste management services P Role of civil society organization for provision of services in peripheral areas where service delivery by municipal government is weak P Achievement of zero-waste disposal P All the waste being recycled, treated, and reused in the project institutions P Not a grain of sullage or garbage being sent outside the campus P Good example of decentralized waste management for peripheral and marginalized areas
Delhi
India
Chennai
India
Bangalore
India
Hyderbad
India
Nagpur
India
Pammal
India
Pune
India
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Table 1 Continued
City Country Good practice examples
International case studies La Ceibe Honduras P Implementation of integrated waste management system P Political will critical to make such projects happen P Legislation introduced to effect reduction of waste disposed to landfills incentivize waste-to-energy projects P Formation of cooperatives of waste collectors and provision of low-cost health insurance P Establishment of system to collect extra food material from markets and supermarkets and ensure its distribution to needy population P Formation of dedicated environmental sanitation and management office with in the local municipal administration to take care of solid waste management services P Passing of ordinances related to improvement of services, including charging of user fee. User fee collected on the basis of social pricing, along with the electricity bill P Peoples participation to act as ear and eye of local administration and also to participate in waste management services
Italy and Brazil
Italy
Brazil
Belo Horizonte City Brazil
City of Olongapo
Philippines
CBO community-based organization; MSW municipal solid waste
Best practices in selected urban settings: national case studies

1 Location: Mumbai Local government responsible: Municipal Corporation of Greater Mumbai
Action/activities taken: The MCGM (Municipal Corporation of Greater Mumbai) has adopted innovative mechanisms for waste collection in slum areas such as the Slum Adoption Scheme wherein local CBOs (community-based organizations) are registered and provided a monthly honorarium of Rs 2500 per 1000 population for waste collection and cleaning of small nallahs and drains in identified slum pockets. The amount of honorarium is reduced to Rs 1800 in the second year and to Rs 370 in the third year. The concept of this scheme is to encourage the community to own up local initiatives in planning and execution at the grass-roots level. As of now, the
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MCGM has registered about 249 such CBOs, covering about 4.8 million of slum population, and intends to cover 100% of the slums under this scheme by 2006/07. Another scheme being implemented is the ALM (advance locality management) system, which entails extensive interaction and involvement of the MCGM with local neighbourhood groups in the wards. At present, there are about 584 such ALM street committees in the 24 wards of the city, focusing on zero garbage. The focus is on reduction of waste, storage, and disposal, involving ragpickers for collection and disposal of dry waste. For wet disposal, vermicomposting and composting are being adopted in several wards.
Lessons learnt
P Incentive for communities to own up local initiatives make the project more sustainable. P Involvement of waste pickers ensures successful waste collection and local-level waste management; this would be useful for peripheral areas where municipal coverage is generally weak.
2 Location: Delhi Local government responsible: Municipal Corporation of Delhi

Action/activities undertaken: The MCD (Municipal Corporation of Delhi) is among the largest municipal bodies in the world, providing civic services to more than 13.78 million citizens (Census 2001) in the capital city of India. The CSE (Conservancy and Sanitary Engineering Department) of the MCD caters to 94% of the area of Delhi state, serving a population of around 13 million. The per capita garbage generation is estimated to be 0.45 kg per day, amounting to 6500 MT (million tonnes) per day for the city. Currently, the actual garbage lifting per day is 6000 MT. The projected garbage generation by 2021 is 18 000 MT per day. The CSE department has a staff strength of 60 00070 000 persons, consisting mainly of sweepers. The overall upgradation strategy to create an integrated efficient and effective garbage collection, transfer, and disposal system in Delhi was designed in three phases: (a) collection, segregation, and transportation through PPP, (b) a technical master plan for disposal, and (c) private-sector-based treatment and disposal projects based on recommendations of the master plan. The MCD with other agencies developed the parameters for project development, including technical and financial viability studies. The first two phases were started simultaneously while the final phase was expected to commence towards the end of phase II. UNOPS (United Nations Office for Project Services) funds were raised for the waste treatment and disposal master plan for the state of Delhi for the next 25 years.
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Lessons learnt
P New standards of service: The new contracts were designed to provide higher levels of service than currently available. This included daily clearance of biodegradable waste; containerization from community bins onwards through the transport chain, and mechanized lifting of waste. P Segregation and segregated transportation of waste: The contract also specifies a segregation benchmark, which the transporter has to achieve year on year. The segregation benchmark, which allows for a low level in the first year of operations steadily, builds up over a five-year period. Elaborate arrangements have been conceived of to test the segregation levels achieved at the disposal site. Strong incentives and penalties have been built in to ensure that the transporter achieves the segregation benchmark. P Tipping fee and the long-term contract: The contract envisages a nine-year exclusive concession, which is based on a tipping fee payable by the MCD on a per-tonne basis. This was developed out of the typical depreciation period for vehicles, as well as on a risk-mitigation strategy, based on which the private sector is expected to take all design and financing risks associated with the project. P Independent performance monitoring has been built into the contract, with detailed schedules for performance measurement linked to a strong set of incentives for improving the levels of service and penalties and cancellation of the contract for non-performance. P Independent regulation: A specific mandate to an independent consultant to review environmental compliance is directly related to the performance evaluation of the private operator. P Dispute resolution: a committee of private operators is envisaged, which will be responsible for benchmarking the performance in each zone and will be the first stop to work out disputes with the MCD.
3 Location: Chennai Local government responsible: Chennai Municipal Corporation and respective ULBs
The Chennai Municipal Corporation and Onyx are the two main agencies responsible for solid waste management in Chennai. As per the corporation, the collection efficiency is around 95% in the city, and the door-to-door collection reached up to 95% of the city area. Action/activities undertaken: The reported population of the city was 4 343 000 in 2001, and the average per capita solid waste generated within the city was estimated to be about 782 gm. It has been estimated that the daily generation of solid waste is 3400 tonnes and in addition, the Chennai Municipal Corporation also handles about 500 tonnes of debris.
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The characteristics and quantity of solid waste generated primarily influence the waste disposal options. It was observed that nearly 60% of the waste generated in Chennai is organic in nature. The municipal corporation has withdrawn its staff from three out of the ten zones of the city. A seven-year contract was awarded to the private operator Onyx through a transparent competitive bidding process for primary collection, street sweeping, secondary storage at a transfer station and transportation of waste to the disposal site. Onyx had engaged its own manpower, tools, equipment, and fleet of vehicles. Services were paid on a per tonne basis with an annual increase of 5% in this rate built into the contract. The cost per tonne of waste in this arrangement was merely 50% of the departmental cost for the same service provided by the city administration in the other zones. Impact: The efficiency of the service has gone up and the quantity of waste collected has increased substantially. Unfortunately, segregation of recyclable waste at source in terms of MSW Rules 2000 was not a part of the contract.
Lessons learnt
The vision of Chennai is to provide to its citizens an environmentally friendly and sustainable waste management system with complete safe disposal facilities by putting in place waste reduction and recovery mechanisms. Collection involves the following. P Primary collection through contracts with community organizations and NGOs P Secondary collection through performance-based management contracts with private contractors The disposal of waste involves the following. P Composting the organic fraction of the waste P Sanitary landfilling of inorganic fraction of waste and the compost rejects P Encouraging local-level aerobic vermicomposting
4 Location: Bangalore Local government responsible: Bangalore Municipal Corporation and Bangalore Action Task Force
Action/activities undertaken: Bangalores residential waste generation is estimated at 363 gm per capita per day. The city has entered into two kinds of service contracts one for primary waste collection from the doorstep and transportation to the disposal site through small contractors and another for integrated treatment and disposal of waste through payment of tipping fees to expert agencies. In the first kind of arrangement, 66% of the city has been divided into 61 groups, and contracts are given for primary waste collection in waste tricycles/handcarts and direct transfer to a vehicle (owned by the contractor) and transportation to the disposal site. Each contractor manages two or three health wards of the city at the most. With this arrangement, the
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ULB is now spending 50% of what it would cost to undertake the task departmentally. In another contract for the treatment and disposal of 1000 tonnes of waste per day, land and solid waste is to be given by the BMC (Bangalore Municipal Corporation) to the private operator, who is expected to make an investment of about Rs 250300 million to set up the facility. The corporation is not expected to pay for waste treatment, but a tipping fee of Rs 195 per tonne of rejects has been agreed upon.
Impact
P There is 100% coverage for door-to-door collection. P Currently, treatment plants with capacity adequate to treat 34% of the waste generated are available; but there are no scientific disposal facilities available. P Treatment and disposal facilities of 2000 TPD (tonnes per day) capacity are being developed and are expected to be commissioned soon. Lessons learnt: Primary to secondary collection, transportation to setting up, operation and maintenance of landfills and other related infrastructure for solid waste disposal by private contractors.
5 Location: Hyderabad Local government responsible: Municipal Corporation of Hyderabad

Action/activities undertaken The HUA (Hyderabad Urban Agglomeration) generates around 3379 tonnes of solid waste every day, out of which the MCH (Municipal Corporation of Hyderabad) area contributes about 2240 tonnes and the surrounding municipalities contribute towards 1139 tonnes at a per capita generation rate of 600 gm per capita per day. The MCH shows a collection efficiency of over 91%, whereas the surrounding municipalities show a collection efficiency of 95%. Bangalore has privatized nearly 75% of its street sweeping operations, applying a unique unit area method to eliminate the bidding process. Each unit, comprising 8 km of road length, is allotted to a team of 15 female and three male workers for street sweeping and waste transfer to the secondary storage depot. The unit cost has been worked out on the basis of the need for manpower, the minimum wage payable, the tools and equipment required, and so on. It comes to Rs 48 853 per month per 18 sanitation workers for cleaning during the day and Rs 69 250 per month per 18 sanitation workers for night cleaning. Applications are invited and contracts awarded through draw of lots. One unit area is allotted to each contractor, who in turn hires sanitation workers. One hundred and sixty-one such contracts are in place, engaging 4347 workers in sweeping of streets, footpaths, and open spaces during the day and 2015 workers for sweeping 310 km important roads at night. This includes 14 selfemployed womens groups. The system has been in operation for more than five years and is working satisfactorily.
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Selco International is running a WTE (waste-to-energy) facility using RDF (refuse-derived fuel) technology in Hyderabad to produce 200 tonnes RDF per day from 700 tonnes of MSW provided by the municipality free of charge. The municipal corporation has provided 10 acres of land on a 30-year lease to Selco with an annual lease rent of 5% of the registered value of the land. Selco has been further allowed to mortgage the leasehold land in favour of financial institutions. Starting with an RDF plant using up to 400 MT of MSW initially, Selco has also set up an RDF-based power plant of 6.6-MW capacity at Shadnagar, 55 km from Hyderabad. The fluff prepared at the RDF plant is transported to the power plant where it is used along with 30% agro waste for generating power. The plant has been functional since November 2003. It is expected that this plant will reduce GHG (greenhouse gas) emission equivalent to 43 705 MT of carbon dioxide every year.
Impacts
P Waste collection efficiency is around 85%. P Several waste-processing schemes and landfill closure schemes are in the pipeline. P Collection and transportation are efficient; however, segregation and processing of waste have not been very effective. P Awareness regarding management of MSW is reported to be 72%. P Integrated MSW management aiming at zero-waste disposal is in the planning stage for the city. Lessons learnt P Integrated SWM system is required for cities to operate the process more efficiently at lesser cost and making the service sustainable. P MSW management needs to be in sync with other economic/social issues like livelihood of urban poor, sanitation and health status for wider acceptability of the proposed system, especially waste segregation, during collection; this would be a key to the success for any waste processing option adopted by a local body. P There is a need establish a cost-recovery mechanism for services to make them sustainable. P There is a need to involve expertise available with the industry sector to develop WTE options for the city (need for local body to work closely with corporate sector). P There is very little involvement of ragpickers of the informal system in the present door-to-door solid waste collection system; they can be involved in a more productive manner; this would also provide them with livelihood opportunities.
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6 Location: Nagpur Local government responsible: Nagpur Municipal Corporation, in partnership with the CDC
Action/activities undertaken This is a PPP (publicprivate partnership) for 100% door-to-door garbage collection in Nagpur. The CDC (Centre for Development Communication) recognized the crucial role of SWM and initiated a project in Nagpur. The purpose of the project was to improve SWM practices in the city and provide a low-cost, ergonomic model for addressing the growing problem of solid waste disposal. The other purpose, with a social dimension, was to promote livelihood opportunities for the ragpickers, especially women ragpickers and other neglected sections of the society.
Impacts
Economic: The NMC (Nagpur Municipal Corporation) has been able to save about Rs 20 million by involving the CDC. The initiative has the potential for innovative livelihood generation opportunities for unskilled/illiterate people. The project has been able to create 1500 jobs in Nagpur city alone. According to an estimate, if replicated in the entire urban area of the country, it can create livelihood opportunities for around 280 000 people. Nagpurs image as a green and clean city has boosted the local economy, especially the tourism sector. Social: Professional training and financial stability have improved the condition of sanitation workers. Equal number of women ragpickers has got livelihood opportunities in the project. The community has been actively involved in the project and appreciates the initiative. Public health and quality of life: Waste is being handled in a hygienic and scientific manner with the help of ergonomic equipment. This has helped in minimizing pollution and unsafe handling of waste. The drains of the city are no longer clogged, and hence, the breeding sites for malaria-spreading mosquitoes, pigs, and other stray animals have minimized. Policy level: Other municipal bodies of Maharashtra, including those in Nashik and Jalgaon, have adopted the CDC model. The governments of other states have formulated policies on the issue of SWM based on this model.
Examples from cities in transition 7 Location: Pammal, Tamil Nadu

Goal: Role of civil society organizations in areas in transition Activity: Exnora Green Pammal Pammal is a unique joint venture among private, public and government bodies to improve the living environment and to promote more environment-friendly, sustainable human settlements. The initiative has demonstrated that in areas in transition from rural to urban, where service delivery by government
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is weak, civil society organizations have an important role and enormous potential to improve the local environment, which will have a dramatic ripple effect in bringing improvements. Today, Pamal is an example of how civic engagement and peoples partnership can be used to achieve source segregation of waste, vermicomposting of organic waste, sale of recyclables, and the restoration of the Pammal Lake, which has led to a green Pammal. In addition, these practices have generated jobs for many unemployed youth as street beautifiers and encouraged the existence of micro enterprises. Training programmes have also been given to the workers on how to recycle, and instructions on value-added sales have also helped many workers to ensure self-employment for themselves. Since its start in 1994, Pammal Green Exnora has been able to standardize the collection and composting methodology over time to suit the local conditions. The zero-waste centre used is unique in many respects. Garbage collection is done through street beautifiers with waste-collection cycle carts. The compost produced is further sold as fertilizer and even the subscription fee collected from every household is minimal. The Exnora Green Pammal project has been able to sustain itself economically since 1994. There is no more dumping or burning of garbage in any of the 21 wards of the Pammal municipality. In summary, the impact of the Pammal Green Exnora project has been highlighted as an effort towards sustainable human settlement and living environment.
8 Location: Pune
Activities DOSIWAM (decentralized onsite integrated waste management system): A pilot project was undertaken in an institution, Maher, Vadhu Bk, Pune, where about 400 inmates are expected to live. In this pilot project, all night soil is treated in a biogas plant. For cattle dung, biomethanation and vermicomposting are undertaken. The sullage from all sources, including kitchen, is stabilized by collecting the water via pipes and passing it through intercepting tanks and grease trap arrangements. The organic garbage is vermicomposted and inorganic garbage is given for recycling. The end-products for all these processes are in the form of stabilized water, compost manure, and vermicasts. All these are used for agricultural produce. The process is designed in such a way that not a drop of sullage or a grain of garbage leaves their campus. Everything is treated, recycled, and reused profitably within the campus. Such projects/initiatives are useful for replication in small townships or housing societies in peri-urban areas, where coverage by ULBs is generally poor.
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Best practices documented in Indian cities under JNNURM

The practices listed on the programmes website include the following. P Door-to-door waste is collected in various cities. P Waste is segregated into recyclable and biodegradable. P Biodegradable waste is directly used for preparing vermicompost without extra effort of segregation. P Vermicompost produced in vermicomposting plants is used in the municipal gardens. P Solid waste management is given to private contractors for collection of waste at source, transportation, secondary storage, and dumping it on landfill site. P Akola Municipal Corporation is the first in Maharashtra to involve community organizations and the unemployed youth in collection of waste on house-to-house basis.
International best practices 9 Location: La Ceiba

Goals: The goals were to introduce the ISWM (integrated solid waste management) principles of efficiency, equity, fairness, and sustainability into the activities of waste collection in La Ceiba. Initiative: In 1995, the then-mayor of the city of La Ceiba, which is located on the Honduran North Coast, initiated a project with PASI (Programme for the Support of the Informal Sector), and the Fund for Infrastructure, to close the Los Laureles dumpsite and develop a new landfill (Anschtz, Rudin, and Scheinberg 2004). The technical adviser for this initiative was the IPES (Institute for the Promotion of the Social Economy) from Lima, Peru, which was at that time already involved in the UWEP (Urban Waste Expertise Programme), doing local research on MSEs (micro and small enterprises) and the informal sector. The La Ceiba initiative became connected with a more general Latin American programme developed by both the World Bank and the Dutch embassy, which were interested in providing funding for La Ceiba, Honduras, but were lacking a counterpart and an additional funding partner to provide $20 000. The IPES made the connection between the municipality, UWEP joined as partner, and the PPS La Ceiba came into being. Some of the specific pilot projects and results in UWEP I in La Ceiba are the following. P Improvement in the management capacity of the municipality through developing a waste management information system P Improvement of waste system performance and promotion of ISWM, by strengthening the role of association of MSEs in waste collection and recycling as
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a way to achieve social privatization. This was originally a very ambitious and comprehensive pilot project, which planned to create 24 micro enterprises and put them in charge of all urban waste activities. P Environmental education and organization of a participatory urban consultation
Lessons learnt
P The ISWM intervention has to be demand-driven and respond to a clearly articulated need that local stakeholders and local authorities themselves recognize. P Political will and a favourable political macro-landscape are both critical to an integrated and sustainable management of solid waste. P When political will or attention is lacking, the importance of a local constituency or interest of local stakeholders increases, as this is a path to either changing the focus of the politicians or changing the politicians themselves in a following election. P Coordination or management from a remote location does not work in ISWM. P The methodology of the intervention is critical to effectiveness and sustainability. The programme becomes a model of good governance, and if it is not rooted in demand and transparency, the model itself is not useful. On the other hand, the methodology has to fit local circumstances. P Any intervention, but especially a multi-year programme, has to have broad and formalized political support.
10 Location: Italy
Activities: Every year, about 80 million tonnes of waste (of which, around 34% is municipal garbage) is collected in Italy. Historically, waste disposal was mainly based on landfills, but changes in environmental legislation (Law 22/1997, Ronchi Decree) provide a strong indication to reduce waste disposal into landfills and to incentivize waste-to-energy and recycling activities. As a result, new opportunities for project finance deals have come up, mainly in the waste-to-energy sector, through BOT (build-own-transfer) concessions or private/public joint ventures. A further boost to waste-to-energy should come from the enforcement of Law number 79/1999, which pursued the complete reorganization of the power sector in Italy. In particular, this law provides that in order to stimulate the production of power from renewable sources, starting from 2001, power producers and/or importers must put on the electricity market a quota of production generated through renewable sources. This quota has been set by the law at 2% of the overall power produced or imported by large power operators (exceeding 100 GWh/year of sold volume, not including co-generation, self-consumption, and export) (UTFP 2001). Impacts: It has been estimated that, in the medium term, waste-to-energy will result in an additional power production, about 4.40 GWh/year. Since 1998,
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approximately 20 new plants started construction and/or operation, including the Lomellina, Piacenza, and Trezzo projects. Lessons learnt: Changes in legislations can effectively improve the situation by PPP programmes such as waste-to-energy options.
11 Location: Brazil
Activities: Initiatives taken for the informal sector in waste management (cooperative, low-cost health insurance, and so on) were identified. The different entrepreneurial forms studied are found in every part of the waste cycle: some of them promote recovery at the point of origin, while others play an important role in the sweeping and cleaning of public streets, in garbage collection and in the management of small-scale final disposal sites. Recycling enterprises were not included in the study. Special attention was paid to financialeconomic aspects of the enterprises, and we have attempted to elaborate performance indicators for each enterprise. However, in some cases, it was difficult to obtain financial information because no accounts were kept, nor was there a register of the waste collected, separated, or disposed of. This situation restricted the possibility of drawing detailed comparisons.
12 Location: Belo Horizonte City (Brazil)

Goal: A selective organic collection with Eco Citizenship Activities: Since 1993, the ISWM Model that has been adopted for Belo Horizonte City includes a composting programme that established a selective organic waste collection. During the monitoring of this collection service, it was found that the unused food that was disposed of, despite its low commercial value, still preserved its nutritional value for use by the deprived population. Taking into account the above finding, the Food Supply Programme, the selective organic collection (collection of excess food) with Eco Citizenship was formulated. This programme consists of a special system of food collection and distribution. The excess foodstuff, mostly from supermarket shopping chains, had no commercial value due to aesthetic reasons and used to be disposed of, despite being fit for human consumption. This programme had five distinct stages. 1 Selective collection service executed at commercial establishments such as markets and supermarkets that donate food 2 Separation of the collected food and classification into two groupsfood that required some kind of processing before consumption and that which did not 3 Processing of the food following these procedures: peeling, cutting, decontaminating, centrifuging, vacuum packing, weighing, and storing in a refrigerator
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4 5
Directing of the processed food to the Municipal Food Distribution Centre to be distributed to the social institutions that had already been recorded Taking the leftovers from the food-processed flow to the municipal composting unit
Impact: The compost produced was used in school vegetable gardens, parks, and city squares. Among the results and the innovations of the Food Supply Programme, a combination of two antagonistic elements were distinguished food versus waste in order to overcome problems of apparently distinctive nature such as food wastage and bad nutrition. The results also underlined the importance of using monitoring tools such as observation and analysis of the organic material collected, in order to devise solutions to the problem of wastage. This measure of diverting unused food material leads to a change in the course of this organic material, so that, instead of being directed to a composting plant, it was processed and reused as food.
13 Location: City of Olongapo, Philippines

Goal: Integrated solid waste collection Activities: In September 1989, the City of Olongapo launched the Integrated Solid Waste Collection System. New trucks equipped with public address systems were bought and paraded in the entire city to show to the population that the local government was serious about the introduction of an integrated system of solid waste collection. Simultaneously, the city established ESMO (Environmental Sanitation and Management Office), a full-fledged municipal department responsible for managing the system. Between 1988 and 1990, the City Council enacted eight ordinances or measures dealing with the utilization of the sanitary landfill area, the rates of solid waste collection fees, the schedules and mechanics of collection, and so on. The ordinances were supplemented by the directives and notices by the local chief executive. For residential areas, solid waste was collected twice a week, while in commercial areas, it is collected daily. Peoples participation in the programme was encouraged, because the people are actors in the system and not mere observers. They have a responsibility to follow the regulations, particularly with regard to the use of plastic bags and the payment of service fees. During a massive information campaign, the support from everybody in the community was solicited in order to minimize resistance to the programme. A social pricing system was adopted for the service fees. Fee collection was kept simple by synchronizing the payment for the fee with that of the electricity bill. Citation tickets were issued, if the premises found unclean. Volunteer groups of women, men, youth, and senior citizens joined in clean-up drives during weekends to cut tall grasses and clear canals and waterways. Vendors
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were kept alert in their businesses as the law keepers (eyes and ears), not only to keep peace and order, but also to maintain watch on sanitation and cleanliness. No vendor was to leave his or her space uncleaned at the end of the day. The neighbourhood received revenue incentives for the disposal of plastic bags and for the institutionalization of cleanliness awards in their area of jurisdiction.
Lessons learnt
P Different departments should be established to take care of environment-related activities. P For residential areas, solid waste can be collected twice a week, while in commercial areas, it should be collected daily. P Peoples participation is an important component of SWM and should be encouraged, because the people are actors in the system and not mere observers. P A social pricing system should be adopted for the service fees, for example, fee collection was kept simple by synchronizing the payment of the fee with that of the electricity bill. P Incentives to workersthe neighbourhood receives revenue incentives for the disposal of plastic bags and for the institutionalization of cleanliness awards in their area of jurisdiction.
Developing a framework for analysis: solid waste management

This section builds up on the learning from case studies on municipal solid waste management, implemented both nationally and internationally, with a focus on developing economies, which more or less represent the present situation in Indian cities. The sections below define sustainability and set up procedure and processes to attain it with respect to solid waste management in Indian cities.
Defining sustainability in solid waste management

As per the experiences captured during literature review, sustainability in solid waste management would essentially mean the following. P Complete planning, from primary collection to final disposal of the ultimate waste in an environmentally sustainable manner P Compliance with the applicable rules and regulations P Implementable projects through interactive planning involving all the stakeholders P Long-term maintenance of the project P Quality of service to the satisfaction of the citizens P The extent of service coverage, including slum areas
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So, sustainability in the delivery of waste management services is defined as a process seeking appropriate levels of source segregation, recycling, and resource recovery with environmentally appropriate technologies and involving cost-recovery mechanisms for long-term financial sustainability, leading to the conservation of natural resources by minimizing the health, environmental, and aesthetic impacts of solid wastes. The most applied tool for achieving sustainability in waste management is to adopt the concept of ISWM. The concept of ISWM recognizes three important dimensions in waste management: i) the stakeholder involvement, ii) technical and management-related aspects, and iii) local context affecting the sustainability in the given geographical setting (Anschtz, Rudin, and Scheinberg 2004). The concept of ISWM not only takes technical and financial/ economic sustainability into account, but also includes socio-cultural, environmental, institutional and political aspects that influence overall sustainability of waste management. In the context of ISWM, sustainable can, thus, be described as the following. P Appropriate to the local condition from a technical, environmental, social, economic, financial, institutional, and political perspective; and P Capable of maintaining itself over time without exhausting the resource it needs. The term integration in the context of solid waste management refers to the following. P Integration of different aspects of sustainability (technical, environmental, public health, financial, and so on) P Integration of different collection, transportation, and treatment options at different habitat levelshousehold level, neighbourhood level, and city level P Cooperation, alliance, and socio-economic interaction of different stakeholders either engaged or affected by waste management services (users, government, formal/ informal organizations, and so on) P Integration of waste management system with other basic services like stormwater drainage, sanitation, and health and hygiene programmes in the city Summarizing above, ISWM will be a holistic approach to environmental, as well as resource and waste management issues. ISWM systems combine waste streams, waste collection, treatment and disposal methods, with the objective of achieving environmental benefits (if possible), economic optimization, and social acceptability.
Current scenario of solid waste management in India

MSW generation in Indian cities is estimated to have increased from six million tonnes in 1947 to around 50 million tonnes in 2006 (CPCB 2000, TERI 2001). The absolute average annual increase in waste has more than doubled since 1997. The cumulative land requirement for disposal during this period, assuming at least 80% of this waste was collected, is estimated at 75 km 2 (TERI 1998, 2001).
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Another important aspect of MSW generation in cities is generation of C&D (construction and demolition) debris, which is roughly around 20%25% of the total MSW generated in most cities. At present, there is no separate mechanism to recycle or dispose of this C&D debris, and though collected separately, it often lands up in landfills, thus competing for space earmarked for other waste streams. As the population in cities grows, this would put further pressure on urban utilities to create additional infrastructure for the management of solid waste. One of the critical factors that would influence the cost of infrastructure development and maintenance is the transition of Indian cities from lower to higher classes, signifying growth in their populations (IIR 2006). With no storage of MSW at source (in domestic, commercial, and institutional bins), people generally tend to dispose of waste on streets, drains, open spaces, and water bodies. MSW is, thus, mostly collected by municipalities through street sweeping and drain cleaning, with a collection efficiency ranging from a high of 90% to a low of 25% (CPCB 2000). In comparison, the collection efficiency in other Asian cities such as Tokyo, Taipei, Hong Kong, and Singapore varies between 95% and 100%. A part of the uncollected waste normally finds its way into sewers or is eaten by cattle; the rest is left to decay or is burnt in open dumps. The low collection efficiency is aggravated by equally poor transportation efficiency. In 2003, in a survey of 128 Class I cities, about 46% were found to be transporting less than 50% of their waste to disposal sites (Asnani 2005). The waste transportation fleet in India is also outdated and poorly maintained. As regards processing of MSW, in a 2003 survey of 128 Class I cities, only 10 were found to be processing 50% or more of their waste and only one city (Pune) was disposing of 50% of the waste in sanitary landfills (Asnani 2005). Further, only a few cities have the capacity to compost or utilize MSW in power generation. There are two MSW-to-energy projects operating in Hyderabad and Vijaywada, in Andhra Pradesh, processing around 1000 TPD (tonnes per day) of mixed waste. The balance of around 182, 000 TPD of solid waste is either landfilled or thrown in open dumps. In the absence of an efficient SWM system, solid waste is dumped indiscriminately in low-lying areas designated as solid waste landfills with little or no treatment. There is no containment system in these disposal sites, which leads to groundwater contamination. The unsanitary conditions prevailing at these disposal sites pose a health hazard to sanitary workers and ragpickers frequenting these sites. The land requirement for waste disposal is increasing every year, and most of the existing dump sites are filling faster than their intended design period. Several cities in the country are already facing an acute shortfall of land that can be used as landfills.
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Municipal solid waste (Management and Handling) Rules, 2000

The MoEF (Ministry of Environment and Forest) has notified Municipal Solid Waste (Management and Handling) Rules, 2000, and made it mandatory for all municipal authorities in the country, irrespective of their size and population, to implement the rules. To improve the systems, the following seven directives are given. 1 Prohibition of littering on the streets by ensuring the storage of waste at source in two bins; one for biodegradable waste and another for recyclable material 2 Primary collection of biodegradable and non-biodegradable waste from the doorstep (including slums and squatter areas) at pre-informed timings on a dayto-day basis using containerized tricycle/handcarts/pick up vans 3 Street sweeping covering all the residential and commercial areas on all days of the year, irrespective of Sundays and public holidays 4 Abolition of open waste storage depots and provision of covered containers or closed body waste storage depots 5 Transportation of waste in covered vehicles on a day-to-day basis 6 Treatment of biodegradable waste using composting or waste-to-energy technologies meeting the technical and environmental standards laid down 7 Minimization of waste going to the landfill and disposal of only rejects from the treatment plants and inert material at the landfills as per the standards laid down in the rules
Responsibility for implementation

The main responsibility for the development of required infrastructure, as well as implementation, lies with municipal authorities. The secretary, urban development department of the respective state government, is responsible for the enforcement of the provisions in metropolitan cities. A district magistrate or a deputy commissioner of the concerned district is responsible for the enforcement of these provisions within the territorial limit of his jurisdiction. The SPCBs (state pollution control boards) are expected to monitor the compliance of standards on groundwater, ambient air, leacheate quality, and the compost quality, including incineration standards as specified in the rules. The state board or the committee is directed to issue authorization to the municipalities when asked for within 45 days and the central pollution control board is expected to coordinate with the state boards with regard to implementation of the rules. Several training programmes and workshops have been organized by the central government, state governments, CPCB, SPCBs, as well as national and international institutions to guide the cities and towns in implementing the rules expeditiously.
Major issues affecting solid waste management in India

The issues affecting efficient solid waste management in the country can be broadly described under technical, institutional/ management related, financial, and social.
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Technical issues
P Need for documentation and database of technology options for processing and disposal, commissioned in India, which are operational. Presently, authentic data and detailed information are not available. Of particular concern is the record of operation throughout the existence of a facility. In many cases, facilities / plants work under capacity or have been temporarily or permanently closed. P Documentation of the feedback, including actual capital investment, difficulties faced in installation, operation and maintenance of the project facility and its cost, frequency of repair and replacement, and so on. P Detailed data collection on quantity and composition of municipal and other types of solid waste generated within the municipal area, preferably on a regular basis (say, once every fifth year). There are very few authentic studies on this vital subject. This data is essential for appropriate and realistic design of solid waste management system. Actual operators find it very difficult to do proper planning and system designing even while preparing bid offers. Reliable data collection regarding solid waste management is very difficult in view of the various uncertainties associated with waste generation, such as season and festive occasions. Therefore, proper data can evolve if data is collected for at least one full year, which would cover these uncertainties. Normally, data collection is done for short periodsfrom a day to a week or a fortnight. Sampling and analytical procedures also remain grey areas. In contrast, sampling and analysis of waste water have developed to a greater extent. It is strongly felt that detailed protocols should be developed regarding data collection, sampling, and analysis of different kinds of urban solid waste materials. The Bureau of Indian Standards should be directed to develop these and also update their existing standards with detailed deliberation. Regular data collection would provide vital information regarding changing nature and composition of waste with time, which in turn would help in directing R&D efforts, designing waste management systems and strategy for future programmes.
Institutional issues
P Absence of a nodal division or department in the ULBs to take care of wastemanagement issues in a comprehensive manner. In a majority of the municipal bodies, the health department carries out the sanitation and conservation-related services, including solid waste management. Cleaning of drains (followed by removal of drain silt) and removal of construction and demolition debris are mandated to the engineering department of the ULB. In some cases, the vehicles and repair and maintenance workshops are entrusted to a different department (such as transport/ mechanical department) in the ULB. Only in megacities do the municipal
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corporations have dedicated solid waste management cells, headed by senior engineers (such as engineer-in-chief or chief engineer). P Lack of qualified and experienced municipal staff with knowledge of state-of-theart developments, engineering, and planning capability. P Lack of technical and engineering skills in majority of the municipal bodies. P Lack of positive work culture for efficient service delivery.
Regulatory issues
P There is a need for a nodal ministry in the central and state governments to coordinate all aspects of urban waste management in a comprehensive manner. In a broader format, the mandate of such a nodal ministry could include environmental sanitation, including all aspects of urban waste management. P The gaps and overlapping areas in terms of subject and spatial location (periurban areas, urban villages, and so on) need to be addressed. P Policy is required for providing simple tools, which could go a long way in implementation of projects expeditiously and with least controversy and resistance. For example, provision of appropriate sites for processing and disposal of different kinds of waste in the land-use planning of each district. With modern tools like GIS (geographical information system) and GPS (global positioning system), it would be also possible to plan for regional facilities for economy of scale and environmental benefits, wherever applicable. Such attempts have been made in the state of Gujarat. P On similar lines, provision of regulatory toolkits in the form of approved formats for different types of contract documents / concession agreements and MoUs would be helpful in streamlining such systems and schemes and in bringing about transparency. P The issue of jurisdiction, for example, bio-medical and certain industrial waste are generated within the municipal area but these are outside the purview of the municipal bodies. P Linkages need to established between the urban, rural, agricultural, and forestry sectors for increasing viability and long-term sustainability of urban waste management systems.
Social issues
P There is no structured approach for participatory planning and community involvement. It has been shown in certain areas that community involvement leads to better management and control. For example, a recently released World Bank report highlights the role of community-based forestr y for poverty reduction and r ural economic g rowth through the JFM (joint forest management).
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P Similarly, there is no organized approach and policy for awareness generation and advocacy, which could play the most crucial role. P Policy should be formulated for environment education and training (capacity building), one of the most crucial issues for sustainable benefits. Fortunately, this component has been incorporated in the JNNURM projects. Any such policy should also outline the mode, methodology, and funding mechanism on a sustainable and routine manner. Some of these issues are discussed in more detail in the sections below.
Compliance with MSW Rules 2000

Complete compliance up to 31 December 2003 remains a distant dream. Many cities and towns have not even initiated measures, whereas some cities have moved forward on their own or under the pressure of Supreme Court, respective state governments, and pollution control boards. There is no consolidated official data available about the status of compliance with MSW Rules in the country, though all the states are expected to submit their annual reports. A study was conducted to ascertain the status of compliance of MSW Rules 2000 by Class I cities of India. One hundred and twenty-eight Class I cities of India responded and the status of compliance as on 1 April 2004 shows that there was insignificant progress in the matter of processing of waste and construction of sanitary landfills, and only about one-third compliance has taken place in the remaining five steps.
Reasons for non-compliance with MSW Rules

As per municipalities, compliance in waste collection is constrained by the following (IIR 2006). P Lack of public awareness, motivation, and education P Lack of wide publicity through electronic and print media P Lack of finances to create awareness P Resistance to change P Difficulty in educating slum dwellers P Lack of sufficient knowledge on benefits of segregation P Non-cooperation from households, trade, and commerce P Unwillingness on part of citizens to spend on separate bin for recyclables P Lack of litter bins in the city P Non-availability of primary collection vehicles and equipment P Lack of powers to levy spot fines P Lack of financial resources for procurement of tools and modern vehicles.
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In creating treatment and disposal facilities, the constraints outlined included the following. P Paucity of financial resources, as well as lack of support from state government P Non-availability of appropriate land P Prohibitive time and cost considerations in land acquisition and implementation of treatment and landfill technologies P Lack of technical know-how and skilled manpower for treatment and disposal of waste P Low quality of municipal solid waste P Delay in clearance of disposal sites Figure 1 summarizes the compliance status of ULBs with respect to MSW Rules. There is a definite awareness among local bodies, as well as policy-makers on solid waste management systems. There has at least been some progress in the right direction in seven years time since the passage of MSW Rules, which is not a mean achievement for India. Even in the US, which has been trying to follow efficient SWM practices for the last 25 years, only 25% solid waste is recycled and 15% of the waste is utilized for waste-to-energy and the remaining 50% of waste, including organic matter, is landfilled. The situation in India is fast improving, with regular monitoring by the Supreme Court, initiatives by various state governments, large financial support from the central government on the recommendation of 12th Finance Commission, allocation of urban renewal funds to the states, and technical and financial support from various ministries, and national and international organizations.
Figure 1 Compliance status of MSW Rules
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Obstacles to private contracting in SWM Absence of user charges

Provision of doorstep waste collection service under MSW Rules 2000 adds to the cost of SWM service and, thus, affects the finances of ULBs unless they introduce recovery of user fees from the beneficiaries. This is lacking in most cities, and the contractor is paid out of the general revenue of the local body. This requires the local body to have a sound revenue base, from which to allocate resources for SWM. The privatization effort currently underway in North Dumdum and New Barrackpore, in West Bengal, and Gandhinagar, in Gujarat, are good examples of user charges levied to sustain door-to-door collection on a long-term basis without additional burden on the ULBs.
Absence of a labour rationalization policy

In some cities, as much as 20%50% of the ULB staff is engaged in waste collection and transportation alone. Quite often, the staff is more than adequate but underutilized. Private contracting to improve the same service renders the existing staff redundant. It, therefore, becomes imperative that an adequate staffing plan be drawn up in consultation with the unions to arrive at a judicious combination of labour retrenching and redeployment.
Lack of integration of formal and informal sectors

The privatization efforts in various local bodies so far have also not been able to integrate the informal and formal private sector, thus, losing out on benefits from such integration. The informal private sector, including the waste pickers and recyclers, carries out unregistered and unregulated activities related to waste collection, sorting, and recycling, thus providing livelihood to this sector. Their contribution to local waste management, however, cannot be ignored because it is estimated that this sector daily removes around 10%15% of recyclable waste from municipal waste streams without putting a financial burden on ULBs. It is, therefore, necessary to look at integrating the two private entities to ensure social sustainability of the waste management system.
Lack of learning from peer cities

P There is very little cross learning from success stories of other cities. There is no concerted effort to learn from such successes (or failures) and to evolve a best practice, which can be adapted to a similarly placed municipal body. None of these gets translated into a government-mandated practice. P More often, the initiatives are personality based, with some officer taking the initiative. It lasts as long as that functionary lasts in the post.
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Incorrect practices
P There is lack of clarity on what is to be done. Rules are not fully known and well understood, especially to staff at operational level. In fact, MSW Rules are still not available in the local language. P All types of waste are allowed to mix up, subsequently making it difficult to process the same economically and scientifically. P There is general reluctance in enforcing segregation of waste at source by generators. There is no legal framework through which segregation can be mandated and enforced. P There is a lack of incentives for the agencies involved in collection, segregation, and transportation towards waste reduction. In fact, the present payment mechanism provides incentive for more waste. P There is lack of awareness about waste-processing technologies and development of scientific landfill sites and undue focus on centralized facilities for processing, many vendor-driven untested waste-processing technologies. P There is an urgent need to revisit, develop, and implement appropriate strategy for effectively handling of MSW. As per the legal requirements (Municipal Solid Waste [Management & Handling] Rules, 2000) it is mandatory for all municipal bodies to prohibit dumping and littering of solid waste anywhere in the city; to make it mandatory for the generators to segregate and store waste at source; for municipal bodies to collect such segregated waste directly from the households and transport it to designated places; to recycle dry waste; to process biodegradable waste by composting or any other suitable methods; to send waste that cannot be processed and the residue after processing to the sanitary/scientific landfill site. Similarly, municipal bodies have to ensure handling of biomedical waste as per Bio-Medical Waste (Management & Handling) Rules, 1998.
Identifying the sustainability parameters

Review of various international and national documents and best practices relating to municipal solid waste management and exploration of the concept of sustainable provision of this basic service by urban local bodies was carried out to set up a basic research framework for assessing sustainability in delivery of municipal solid waste service by urban local body. As per the reviewed literature, sustainable solid waste management can be defined as a process seeking appropriate levels of source segregation, recycling and resource recovery with environmentally appropriate technologies and involving cost recovery mechanisms for long-term financial sustainability leading to conservation of natural resources by minimizing the health, environmental and aesthetic impacts of solid wastes.
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One of the foremost outcomes of urban growth seems to be its linkage with growth of waste generation in the cities. There is, therefore, desired need to decouple growth and waste generation to be able to achieve sustainability in waste management. Sustainable solid waste management delivery therefore addresses the following issues. P Provision of service in an integrated manner with a minimal socio-economic impact with a focus on waste reduction P Cost recovery of services P Satisfaction of users with the service provision Apart from these issues, there are also regulatory provisions as stated under MSW Rule, 2000, notified by the MoEF (Ministry of Environment and Forests), Government of India. The MSW Rules specify necessary conditions to be adopted by ULBs to enable them to perform solid waste management services in an environmentally and socially desirable manner. These conditions include segregated doorstep collection of waste, proper processing and sanitary disposal as stated in detail in previous sections. Drawing from the above, a research framework/agenda for assessing sustainability in delivery of municipal solid waste service by ULBs in the selected cities was created. This research framework translated the above definition of sustainability in service delivery and the key lessons learnt from the literature review into a set of sustainability parameters. These parameters were then tested in the selected cities by means of discussions with different stakeholder groups involved in planning, provision and users of waste management services. Questionnaires probing each of these parameters were then prepared for stakeholders. Based on the above, the sustainability parameters in delivery of municipal solid waste service, which were explored in the selected cities were as follows. P Provision of services in an integrated manner by ULBs P Provision for cost recovery P Citizens satisfaction with the SWM services P Adherence to the provisions of MSW Rules by ULBs In order to test and evaluate the parameters listed above, the three cities selected were Surat (because of its impressive record of providing SWM services after the plague in the city), Hyderabad (fast urbanizing city with industrial and IT hub), and Shillong (typical mountain city characteristics, with flat terrain not easily available for establishing waste management facility).
Field-testing of sustainability parameters

Once the sustainability parameters with respect to management of solid waste in cities were identified, field visits were undertaken to the selected cities (Surat, Hyderabad,
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and Shillong), and stakeholder consultations with organizations/individuals were conducted to field test the suitability of these parameters in the Indian context. The analysis of the result of the field visits and stakeholder consultation are presented as follows.
Compliance with issues related to overall operation of local bodies

Basic details of selected cities
The three cities selected for stakeholder consultation Surat, Hyderabad, and Shillong presented three different types of urban development setups. Surat is industrialized, with trade dominating its urban activities. It is considered the commercial capital of Gujarat. The city generates around 1000 TPD of MSW. It has one disposal site constructed as per sanitary landfill guidelines issued by the CPCB, which requires a liner system to be placed under the waste layer to minimize leaching. The site is located around 10 km from the city. Despite the availability of this site, disposal is still carried out in an open dump adjacent to it, as the city is yet to establish a waste-processing facility as per the MSW Rules. This facility is supposed to be established soon, after which the sanitary landfill will be commissioned. The city of Hyderabad on the other hand is ranked as the sixth largest urban agglomeration in the country and the HUA (Hyderabad Urban Agglomeration) comprises the MCH (Municipal Corporation of Hyderabad), 12 peripheral municipalities, Secundarabad Cantonment, Osmania University, and other areas administered by the GHMC (Greater Hyderabad Municipal Corporation). The HUA generates around 3379 TPD of waste, out of which 2240 TPD is contributed by the MCH. At present, there are two active disposal sites in the city, while two others have been closed. None of these sites are sanitary landfills. No waste was being processed till recently; however, one of the disposal sites has now been allotted to a private operator for biomining the content of the landfill and creating space at the site. Shillong, the third city selected for the stakeholder consultation, is much smaller compared to the other two. The total MSW generated in the Shillong Planning Area comprising areas administered by the SMB (Shillong Municipal Board) and district councils is estimated to be around 100 TPD. There is an old dumpsite located 10 km from the city of Shillong Guwahati Road, operational since 1932 where all the MSW is presently disposed of. There is also a 100-TPD compost plant installed but it does not work properly. Three issues were considered under this head for assessing the sustainability of SWM in the cities as discussed above. 1 Provision of services in an integrated manner by ULBs 2 Provision for cost recovery 3 Satisfaction of users with the SWM services
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Service provision in an integrated manner

Discussions with various stakeholders, including the SPCBs and ULBs, revealed that various elements of integrated waste management system house-to-house waste collection in a segregated manner, waste recycling, processing of organic waste, and establishment of sanitary landfilling facility are in different stages of implementation in the cities of Surat and Hyderbad. The waste management services are in very primitive stages in the city of Shillong.
Provision of cost recovery

None of the cities consulted have full cost recovery for the solid waste management services the ULBs provide in the city. Closest to achieving some cost recovery is Surat, which aims to recover around 55% of its annual O&M costs in the current financial year. There is literally no cost recovery in both in Hyderabad and Shillong.
Users satisfaction with service provision

Among the three cities, the users in Surat seemed to be the most satisfied with SWM services provided by the municipal corporation, though they said that littering of waste and plastic bags was still a problem in the city. The users in Hyderabad and Shillong were not satisfied with the services and desired improvement.
Compliance with issues related to provision of MSW Rules

The key stakeholders consulted to gauge compliance against the provisions listed in MSW Rules were ULBs offices SPCBs in the selected cities. The SPCBs were selected, as they need to receive annual compliance reports from the respective ULBs. The state of compliance is presented Table 2.
Conclusions
Overall, it was found from the city visits that the parameters selected for this study are yet to be properly addressed in each city. Some efforts have been made by these cities to address some of the issues within the chosen parameters, but to be able to address the various issues related to water and waste-water management, an integrated and multidimensional approach is crucial. Two cities Surat and Hyderabad have made substantial progress in improving their SWM infrastr ucture by using funds available under the JNNURM (Jawaharlal Nehru National Urban Renewal Mission). But Shillong has not been able to have access to JNNURM funds as of now. Cost recovery of services for effective provision of services and covering annual O&M charges appear to be biggest impediments in the effective provision of SWM services.
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Table 2 State of compliance in the cities of Surat, Hyderabad, and Shillong

Issues Status of compliance Surat Prohibit littering, establish two-bin system for organic and recyclable fraction Doorstep collection in segregated manner Street sweeping on all days Abolition of open waste storage depots Transportation of waste in covered vehicles Treatment of biodegradable waste by suitable option Minimize waste going to landfill, disposal of only rejects and inert material Note: vvv: very good; vv: moderate; v: bad Hyderabad Shillong
No doorstep collection
Limited collection Very little employing ragpickers
Recommendations for operationalization of sustainability parameters

This section of the report deals with operationlization of selected parameters for sustainable SWM services in the cities. It is intended to be achieved by carrying out the following measures. P Selecting suitable indicators for each of the parameters P Defining the selected indicators P Defining at what levels and frequency the indicators should be monitored for the solid waste management in the city The MoUD (Ministry of Urban Development) in its Handbook on Standardised Service Level Benchmarks has identified a set of performance indicators for ULBs. It is expected that once local bodies start monitoring their performance and report as per given indicators, achieving the benchmarks listed, there will be considerable improvement in their performance. With respect to MSW, the service areas covered are given in Table 3. The above-mentioned performance indicators are a must for any city to assess the efficiency in the provision of service delivery. However, benchmarks suggested (100%) in five cases are tough to be achieved by the ULBs, given their indifferent performance regarding the compliance with MSW Rules. This report has suggested
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Table 3 Service areas covered with respect to MSW

Indicator Household coverage of SWM service Efficiency of collection of MSW Extent of segregation of MSW Extent of MSW recovered Extent of scientific disposal of MSW Extent of cost recovery of solid waste management service Suggested benchmark 100% 100% 100% Not provided as waste varies from city to city 100% 100%
MSW municipal solid waste; SWM solid waste management
the performance indicators largely targeting the attainment of integrated waste management systems, public acceptance, and cost recovery. The report has also suggested progressively improving the benchmarks wherever it was felt that 100% compliance in one would not be possible by the ULBs.
Indicators for operationalization

As discussed earlier, parameters selected for SWM can be summarized as follows.
Parameters related to MSW Rules

P P P P P P P No littering, and provision of two-bin system for waste segregation Doorstep collection in segregated manner Street sweeping on all days Abolition of open waste storage Transportation of waste in covered vehicles Treatment of biodegradable waste Minimization of waste disposal in landfill; no disposal of organic waste
Overall parameters
P Cost recovery P Satisfaction As these parameters are essential components of an integrated solid waste management system, the successful implementation of all the above-mentioned parameters would lead to waste management in an efficient manner. The parameters related to MSW Rules are described first, followed by the parameters related to overall SWM issues.
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Parameters related to MSW Rules Parameter 1: no littering and provision of two-coloured litterbins
The coloured litter bins (blue for recyclable and green for organic waste) are proposed in the MSW rules to be put up at suitable locations in cities to reduce instances of waste littering. The indicators suggested to gauge the efficacy of the provision of litter bins would include the following. P Indicator for ward-level coverage with litter bins: suggested coverage would be initially 90%100% for larger cities and 60%75% for smaller cities, reaching up to 100% coverage gradually. P Other indicator suggested would be citizen satisfaction with the cleanliness at the ward level. A satisfaction level of 75%90% would be desirable for cities to be labelled as clean. P The indicators would be measured biannually at ward level by a sanitary inspector of the area and reported annually at the city level in the annual report. Environmental sustainability demands the maximum extent of waste to be collected in a segregated manner without any littering on roads or parks. Segregation enables recycling, reuse, treatment, and scientific disposal of the different components of waste in the most economical manner. The waste collected in a segregated manner should also be transported in a segregated manner up to the point of treatment and/or disposal.
Implementation plan
The first step would be to monitor the area to establish locations for the placement of bins. High-waste-generating zones should be handled carefully with optimum number of bins with suitable capacity. P Zero-littering policy for urban areas should be adopted at the national and state levels. P Separate covered bins should be there for biodegradable and recyclable waste; they should be easily distinguishable by blue and green colours as suggested in the MSW Rules.
Box 1
The MCD (Municipal Corporation of Delhi) has privatized the collection of MSW in six zones through three private operators, in order to save costs and improve efficiency in service delivery. These operators have to put sets of two bins (blue and green) for collection of non-biodegradable/recyclable and biodegradable waste respectively. These bins are emptied into separate vehicles with similar coloured, larger bins daily. The operators are also expected to segregate the biodegradable and non-biodegradable solid waste before the waste is collected into separate vehicles.
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P P
It is also recommended that the collection of waste from bins should be done in a segregated manner. Wet waste needs to be collected on a daily basis, whereas dry waste can be stored in partitioned areas with roofing for a week, in which recyclable materials can be stored in separate cells for plastic, glass, metal, aluminium, and paper for further processing. Peoples participation is very important to achieve zero littering in cities. Campaigns, rallies, and streetplays can help in raising awareness about the need the keep the landscape clean nuisance due to littering. A team of sanitary inspectors should be constituted at the zonal level to monitor littering in the cities. Heavy spot fines, as imposed in Singapore, can be a strong deterrent; the fines should also cover the administrative charges for constituted monitoring team. Some additional cost would be incurred on staff and hardware like vehicles required for patrolling purposes. Citizens satisfaction surveys are suggested to be carried out by a third party, at least annually to maintain the transparency and authenticity of the results of survey.
Parameter 2: doorstep waste collection in segregated manner

The MSW Rules suggest doorstep collection of waste in a segregated manner from the households and establishments by ULBs. The indicators suggested to monitor the efficacy of doorstep collection of waste in cities would include the following. P Indicator for percentage of households and establishments covered by daily doorstep waste collection system: Doorstep collection of waste is an essential initial step to ensure proper segregation and proper processing of waste. It is a critical starting point in the entire chain of scientific SWM services. The benchmark for this indicator is suggested to be 90%100% for larger cities and 50%70% initially for smaller cities with gradual improvement in targets. P Indicator for percentage collection efficiency: Collection efficiency should measure the waste collected effectively by the SWM systems. Uncollected waste is strewn along roads, clogs the drains, and in case of biodegradable waste, it putrefies and attracts disease vectors. Therefore, collection efficiency is a key performance indicator. The benchmark for this indicator is suggested to be 90%100% for larger cities and 50%70% initially for smaller cities with gradual improvement targets. Note: It would be possible for ULBs to cover the slum settlements and multistoreyed housings by doorstep collection system. It is recommended that in such cases, community bins of suitable size are provided for the residents to deposit their waste in these bins.
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Implementation plan P Provision of trained waste collectors with proper protecting devices should reach every household at a particular point of time in the morning to collect the waste in different collection systems for biodegradable and non-biodegradable wastes. P Ragpickers plays an important role in segregating the waste; they should be involved in a formal manner in the waste collection and segregation chain. P The percentage collection efficiency needs to be measured at zonal and city level and frequency of measurement should be quarterly. P The process of doorstep collection of waste can be contracted out, as is happening in many larger cities to improve efficiency and save costs. For instance, partnership for 100% doorstep collection in Nagpur has resulted in not only efficiency improvement but also substantial saving for the Nagpur Municipal Corporation. Multiple contracting is recommended for bigger cities in a zone-wise manner to prevent monopoly by the selected contractor. P The effectiveness of waste collection from doorsteps can be enhanced by involving the local community or community-based organizations. They can mobilize/motivate residents to segregate the waste at source. P User fee should be levied on waste generators to fund the introduction of private operators. Our estimates for a city with 1 million population and 0.1 million floating population suggests that a user charge of Rs 115120 per month would adequate to ensure doorstep collection of waste, its processing and disposal of inerts in sanitary landfills. In this case, no contribution from the ULB is assumed. In case the ULB also contributes, the user charges would be proportionately lower. The collection of user charges can be linked to electricity bills as the experience in various cities has shown higher compliance level in such cases. P Households should be provided with two bins/bags of around 15-litre capacity (for a house with five members) for segregated storage of waste. P Doorstep collection of waste by sweepers is recommended by the use of containerized hand carts/tricycles or small autorickshaws, depending on the number of houses to be covered. P The tricycle should have 46 detachable containers, with capacity of 3040 litres, made of light, sturdy material with easy pick-up handle. The handcarts should have three wheels and sealed ball bearing. The community bin carrier (truck of suitable size) should have the provision for containers to be transported to transfer stations.
Parameter 3: road/street sweeping on all days

The road and street sweeping on all days in any city, preferably using mechanized implements in larger cities, is necessary to remove the sand, dust, silt, and other accumulated inert material during the day. It is also suggested that this material is collected, transported, and disposed of separately and not allowed to mix, especially
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with biodegradable or food waste. Once the organic waste gets mixed with sand and silt, it is almost impossible and too costly to attempt segregation of waste for effective processing. Suggested indicators to ensure the cleanliness of streets and roads would include the following. P Indicator on beats cleaned on daily basis: This indicator would be measured by estimating the percentage of beats cleaned daily over the total number of beats in any ward. The indicator would be measured on a daily basis by the assistant sanitary inspector, reporting to the sanitary inspector. The sanitary inspector would compile data on a weekly basis and report at city level. The benchmark for this indicator is suggested to be 90%100% for larger cities and 50%70% initially for smaller cities with gradual improvement targets. P Cleaning staff deployed per lakh population number of sweepers and supervisors: The benchmark for this indicator could be the numbers suggested for different-sized cities by the CPHEEO (Central Public Health and Environmental Engineering Organization) manual on solid waste. The indicator needs to be monitored at the ward level and reported annually. Implementation plan 1 This activity should be partly contracted out to bring in competition in day-today sweeping activities; use of mechanized sweeper is recommended for larger roads. Sweeping should be preferably carried out during night hours to ensure minimal traffic disruption and safety of workers. It is suggested that sweepers in the congested areas should cover 250 to 350 RMT (running meters) of road length for collection of waste from households and sweeping and in less congested area should cover 400600 RMT. Normal suggested yardstick would be 150250 households. Long-handled brooms are recommended for manual street sweeping to prevent fatigue and back pain in sweepers. Frequent visits by sanitary inspectors are needed to ensure proper cleaning of the roads and streets. Senior citizens in respective areas can also be assigned to keep vigil on street sweeping as done in the Philippines. A weekly review and reporting system is recommended for the urban local bodies at the city level.
3 4
Parameter 4: abolition of open waste storage

Open waste storage areas need to be abolished, as they attract stray animals, rodents and birds, which feed on the waste and in the process, spill the waste all around. This also attracts disease vectors to the site and leads to a potential health hazard.
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The indicator suggested to measure the efficacy of this parameter includes the following. P Indicator for the percentage of waste stored in open spaces over the total storage space available at the ward and city level: The benchmark for this indicator would be zero open-waste storage for larger cities; 25%30% open waste storage spaces for smaller cities, reaching gradually to zero. The indicator should be measured at quarterly basis and reported annually.
Implementation plan
P A detailed study should be carried out to locate the number of open dumping site and trace out the reason for their existence (public or management). P Close all old open waste storage areas in a phased manner; as an alternative binfree collection can be attempted, as tried in Goa and partly in Surat. P Development of parks and greenery on empty spaces can prevent further open dumping of waste in the areas reclaimed.
Parameter 5: transportation of waste in covered vehicles

Transportation of MSW in closed waste transportation vehicles is necessary to prevent littering of the waste while transporting it. The indicator suggested to measure the efficacy of this parameter include the following. P Indicator on number of covered vehicles over total vehicles available in working condition with the local body: The suggested target should be 100% for larger cities and 60% 75% for smaller cities reaching up to 100% in a phased manner. The indicator needs to be measured and reported on an annual basis at the city level. Implementation plan P Conversion/replacement of open vehicles to covered vehicles P Privatization of transportation services and coupling it with doorstep collection of waste and waste processing to improve collection efficiency in segregated manner
Parameter 6: treatment of biodegradable waste

Proper segregation and treatment of organic waste is suggested in MSW Rules not only to recover value from waste but also to avoid organic waste going to the landfills, as the larger cities are facing problems of fast filling landfills and locating new landfill areas. The following indicators are suggested to measure the efficacy of this parameter. P Indicator on quantity of biodegradable waste collected daily over the quantity of biodegradable waste generated daily: This indicator should be measured daily at the ward level and reported monthly on ward level. The target suggested for this indicator is 80% for larger cities; 50%60% for smaller cities reaching 100% in a phased manner.
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P Percentage of biodegradable waste treated daily over the quantity of biodegradable waste, reaching the processing site. This indicator needs to be measured daily on the city level and reported monthly. The suggested target is 100% for larger cities and 60%80% for smaller cities initially, reaching up to 100% in a phased manner. Implementation plan P Doorstep collection of biodegradable waste in segregated manner P Privatization of doorstep collection, coupled with operation of waste processing P Collection of user charges for waste collection, including operators in peripheral areas (the indicative user charges have been mentioned above) P Decentralized processing/treatment of organic waste in peripheral areas P Payment of tipping fee by ULB to the waste processor P Mandatory utilization of compost by government offices P Government to own land and assets for waste processing and outsource the operation of processing plant
Parameter 7: minimize waste disposal in landfill; no disposal of organic waste

To maximize resource recovery and extend the life of disposal sites, the MSW Rules suggest that the recyclables and organic waste should not be disposed of at the landfills. Also, other requirement as per the Rules would be setting up of scientific sanitary landfilling systems in the cities with a provision of bottom liner system to minimize contamination of the soil and groundwater below. The following indicator is suggested to measure efficacy of this parameter. P Quantity of waste disposed as against total waste generated in the city: The indicator is suggested to be measured at the city level and report on monthly basis. The suggested target for the indicator would be 50% for larger cities and initially 70% for smaller cities, both reaching up to 40% in a phased manner. Implementation plan P P P P P Recycling and processing need to be maximized to reduce pressure on landfills. Tipping fee needs to be paid for the disposal of waste. Government can own land and assets for waste processing and can outsource the operation of disposal site. Smaller cities can share the cost of development of processing plants and landfills by developing them on regional basis. The cities will also have to ensure setting up of scientific landfilling facilities to minimize impacts of health and environment; regional landfills can be developed for small and medium town, thus sharing the establishment and O&M costs.
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However, as organic waste will not go to the landfill, landfill will not require elaborate gas collection system; also, landfill liner requirement can be reduced if toxic wastes are not reaching, thus reducing the cost; such design details need to be evolved.
Note: As establishing the waste-processing infrastructure and sanitary landfills is a costintensive exercise for ULBs, to optimize the infrastructure development, smaller towns and cities can join hands together to develop these on common, regional basis and share them for waste management. It would also be important for such cities and towns to invest in maximizing waste recovery and recycling and divert maximum possible waste being disposed of in the landfills. For instance, municipal authorities in Suryapet, Andhra Pradesh, have succeeded in achieving zero-waste disposal and are complying with the provisions of MSW Rules of 2000.
Overall parameters Parameter 8: cost recovery of services

Full or partial cost recovery for any basic service would be the key to ensure its sustainability in the long run. The solid waste management service, however, has no direct revenue stream to make it financially viable on its own. Tools such as recovery of partial or full user charges, sale of by product (recyclables, compost or energy) can partially or fully offset the expenditure on solid waste management in the cities depending on the willingness of the users to pay. The experience of cities (such as Surat), where partial cost recovery is carried out suggests that people are willing to pay provided that they are satisfied with the level of services provided. The indicator suggested to measure the efficacy of this parameter would be the following. P Indicator on percentage of cost recovery for the ULB in SWM services with respect to monthly expenditure: This indicator needs to be measured on a monthly basis and reported on an annual basis. The target suggested for this indicator would be 60% 75% for larger cities and 50% for smaller cities, reaching 90% in a phased manner. Implementation plan P City administration should be authorized to recover cost of services under the polluter pays principle. P There should be phased targets for cost recovery, including in smaller cities. P Accounting system for expenditure and revenues needs to be improved for smaller cities. Note: It is recommended that no user fee be levied on the residents of slum areas. The expenses incurred can be levied on bulk generators of waste in the cities as their contribution in beatifying the city landscape.
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Parameter 9: citizens satisfaction

Citizen or user satisfaction with the SWM service or with any other basic service would be the ultimate test of efficiency with which the local body claims to be providing the public services. The following indicators would be suggested for this parameter. P Indicator for citizen satisfaction on various aspects of the SWM system in the public domain (street cleaning, bins, cleanliness of neighbourhood, and so on): This can be gauged by conducting satisfaction surveys on annual basis. The suggested targets would be >90% satisfied with the services for larger cities 60%80% satisfied in smaller cities Implementation plan P Operationalization can be done through citizens survey or rating by trained observers. P Agency can also appoint inspection committee to inspect the cleanliness (third party preferred). P It should be mandatory for all ULBs to go for annual survey and present the results in annual report.
Institutional and aspects influencing sustainability

The subject of SWM has remained neglected for the past several decades in the country. As a result, the level of services is highly inadequate and inefficient as also discussed in the previous section. However, with the advent of the JNNURM process, the delivery of basic services is expected to improve in the cities, as the process provides funding necessary to upgrade the services. The funding, however, requires cities to adopt the reforms regarding municipal administration in the cities. The reforms at the institutional level are an ongoing process for larger JNNURM cities, which are in the process of accessing funds under the scheme. There are, however, additional measures that would be required to improve the functioning of local bodies in terms of improving SWM services. These measures can be summarized as follows. 1 Establishment of separate cell for SWM with the municipal bodythe cell should be headed by the environmental engineer or civil engineer, as against the public health officer as is still the case in smaller cities. The cell should be guided by a steering committee of eminent technocrats and senior citizens of the city. 2 Decentralization of municipal functioning at the zonal level and ward level needs to be done to bring about accountability and efficiency improvement as is done in Surat. 3 Ward committees need to be formed as envisaged under the 74th Constitutional Amendment for creating public awareness.
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Inviting the private sector for service improvement and better cost recovery would require local bodies to have expertise in preparation of contracts and to understand technical and legal issues relating to requirements of processing facilities and landfill sites. The technical capacity of ULBs needs to be enhanced to cover these aspects as well.
References
Anschtz J, Rudin V, and Scheinberg A. 2004 Integrated sustainable waste management in La Ceiba Details available at <http://www.waste.nl/page/818> last accessed on 5 July2008 Asnani P U. 2005 Status of MSW rules implementation in India Presentation at the National Workshop on Municipal Solid Waste Management: sharing of experiences and lessons learnt, 13-14 July 2005, New Delhi, co-sponsored by the Housing and Urban Development Corporation Ltd, United StatesAsia Environmental Partnership, and Water and Sanitation Programme (World Bank) CPCB (Cenral Pollution Control Board). 2000 Status of Municipal Solid Waste Generation, Collection, Treatment, and Disposal in Class 1 Cities New Delhi: MoEF (Ministry of Environment and Forests), Government of India IIR (India Infrastructure Report). 2006 Solid Waste Management New Delhi: Oxford University Press, 160 pp. TERI (The Energy and Resources Institute). 1998 Looking Back to Think Ahead: GREEN India 2047 Delhi: TERI, 245 pp. TERI (The Energy and Resources Institute). 2001 DISHA (Directions, Innovations, and Strategies for Harnessing Action) Delhi: TERI, 368 pp. UTFP (Unit tecnica Finanza Progetto). 2001 Italian PPP at a glance Details available at <www.utfp.it/docs/articoli/Italyfeature.pdf>, last accessed on 5 July 2008
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As per the Brundtland Commission, the word sustainable implies that the present needs are met without compromising the ability of future generations to meet their needs. When applied to transportation, this term qualifies the urban transport system as a system that meets the present demands of transpor t by ensuring that environmental, equity, energy security, and economic considerations are factored into transportation planning and investment decisions. A sustainable transport may be defined as an activity promoting equity; fostering a clean and healthy environment; and promoting economic growth and a balanced system in which the personal vehicle, public transportation, bicycling, walking, and substituting travel with the help of information and communication technologies, are all possible choices.
Defining sustainable transport

A reasonable start to identifying parameters to assess sustainability of transport services is to define the term sustainable transport at the very outset. Many organizations and researchers have tried to define sustainable transport as per their requirements (Box 1). The ECMT (European Council of Ministers of Transport) selected a comprehensive definition of sustainable transport in the year 2004, which has also been endorsed by the TRB (Transportation Research Board). The definition has a broad scope and recognizes specific transportation issues. According to this definition, a sustainable transport system P allows the basic access and development needs of individuals, companies and society to be met safely and in a manner consistent with human and ecosystem health, and promotes equity within and between successive generations; P is affordable, operates fairly and efficiently, offers a choice of transport mode and supports a competitive economy, as well as balanced regional development;
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Box 1 Definitions of 'sustainable transport' adopted by various institutions around the globe
P The WBCSD (World Business Council for Sustainable Development) defines sustainable mobility as 'the ability to meet the needs of society to move freely, gain access, communicate, trade, and establish relationships without sacrificing other essential human or ecological values today or in the future.' (WBCSD 2001) P According to MOST (Media Oriented Systems Transport), 'The goal of sustainable transportation is to ensure that environment; social and economic considerations are factored into decisions affecting transportation activity.' (MOST 1999) P EST (environmentally sustainable transportation) is 'transportation that does not endanger public health or ecosystems and meets needs for access consistent with (a) use of renewable resources at below their rates of regeneration, and (b) use of non-renewable resources at below the rates of development of renewable substitutes.' (OECD and BLFUW 1998) P 'An environmentally sustainable transport system: allows generally accepted objectives for health and environmental quality to be met, for example, those concerning air pollutants and noise proposed by the WHO (World Health Organization); is consistent with ecosystem integrity, for example, it does not contribute to exceeding of critical loads and levels as defined by the WHO for acidification, eutrophication, and ground-level ozone; and does not result in worsening of adverse global phenomena such as climate change and stratospheric ozone depletion.' (OECD and BLFUW 1998)
P limits emissions and waste within the planets ability to absorb them, uses renewable resources at or below their rates of generation, and uses non-renewable resources at or below the rates of development of renewable substitutes, while minimizing the impact on the use of land and the generation of noise (ECMT 2004). Litman and Burwell (2004) attempt to classify the elements of a sustainable transport system into the following matrix (Table 1).
Table 1 Elements of a sustainable transport system

Economics Traffic congestion Infrastructure costs Consumer costs (fares, automobiles, and so on) Mobility barriers Accident damages Source Litman and Burwell (2006) Social Mobility for vulnerable groups Human health impacts Community cohesion Community livability Aesthetics Environmental Air pollution Habitat loss Hydrologic impacts Depletion of non-renewable resources Noise
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Some of the elements in the matrix may assume greater importance than the others based on a regional context. However, what is important to keep in mind is that there cannot be a single or across-the-board widely accepted definition for sustainable transport. It should, therefore, be defined locally as per the local conditions, requirements, and challenges in a particular region/country. A review of case studies demonstrating sustainable transport planning and management practices at various locations in the world, including India, was carried out. Interventions, including policies for sustainable transport, planning, institutional reforms and performance monitoring, were examined. These case studies have been discussed below.
Singapores land transport policy

The government of Singapore, a small island nation of approximately 4.5 people, had very early on pre-empted the damage and threat to the quality of life that would ensue if the country adopted a high motorization route. Improving public transport resulting in its wide usage has, therefore, been the cornerstone of Singapores land transport policy. Singapore has, thus, become famous for its world class transportation system. The Land Transport Policy of the Ministry of Transport aimed to develop a quality land transport systemone that would be integrated, efficient, affordable, with smoothflowing traffic, and which will meet peoples needs and support economic and environmental goals.1 To meet this goal, the ministry identified a four-pronged approach that included the following. 1 Integrated land use planning 2 Increasing public transport penetration 3 Managing the demand and use of private vehicles 4 Expanding the road network and optimizing road capacity
Improvements for bus transport

A white paper prepared by the LTA (Land Transport Authority)2 in 1996, charted out the measures Singapore needed to take in order to have a world class transport system. Buses were identified as the major public transport in Singapore 3 and recognizing this, the LTA, together with the bus operators, made a number of bus improvements4 , which included giving priority to buses, offering differentiated services, providing services for new towns and settlements to the city centre and other longer
http://www.mot.gov.sg/landtransport/policy.htm LTA is a statutory board under the Ministry of Transport, which is responsible for planning, managing and regulating transport infrastructure, the rail systems, and traffic in Singapore. 3 The PTC (Public Transport Council) regulates bus services in Singapore and is an independent regulator. 4 White Paper on a World Class Transportation System, available on http://www.lta.gov.sg/corp_info/doc/ white%20paper.pdf; last accessed on 27 October 2008
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journeys, better information systems, better pedestrian access facilities, refurbishing bus stops with amenities like drinking water, telephones, proper lighting, and so on. In Singapore, the PTC (Public Transport Council)5 regulates bus service standards, routes, and fares while balancing the commuters interests with the need to remain financially viable. The PTC lays down bus service standards, which include quality of service standards. The quality standards include criteria like availability, reliability, loading, integration, safety and information. 6 These are monitored by regular compliance audits and spot checks. The PTC also intervenes when service lapses are detected and directs the operators to take remedial actions. In addition, the LTA conducts annual public transport customer satisfaction surveys to better understand the quality and expectation of bus services from commuters point of view and to facilitate setting up of new quality of bus service standards. Information is collected on the following attributes. P General level of service P Waiting time P Reliability P Service information P MRT (mass rapid transport) station/bus interchange, bus stop accessibility/location P Comfort P Travel time P Staff customer service P Fare and level of service P Safety and security
Private vehicle restraint measures

As mentioned earlier, Singapore has been able to demonstrate a successful public transport system by simultaneously restraining the ownership and utilization of private vehicles by introducing the vehicle quota system and electronic road pricing, respectively.
Improving the performance of taxis

Finally, the white paper also recognizes taxis as a high-end form of public transport. The paper suggests the following measures to improve the taxi services in Singapore. P A performance evaluation scheme to monitor performances and services rendered by fleet operators P Publication of performance indicators, together with incentives for best performing operator
5
The PTC (Public Transport Council) was established in 1987 as an independent body to approve and regulate bus services, public transport fares and ticket payment services in Singapore. www.ptc.gov.sg
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P Introduction of differential pricing and differentiated services to meet the travel needs of all kinds of travellers P Gradually bridging the existing gap in cost per km between the private car and taxi by charging the latter with road usage tax P Reducing idle cruising on roads (which adds to congestion and pollution) by using radio-phone dispatch systems, dial-acab services, satellite navigation, and automatic vehicle location techniques By giving equal attention to both modalities, public and private transport, with the aim of reducing private vehicle usage, coupled with an excellent public transport system, Singapore today has set a successful example for sustainable transport planning and management for the entire world. It has been able to demonstrate this success with the help of stringent laws and regulations, strong political will, and a policy that clearly spells out clear actions and responsibilities for each player.
Sustainable Transport Plan of Auckland

Auckland is New Zealands largest and most populous city, having a population of approximately 1.4 million. Till the mid 1990s, the focus was on building more roads. However, this led to even more congestion. Following this, there was a paradigm shift and the focus of planning was on increasing the use of public transport, particularly in the peak periods. The Sustainable Transport Plan for Auckland, prepared by the Auckland Regional Transport Authority, is a ten-year programme of scoped and costed projects and practical actions, to help city residents make safer and more sustainable transport choices. As against the traditional transport planning approaches, this plan gives special focus to the people of Auckland rather than transport infrastructure and services. The plan defines sustainable transport for Auckland as Working with people and their communities to improve travel opportunities and to encourage people to make fewer car journeys (ARTA 2007). The plan attempts to integrate sustainable transport activities with each other and with planned improvement in infrastructure and services. It recognizes the importance of working with multiple agencies and developing new ways of sharing costs, managing risks, and evaluating success. The plan is a step towards a regional transport strategy, which outlines the future of the regions transport system and provides a framework for transport planning in the Auckland region. The Sustainable Transport Plan for Auckland outlines the activities that will help achieve the regional strategys objectives/ targets. The proposed sustainable transport activities have been drawn after substantial amount of consultations with the people. A few examples of evolution of sustainable transport activities from the regional objectives are given below.
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Improved walking and cycling networks in the Auckland region

The proposed actions in the Sustainable Transport Plan include the following. P Walking and cycling improvements in the CBD (Central Business District) and town centres P Engineering improvements in roads, for example, in traffic islands, crossings, speed humps, and bus bays. P Constructing 50% of the proposed cycle network Target: 15.5% of total trips by walking or cycling by 2016.
Reduction in the number of car trips

The proposed actions in the Sustainable Transport Plan include the following. P Priority to HOVs (high-occupancy vehicles) through dedicated bus/ HOV lanes P Offering a database service and/or providing pick-up points for encouraging ridesharing P Providing incentives at the destination, such as a guaranteed ride home in an emergency, and/or staff rewards for car poolers Target: 20 000 fewer morning peak car journeys than in 2006 by 2016 The plan demonstrates a sustainable transport approach that is drawn from the regional-level strategies to local area level plans. The actions identified in the plan are implemented and monitored periodically so as to assess the success of the plan. Setting targets for the identified actions helps assess the achievements of the plan and sets course for future actions and a consultative process ensures a more sustainable system.
Integrated land use and transport planning in Curitiba

The transportation system in the Brazilian city of Curitiba, as it exists now, began to evolve in the late 1960s, when the master plan for the city was formulated. The master plan proposed a change in the urban form of Curitiba from radial to linear. The plan utilized integrated land use, and road and public transport systems as tools to implement this principle. The city planners, unlike in many other Latin American cities at the time, did not embark on brutal reconstructions of the citys downtown area or large-scale highway constructions, rather they used integrated land-use and transport planning as a tool to meet the challenge of growing urban limits and the resultant transportation demand (Friberg 2000). The Mayor of Curitiba assumed a leadership role in the planning of Curitibas Integrated Transport Network. It is managed by URBS (Urbanizao de Curitiba) a state-owned company created in 1963. URBS monitors and coordinates the system, operates the bus lines, and maintains the infrastructure of the system. The buses are owned and run by 16 private companies that receive licences for specific lines and who are paid not per passenger but on a per kilometre basis.
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Buses are designed with three doors two doors for exiting and a front door for boarding turbo engines, lower floor levels, wider doors, and a convenient design for mass transit. Curitiba also developed boarding tube stations to increase convenience and boarding efficiency. Provisions have been made for the convenience of disabled and elderly passengers. Regular maintenance and renewal of fleet after every ten years ensures good condition of buses and helps keep the air pollution levels low. A road hierarchy and land control system, assigning priorities to buses, and proper zooming laws were put into effect. Integrated systems with trunk and feeder routes and express lines and inter-district routes were introduced. Night routes and special education routes were also introduced. The city also introduced automatic combined ticketing. Station and route maps have been provided at each tube station. Revenue sharing between bus companies is based on the number of kilometres travelled by vehicle type for any given company. The system is financed by the bus fares without any public subsidies. Curitiba ranks first in the use of the public transport system among all Brazilian state capitals, with 75% of commuters using the system on weekdays. The citys fuel consumption is 30% lower than in eight comparable Brazilian cities. It has also been shown by various studies that 28% of the car-owning population in Curitiba regularly uses the system. Curitiba has focused on means to improve both the availability and accessibility of buses in the city and has proved to be a successful example of a sustainable transport practice.
Dedicated public transport system in Bogota

In the 1990s, the urban transport situation in Bogota, Columbia, was characterized by severe congestion, poor road network condition, long travel times, high occurrence of accidents, and high levels of pollution. Though Colombias national government is responsible for setting broad policies in the urban transport sector, municipal governments are responsible for planning and regulating urban transport, including setting bus routes and fares, and for funding the construction, and maintenance of infrastructure in partnership with the private sector.7 Recognizing the degrading transport situation in the city, the Mayor of Bogota in 1998 decided to focus on reconstruction and maintenance of sidewalks, construction of cycle paths, campaigning against the use of private cars, and development of a formalized public transport system. As a result, Transmilenio was created to effect major change on the public transport front. The planning for the integrated transport system focused on the following. P Improvement in road safety
7
http://www.ppiaf.org/documents/toolkits/UrbanBusToolkit/assets/CaseStudies/summy/sum_bogota.html
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P P P P P P
Reducing travel time Catering to all income groups, the disabled, and so on Improving quality of vehicles, stations Improving access to stations Ensuring regular and punctual services Addressing the affordability concerns of passengers
The main features of the system include dedicated bus lanes, level loading and offloading of passengers, pre-selling of tickets and improvements of technologies. The buses have a capacity 160 passengers (48 seating), are fully accessible to disabled passengers, and meet EURO III emission standards. Inspired by the articulated bus system of Curitiba, Brazil, Transmilenio is made financially sustainable through an innovative publicprivate partnership. The system uses 165 articulated passenger buses with clean diesel engines that comply with Euro III environmental standards. Most buses run in dedicated corridors; and feeder buses not on exclusive lanes, but sharing streets with the rest of traffic, give people in marginal neighbourhoods, access to the system. Access to dedicated bus stations is through pedestrian bridges. A key advantage of Transmilenio is its low cost. Operating costs are also low. Through the innovative Transmilenio partnership, private operators not only cover costs but also make a profit (Hidalgo 2005, Runyan 2003). Currently, the system accounts for almost 1.3 million trips daily and the main line is carrying more than 40 000 passengers per hour, more than many rail systems. Transmilenio users are saving on average 223 hours of travel annually. Nine per cent of Transmilenio users have been diverted from commuting by private automobile. Transmilenio is projected to continue to grow, with the resources in place to move more than 80% of the citys population by 2015 (Hidalgo 2005). Catering to all income groups and matching service levels with the private vehicle reinforced Bogotas approach to improve both public transport availability and accessibility to all travellers in the city. Today, both Bogota and Curitiba are examples of successful public transport systems, a result of the strong political will and leadership demonstrated by the city authorities.
Public transport performance monitoring in Victoria

Victoria is Australias most densely populated and urbanized state, with a population of approximately 5.2 million. The state has historically exhibited strategic transport planning. Melbourne in Victoria has the worlds largest tram network and Australias second largest suburban rail network. The citys extensive public transport network comprising trains, trams and, buses uses an integrated ticketing system, where you can buy one ticket and use it on all the three modes for a specified time period.
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The state also has an extensive system of performance measurement of public transport services, which has been discussed below.
Victorias Public Transport Division

The Public Transport Division of the Department of Transport is responsible for coordinating and monitoring public transport services in the state of Victoria. The Public Transport Division also has a leadership role in developing and improving all parts of the states bus, train, tram, and taxi networks.8 It carries out the following functions. P Ensuring accessibility for the community P Contract management for bus, train, tram and ferry services in Victoria P Performance monitoring of operators P Planning for future transport needs P Ensuring safety in public transport P Working with operators to ensure that public transport services are available and coordinated during major events in the city P Regulating taxi and hire car services throughout Victoria P Coordinating ticketing and fare structures
Performance monitoring
The Public Transport Division monitors the performance of all public transport operators who are contracted by the government to provide regular services to the community. These include train, tram, and bus operators. The services are monitored against targets for performance delivery, particularly in relation to the punctuality and reliability of the services, and customer satisfaction surveys are also conducted. In order to assess the performance of public transport operators, the governments transport contracts include targets for performance delivery and standards for customer service. The targets generally relate to the following. P Punctuality, measured as a percentage of the services arriving on time at specified monitoring points. P Reliability, measured as a proportion of the scheduled train or tram services that have run. Train and tram franchise contracts also contain performance requirements for minimizing graffiti, keeping facilities and vehicles clean, complaints-handling processes, providing lighting and security, and providing information about services and facilities.9
8
http://www.transport.vic.gov.au/DOI/Internet/transport.nsf/AllDocs/8A3773815437B0F64A25686C0008B211? OpenDocument; last accessed on 28.10.08 http://www.transport.vic.gov.au/doi/internet/transport.nsf/AllDocs/FE45C4AFFB575E49CA256E7C00208161? OpenDocument#survey; last accessed on 28.10.08
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The method for monitoring the performance of public transport operators depends on the mode of transport. Bus operators in Melbourne are required to keep records of the punctuality and reliability of at least 5% of their timetabled services. These records are then forwarded to the Public Transport Division each month. The division monitors regular passenger services in metropolitan and regional areas through an ongoing programme of random audits of services to ensure they comply with performance targets and service standards.
Customer satisfaction surveys

In addition to monitoring the operators punctuality and reliability, the Public Transport Division commissions monthly customer satisfaction surveys. Every month, both users and non-users of public transport are surveyed to measure whether operators are providing the quality of service the community expects. A sample of people is randomly selected from the telephone directory in areas where train, tram, bus, and regional coach services operate and interviews are conducted over the telephone. Interviewees are asked to indicate their usual public transport usage and to rate a number of aspects relating to public transport services according to whether they are satisfied or dissatisfied with the service. Responses are further categorized by whether the respondent is totally, very or somewhat satisfied or dissatisfied with the service. The survey includes questions about the following. P Service delivery P Railway stations or tram or bus stops P Passenger comfort P Ticketing P Information services (including timetables) P Personal safety P Value for money P Staff service Based on the customer satisfaction surveys conducted, monthly and quarterly bulletins Track Record are published by the Public Transport Division to inform the community about the performance of Victorias public transport services. As an example, for the quarterly bulletin for April to June 2008, the punctuality (on-time performance as a percentage of services run) for the metropolitan buses was 95.1%.10 Also, reliability which was measured in terms of cancellations as a percentage of services scheduled for the Metropolitan buses was 0.1%, for the same period.
10
http://www.transpor t.vic.gov.au/DOI/Inter net/transpor t.nsf/AllDocs/9D693B32D3B15C2ECA25747 F0011163D?OpenDocument
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As part of their contracts, train and tram operators have the opportunity to obtain incentive payments for exceeding performance targets and can incur penalties for below-target performance. This is known as the Operational Performance Regime. Train and tram operators are required through their franchise agreements to provide service levels above a government-set threshold. This arrangement applies to punctuality and reliability. Should an operator not meet minimum ser vice level requirements, compensation (usually in the form of complimentary tickets) must be provided to customers holding valid periodical tickets who travel on the services concerned.
Customer service charters

Victorias major train and tram operators are required to provide commitments to protect the rights of passengers as part of their contracts with the state government. These commitments are covered in customer service charters that also include a compensation code for passengers. Customer service charters clearly define the operators responsibilities and obligations and provide important information and advice to customers. As of now, bus operators are not required to develop customer service charters under the existing contracts. However, as new contracts for these services are renegotiated, the government is considering including the need for charters and compensation codes for buses. Customer service charters describe the rights of passengers and outline key commitments to ensure that public transport services meet the needs of all members of the community. Victorias approach of having a dedicated department to plan, manage and monitor public transport services, conducting customer satisfaction surveys, have all led to improving the quality of public transport services and could be worth emulating in Indian cities.
Indores PPP model for urban bus operations

Indore is a fast growing industrial city in the state of Madhya Pradesh in India, with a population of about 1.6 million in 2001. Like any other metropolitan city, Indore faces the challenges of a growing urban population and the resultant increase in transport demand. In order to improve accessibility levels in the city, popularize public transport, and reduce the dependability over private vehicles, the city started the process of improving its urban bus services in 2005. In addition to the project investments identified under the JNNURM (Jawaharlal Nehru National Urban Renewal Mission) for the city, which include physical road infrastructure improvements and creation of a BRTS (bus rapid transit system) corridor, the Indore Municipal Corporation, Indore Development Authority, and the district administration jointly invested in the creation of an SPV (special purpose
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vehicle) called the ICTSL (Indore City Transport Services Ltd). Under the aegis of the ICTSL, these three players structured a PPP model for creating and expanding urban bus services in Indore.
Conditions of contract
The PPP initiative was based on the recommendation of a World Bank report called Indias Transport Sector, the Challenges Ahead (2002), which stated that the urban bus transport corporation should have a share of 30% in the total capital investment, and 70% of the investment should be contributed by private investment. Accordingly, the investment in the urban bus transport system was shared between ICTSL and private operators and service providers. The investment in common infrastructure like bus stops and office space was contributed by the ICTSL, while the investment in the rolling stock was made by the private bus operators. The contractual arrangement between the ICTSL and the bus operators was based on a franchise arrangement. Once the ICTSL identified the routes for operations of the city buses, it initiated a competitive tendering process inviting private bus operators to bid for operating buses on predefined routes. The contract between the successful bidder and the ICTSL is for a tenure of five years based on the following major conditions (MoUD and WSA 2008). P The operator would pay a fixed monthly premium to the ICTSL for the right of plying the buses on selected routes and using the shared infrastructure. P The operation and maintenance cost, daily running costs, and other costs of operating the services will be borne by the bus operators. This expenditure is financed from the revenue shared by them in the system. The operators share of revenue includes the following. Entire fare box collections 60% of the revenue from sale of advertising rights 80% of the revenue from sale of monthly passes P The operator will comply with the performance and maintenance standards issued by the ICTSL for this purpose. P The fare collected by the operators from passengers would be based on tariffs prescribed by ICTSL In addition to entering into PPP arrangements for bus operations, the ICTSL also involved private parties for the provision of supporting services like advertising, selling bus passes, and installing and operating GIS (geographical information system) /PIS (passenger information system) in the buses. The ICTSL is now also extending the PPP model for operating 100 luxury taxis throughout the city. These luxury taxis will be accessible to all citizens through a 247 call centre (MoUD and WSA 2008).
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Division of responsibilities
A summary of the various activities in bus service provision in Indore and the parties responsible for carrying them out is given in Table 2.
Performance parameters
The performance parameters for all the private entities are prescribed and monitored by ICTSL. These include (MoUD and WSA 2008). P Technical specifications for the rolling stock; dimensions of the bus, capacity of the bus P Specifications for operations; number of buses, frequency, number of trips, time of operations P Specifications for the operating staff P Standards for maintenance of the rolling stock P Standards for support services, GIS, and PIS, which are used for monitoring performance of buses and adherence to defined routes
Table 2 Sharing of responsibilities in Indores PPP model for urban buses

Roles/responsibilities Route identification Route assessment and testing Construction of common facilities Prescribing specifications for the buses Prescribing performance standards Prescribing fares, tariffs and charges Investment in rolling stock (buses) Operating buses Maintaining buses Collection of fare Sale of monthly passes Sale of advertising rights Provision of GIS/ PIS Passenger traffic risk Operating risk Cost escalation risk Contract risk ICTSL Bus operator Service provider
GIS geographical information system; PIS passenger information system Source MoUD and WSA (2008)
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Estimating demand for buses

Indore did not go in for a massive primary survey to estimate the overall demand for urban bus services in the city and, therefore, the distribution of demand among defined routes and consequently the number of buses to be deployed. Instead, it identified 18 high-travel-demand routes within the city based on existing traffic loads. Once the routes were identified, the ICTSL carried out complete route testing and time scheduling. Finally, the permits for running buses on these routes were taken from the regional transport authority. As per the terms of contract, initially every operator needs to deploy a minimum of two buses on every route. Once they exceed the capacity in terms of passenger kilometres served by them, there is a provision for increase in the number of buses. In case the number of buses on any route has to be increased, the first opportunity to deploy buses is given to the existing operator for that route. In case they refuse, opportunity is given to a new entity. The deployment is, thus, clearly linked with the demand for service on defined routes. This arrangement gives the ICTSL an effective option of increasing the number of buses within the city. This approach of the ICTSL has enabled it to implement the bus service within a shorter planning period (MoUD and WSA 2008).
Extending services to less profitable routes

Keeping in mind the commercial viability concerns of private operators, currently, the Indore City Bus services ply on 22 routes. As a result of the bus service, the existing transport operators running tempos and mini buses have been marginalized. They have started operating as feeders for the bus service. The ICTSL is now looking at ways to extend its services to less profitable routes by P planning the systematic integration of the tempo and mini bus operators into the system as feeders to the bus service; P exploring the option of cross-subsidizing the urban bus services on less commercially attractive routes by working out a negative premium mechanism, where ICTSL pays the operator to run the service (MoUD and WSA 2008). The PPP arrangement devised and implemented by the ICTSL is a good model for urban bus system operations. Commitment and involvement of the city authorities in improving urban bus services, entering into agreements with the private sector, setting performance measurement standards and usage of modern technologies, are all positive actions leading to enhancement of transport services.
Reforms to improve bus services in Bangalore

Bangalore, Indias IT hub and a rapidly expanding cosmopolitan city, had a population of five and a half million in 2001 and about 1.3 million vehicles, of which almost 80%
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were two-wheelers. The buses owned by the BMTC (Bangalore Metropolitan Transport Corporation) numbering 2300, accounted for only 0.2% of the total vehicular fleet but catered to almost 65% of the total passenger trips generated in the city (TERI 2002). A gradual decline in the quality of public transport service was being witnessed (even before the formation of the BMTC) along with some major problems. P Irregular services P Drastically reduced fleet utilization P Low internal and external efficiency in terms of resource management P Poor maintenance of vehicles in almost all depots P Mounting losses Recognizing the need for reforms, the Government of Karnataka initiated a number of studies to identify strategies for improving the KSRTCs (Karnataka State Road Transport Corporations) functioning. Some of the suggestions made by these committees are as follows (TERI 2002). P To bifurcate the KSRTC into four or five organizations, including one for Bangalore city, to improve efficiency P Abolition of the position of regional manager and empowerment of depot managers P To continue with the policy of nationalization of routes P To set up a fare-fixing body or tariff committee to work out an escalation formula for increasing fares P To rationalize routes P Pursuant to these recommendations, in 1997, the BMTC was created as an independent corporation under the Road Transport Corporations Act 1950 by bifurcating it from the KSRTC. It took over 13 depots, divisional offices, and workshops and the bus stations attached to the erstwhile Bangalore Metropolitan Service divisions, with 2088 buses operating 1934 schedules and 13 294 employees, a staff ratio of 6.9 persons per bus (TERI 2002). The operation of the corporation is categorized into city and suburban services. The BMTC buses ply on grid routes, leading to better accessibility to all areas on the essentially hub-and-spoke- shaped road network. Routes under the BMTC are either allocated on the basis of demand from a group of commuters or political pressures or successful experimental routes taken up by BMTC on its own initiative that result in high monthly revenues (TERI 2008). The different types of services offered by the BMTC include the following. P Ordinary service P Pushpak service P Volvo service (air conditioned)
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The BMTC has been improving its performance over the years. Today, it is the only profit-making public bus company in India. Its improved performance is in large measure due to improved employee performance. The number of accidents per hundred thousand kilometres has shown a downward trend due to the improved personnel policy and regular training to the drivers, and a stringent selection processes. The rationalization of fares and operation of differential services in the city has helped make bus transport more attractive to the commuters. The BMTC went about carrying its operations with the objective of providing an efficient, adequate, and economical transport system to people. The occupancy ratio over the years has improved. BMTC has 1063 routes, and the average route length has increased over years. The percentage of off-road vehicles has reduced after bifurcation and the vehicular utilization has increased. The operational performance of the BMTC has also increased, as has the average number of passengers carried per day (TERI 2002). BMTC has also tied up with companies like Infosys to provide dedicated services to their employees during peak travel hours, in order to prevent them using their personal vehicles, thereby encouraging greener travel habits and reducing the stress of driving. Though far from being a decongested city having clean air to breathe, Bangalore is a good example of an Indian city taking serious initiatives to provide and promote public transport for various categories of users by improving the accessibility and quality of services. Table 3 summarizes the key lessons learnt from the review of good practices.
Identifying the sustainability parameters for transport

Based on a review of sustainable transport definitions, good practices, and measures adopted both nationally and internationally to address sustainability concerns in urban transport, the following definition for a sustainable transport system in an Indian city was arrived at. A transport system where every individual or commuter category in a city is able to fulfil his or her mobility needs in a quick, affordable, safe, reliable, comfortable, energy-efficient and environmentally benign manner. This is also in line with the objectives spelt out by the National Urban Transport Policy of the MoUD (Ministry of Urban Development) for addressing mobility in urban areas. It can be observed from the review of literature and case studies that some of the key components of any sustainable transport strategy would typically include the following. P Minimal need to travel (includes demand management and integrated land use and transport planning) P Minimum dependence on personal motorized travel modes
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Table 3 Summary of good practices studied

City Singapore Country Singapore Good practice P An integrated land and transport policy P Emphasis on public transport (particularly bus transport) with supporting measures to restrain car use and maximize efficiency of taxis P Independent regulator for buses P Performance measurement of services P Customer satisfaction surveys P integrated sustainable transport plan with actions and targets and timelines clearly charted out P Integrated land use and transport planning P Dedicated bus corridor P Strong political will to promote public transport P P P P City municipality empowered to handle transport functions Dedicated bus corridors in the city Quality of public transport matching with personal travel Strong political will to promote public transport
Auckland Curitiba
New Zealand Brazil
Bogota
Columbia
Melbourne
Victoria
P Dedicated public transport division to plan, manage, and monitor public transport P Conducting customer satisfaction surveys P Publishing of performance reports P Citizens charter for public transport services P Development of a PPP model to operate urban bus services P Involvement of all city actors P Institutional reforms for improving services P Differentiated public transport services P Corporate initiatives to shift its employees to public transport
Indore Bangalore
India India
PPP public-private partnership
P Maximum use of environment-friendly modes like walking, cycling, and public transport systems P An attractive, efficient and well managed public transport system to cater to the mobility needs of all traveller groups P Use of clean fuels and maintenance and upkeep of vehicle fleets P Minimum dependence on fossil-fuel-based energy resources P Minimum impact on environment and public well being, with minimum air and noise pollution
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Safety and security of transport users and non-users Equitable travel opportunities for all Good traffic management Minimum travel time Pricing reflecting a healthy balance between affordability for traveller and recovery of costs of externalities caused from travelling P Comfortable and clean travel environments P A well managed and integrated urban transport system using ICT (information and communication technologies) P An integrated and coordinated approach between the various organizations involved in urban transport and the necessary policy, legal and regulatory frameworks in place in order to enable them to achieve goals of sustainability. P P P P P From the above it is evident that there are a number of areas where interventions should be made in order to make transport services at any location sustainable.
Improving the share and quality of public transport: a key step for making urban transport sustainable
As mentioned earlier, arising from the various definitions of a sustainable transport system, a number of key action areas emerge. From all these strategies that have been discussed in the transportation literature, and various policy initiatives governments around the world have taken, provision of adequate, efficient, and comfortable public transport emerges as one of the most important solution to ensure the sustainability of urban transport. There is enough evidence that has been documented to support that good and efficient public transport systems11 can go a long way in addressing all the goals of sustainable transport. Advantages of public transport include the following. Advantages of public transport include the following. P They are more surface efficient and hence, reduce congestion. P They result in fuel savings, emission reductions, and safer means of travel. P They serve the travel needs of the disadvantaged sections of the society, namely, the urban poor, women, children, and the elderly, and households without any vehicle. P They make the public urban space more socially integrating and restore cohesion in the society by creating access to jobs and education, thereby creating more economic and opportunities and a better standard of living.
11
Here, public transport systems include shared IPT (intermediate para transit) modes like auto rickshaws, jeeps, taxis, vans, and mini buses, which carry passengers on a per seat fare basis. Such modes are common in many Indian cities as public transport carriers, especially in cities where there are no formal public bus or rail systems.
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P If priced properly, public transport could provide opportunities of more equitable travel, which are diminishing today in Indian cities due to increasing number of personalized modes on a shared right-of-way, thereby leading to subsidization of overall travel costs of the choice rider (person having a choice to use personal or public transport modes) by the captive rider (a person who is completely dependent on public transport). Good and efficient public transport has been universally acknowledged as one of the most important pillars of any sustainable transport system as it is to a large extent, able to mitigate the social, economic and environmental negative externalities of travelling. This measure, if accompanied with supporting actions like restraining personal vehicle usage, according priority and better traffic management, and introduction of ICT can help achieve the multiple goals of sustainable mobility in urban areas. When it comes to urban transport, large Indian cities today are a victim of unplanned growth and motorization and are plagued with the challenges of congestion, air pollution, inequitable travel opportunities, accidents, and poor quality and image of public transport. The small and medium towns, which are close to 5000 in number, and are rapidly expanding, are closely following suit. Given the current status of public transport and intermediate public transport in Indian cities, and the scope of improving the penetration and quality of these services, sustainability in urban transport service delivery in this study is explored in terms of the ways and means to make the existing public transport systems (both formal and informal) in Indian cities more sustainable. With the formulation of the NUTP (National Urban Transport Policy) and supporting programmes like the JNNURM, cities are now motivated to invest in and move towards properly planned and well managed public transport systems. For the first time in the country, there is a clear focus and conscious effort to address the sustainability issues facing urban transport in Indian cities by increasing the shares of public transportation in cities. In the light of this, funding under the JNNURM is extensively being used to augment public transport infrastructure and supporting facilities. Given the complex nature of public transport operations in this country, adding new infrastructure, though extremely important cannot be the only solution. There is a need to go beyond infrastructure provision and address the operational concerns of the existing public transport systems (including informally organized systems) and see how these can be improved. After all, on an average, more than 60% of a citys travel needs are met by public transport, and its current levels of inadequacy, owing to various internal and external inefficiencies, make it extremely essential to increase the share of public transport in the long run, and arrest the currently rapidly decline in the shares of public transport in cities in the short and medium term. In order to do this, and also from a sustainability point of view, it is important to assess the efficiency and adequacy of existing public transport systems in Indian cities.
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Identifying parameters for assessing the sustainability of public transport

Besides availability of public transport modes and routes, and access to good public transport services by all user groups in all locations in a city, there are some other important parameters that are essential to evaluate public transport performance. M P V Anantha has carried out research in India on the subject of public transport adequacy and efficiency, and according to him, efficiency is defined by the following (Padam 1990). P Ensuring operations of service according to published timings to obtain regularity, punctuality and reliability P Ensuring that statutory requirements are observed in the operation of services in the area P Ensuring that services are run at speeds consistent with the safety of the bus occupants and other road users P Ensuring rendering assistance to accident victims and proper accident data collection P Ensuring operation of buses by crews in proper turnout and their rendering service with civility to the passengers P Ensuring maximum services at minimum costs to the public and eliminating wastages internal to the working of the organization Another set of parameters key to public transport performance are the internal efficiency parameters. However, these are monitored by the STUs (state transport undertakings) and in locations where there are other institutional models of service delivery, these are not monitored. The ASRTU (Association of State Road Transport Undertakings) in India regularly publishes data on the performance of STUs. It includes the following. P Service kilometre operated/vehicle owned P Passenger carried/vehicle owned P Passenger carried /staff member P Staff/vehicle owned P Per cent of vehicle fleet operating in peak hours P Revenue/vehicle owned P Revenue/vehicle kilometre P Kilometres operated between breakdowns P Fuel consumption/ km P Cost/vehicle km P Fare collection leakage P Employees absenteeism P Adherence to emission norms, age, roadworthiness of buses, and so on
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To sum up, the following parameters are necessary for assessing sustainability of public transport services in any Indian city. 1 Availability 2 Accessibility 3 Transport performance linked to customer convenience (includes reliability of services, presence of information systems, safety and security while travelling, comfort and cleanliness levels in the buses, time and cost of travel, and so on) 4 Operations and management 5 Financial sustainability 6 Environmental benefits This study focuses largely on the various challenges and solutions associated with implementing parameters 14. In addition, the study focuses on the most critical aspect, the institutional and organizational frameworks relating to public transport in Indian cities.
Analysing the existing situation

Public transport in Indian cities is inadequate. Given the rapid urbanization and sprawl of cities, it has not been able to keep pace with the rapid increase in travel demand in the past few decades. Public transport mostly being road based in most cities, the bus services have deteriorated and their relative output has been further reduced as passengers have turned to personal modes and intermediate public transport (such as three-wheelers and taxis). Though there is a high demand for public transport in Indian cities, given the rapid rates of personal motorization, public transport shares are dwindling. While in 1951, one out of every 10 vehicles sold was a bus, today only one out of every 100 is a bus. In 2007/08 only 38 655 buses were sold against 1.5 million cars and this is despite the fact that buses still account for about 50% of all journeys performed by road.12 Further, the deteriorating service quality of buses has resulted in poor travel conditions for the captive riders. In India, barring the four large metros Delhi, Mumbai, Chennai and Kolkata which are served by a rail-based transit system in addition to their existing road-based public transport, in all other Indian cities, public transport needs are met by roadbased transport, which is usually a combination of public vehicles like buses and mini buses and paratransit like passenger tempos, vans or other large-passenger-capacity vehicles. Since our cities use a mix of public modes to meet their travel needs, public transport, in this context, can be considered as any communal form of transport other than a car or two-wheeler, for which passengers pay a certain amount to be transported from one place to another. In India, presently less than 15 cities have formalized public
12
http://www.cseindia.org/AboutUs/press_releases/press-20090205.htm
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transport systems managed by municipal undertakings or state corporations. In all other urban locations, public transport is a mix of informal modes. Public transportation, a multifaceted subject, also has a number of challenges associated with it. In India, the problems with public transport can be classified into institutional, technical, financial, managerial, and operational, and therefore, solutions can be worked from each of these ends. What is key is that Indian cities have not done and are still not doing enough to plan for public transport systems. Despite there being a huge demand for it, public transport today is highly inadequate and plagued with a number of problems. These have been discussed below.
Inadequate policy thrust

The Government of India announced the NUTP in 2006 (MoUD 2006) to meet the challenge of Indias rapid urbanization phenomena and the resultant increase in the urban travel demand. The policy aimed at meeting the mobility needs of the current and projected population and ensuring sustained flow of goods and people in urban areas, using a pro-public transport approach. Some of the policy objectives in the NUTP are being realized as proposals and projects under the JNNURM, which has selected 63 cities in India and is implementing an urban reforms agenda of which urban transport is a significant component. Each of these 63 cities has come up with a City Development Plan, which is a policy and investment plan for the city for the next five years (200712). The Mission now makes it conditional upon the cities to take up projects in line with the recommendations made in the NUTP, in order to receive funding and grants. For this, each of the cities has to come up with a comprehensive mobility plan for the city, and currently, many cities are engaged in the same. The NUTP is a good start towards changing the increasingly deteriorating urban transport scenario in the country. It places, the highest priority on promoting public transport systems in cities by committing a sizeable financial support from the union government to public transport development projects in cities. However, most project proposals for urban transport in cities today are not conforming to the true spirit of the NUTP and are focused more on building more cost-intensive mass transit systems, without making an effort to improve the existing systems, and arrest the declining shares of public transport. Also, focusing on expanding the road space without giving priority to public transport and supporting measures to improve access to and quality of public transport only creates more space for personal vehicle users. Though the NUTP is a good starting point and a good attempt towards changing the increasingly deteriorating urban transport scenario in the country, it does not adequately address some important issues. P There is inadequate emphasis on translating policy at the state level to ensure that the cities are guided in their actions by a state-level policy that is a further detailing
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P P P
of the NUTP. This is important as every state should play a more active role in planning and managing urban transport operations in a city. Though there is great focus on the need to build and develop mass transit systems in cities of various sizes, there is inadequate emphasis on the need to improve the availability, accessibility, and quality of the existing public transport systems. This needs monitoring and review mechanisms to ensure quality controls, consistency, and effectiveness of services delivered, along with conducting regular customer satisfaction surveys. The policy does not talk of setting targets to increase modal shares of public transport in cities. There is no mention of demand management measures substituting physical travel by means of virtual mobility like telecommuting and e-services. There is inadequate emphasis on the need to develop detailed guidelines on procedures for conducting mobility audits, traffic surveys, data modelling and analyses for transport planning, alternative analysis (including engineering, economic, and environmental) between two or more transport options, and so on.
Legal and institutional issues

Though the regulatory environment governing urban public transport in India is laid down in various laws, regulations, and policies, some of which are national, some state, and some at the city level, public transport does not feature under any one particular list. The laws that regulate public transport in the country are mainly the Road Transport Corporations Act (1950) and Motor Vehicles Act (1988). These laws make the states governments responsible for regulating road transport, regulate working conditions of drivers, and stipulate that no public service vehicle can operate without a permit. Other state laws indirectly impacting public transport indirectly are the municipal laws that authorize urban local bodies in states to regulate traffic, carry out urban planning, and so on. Other laws like pollution control and police acts are also relevant. Currently, there is no exclusive institutional mechanism under the Motor Vehicles Act for urban transport. Through the Motor Vehicles Act, an institutional setup has been created for controlling public transport, which involves the regional transport officer, regional transport authority, state transport authority, and the state government; however, this has proven to be inadequate, as for successful operations of public transport in a city, there is need for the involvement of city authorities, citizens and integrated planning between the various players like traffic police, urban development authority, and bus operators, which is currently missing.
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Lack of organizational coordination

The current legal institutional arrangements for managing urban transport were developed at a time when urban transport was not a major concern. As a result, there is a high degree of fragmentation, and separate enactments cover different modes of transport. Apart from this, the planning and implementation of urban transport infrastructure rests with multiple agencies, which do not necessarily work in a coordinated manner. Today, there exist a number of agencies whose activities are directly or indirectly related to public transport operations in a city (MoUD 2007). P The local municipal government provides roads, infrastructure like bus stands, regulates traffic along with the traffic police, controls construction, and so on. P The local city development authority discharges town planning functions. P The police regulates traffic. P The public works department has responsibility for roads and bridges. P The development authorities carry out city planning. P The pollution control board enforces emission norms. P The labour department enforces labour laws. P The tax authorities impose and collect different taxes. Coordination between various agencies is usually poor, and this affects the overall quality of public transport services. There is a lack of coordination among the state and the centre, and more importantly, between the city and state as far as public transport management is concerned.
Inadequate availability
Public transport systems have not been able to keep pace with the rapid and substantial increases in demand over the past few decades. Bus services in particular have deteriorated and their relative output has been further reduced as passengers have turned to personalized modes and intermediate public transport (such as threewheelers and taxis), adding to traffic congestion, which has had its impact on bus operations. In many cities, bus services as public transport modes are virtually nonexistent. For example, Surat, a significant industrial town of Gujarat, till recently did not have a proper bus system; and autorickshaws met the citys public transport needs. Only recently was a city bus service started by the SMC (Surat Municipal Corporation); the buses were procured, owned, and operated by a private company. According to the SMC, the current fleet is still far short of the 4000 buses that are required.13
13
Comprehensive Mobility Plan for Surat
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The share of public transport has dwindled in most cities due to the rapid increase in personal motorization. Fleet sizes in nearly all public undertakings have declined rather than grown to meet the demand. Detailed surveys and studies carried out by RITES Ltd in a number of Indian cities in 1994, which were later updated by WSA (Wilbur Smith Associates) in the same cities in 2007, indicate that the share of public transport trips in different categories of cities (by size) has fallen dramatically (MoUD and WSA 2008). The major reasons for the decline in the share of public transport are the inability of public transport operators to keep pace with the increasing demand and the deteriorating quality of service arising out of continued losses and, thus, inadequate capital generation for capacity augmentation. Such a situation has arisen because of continuing inefficiency in operations and uneconomical operations to meet the universal service obligation. Even where routes are available, scheduling for most services is not based on any demand analysis. Kharola and Tiwari (2008) observe that Some of the cities follow scheduling based on morning and evening peak requirements, however, improvements in reliability, speed, availability, cost reduction, that can be brought out by improved scheduling, feeder systems, changes in road designs, bus stop location and signal system have not been explored. At present, there is no standardized norm established to assess the availability of public transport services in a city in terms of modes or routes or shares. However, the MoUD is now attempting to develop such norms for cities. Also, under the JNNURM programme, cities are now eligible to request for grants in order to purchase buses. This financing under the JNNURM is meant exclusively for city bus services and the BRTS for all cities covered under the JNNURM. In order to ensure that the buses procured under the JNNURM are utilized exclusively for urban transport, the states/ union territories/ULBs/parastatals will have to set up a city-specific wholly owned SPV/ umbrella public body for controlling and managing the city bus services/BRTS.14 In addition, this funding is conditional upon an MoA (memorandum of agreement) between the states and city governments and they together undertaking structural reforms in the field of urban transport, for all million-plus cities. However, what is important to note here that it is the small and medium-sized cities (most are nonJNNURM cities) that are rapidly adopting a path of high personal motorization. Lacking the necessary basic public transport facilities, these cities would also need attention, aid, and institutional and organizational reforms to make their public transport sustainable.
14
http://urbanindia.nic.in/moud/programme/ut/buses_funding.pdf
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Poor accessibility
Even where buses and routes are available, access to them within comfortable walking distance and by all user groups is a challenge in most cities. This is especially true for the urban poor, who usually live on citys periphery and have to walk long distances and wait long hours to catch buses. In all the cities visited during this study, it emerged from discussions that there was no emphasis on ensuring comfortable access to every resident in the city. The conventional bus designs are inconvenient and unfriendly to the disabled. Only recently have cities like Bangalore and Delhi invested in low-floored modern bus fleets.
Poor quality and image

Public transport today suffers from a poor imageslow, overcrowded, dirty and unsafe. Basic issues like proper information system, and clean and safe passenger waiting and travelling environments affect a persons choice to use public transport. These issues have not been addressed under most schemes to improve urban transport in cities, and it is largely because of these issues that the choice riders do not wish to use public transport, and captive riders aspire to have their own modes of travel.
Data challenges
There is a serious gap in the existing data sets and data collection methods as far as urban transportation in general is concerned in the country. The requisite tools and knowledge on what kind of data to collect, how to collect it, when to collect it, with what frequency to collect it, and finally, how to use it, is lacking in most cities. The data sets from the past are inconsistent and in many cases, incomplete.
Operational challenges Financial viability

Financial losses have continued to rise because of continuing inefficiency in operations and uneconomical operations to meet the universal service obligation. This has also resulted in a continuous drain on scarce budgetary resources, and the problem has been compounded by the growing inability of the government to provide grants. Funding of bus transport in India by internal resources, market borrowings, and equity capital provided by the union and state governments is proving to be inadequate. A major component of the costs is the various taxes and levies imposed by the union, state and local governments on bus operations run by a private or public sector organization. These include taxes related to capital acquisition, operations, transport revenue and other levies like advertisement tax. The effects of these are absorbed in the fares and then have to be borne by the travellers (Kharola and Tiwari 2008).
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Internal inefficiencies
Overstaffing, pilferage, unscientific route planning, poor management practices, outdated maintenance practices, ineffective monitoring mechanisms, low motivation levels among crew, lack of discipline, and so on, have resulted in reduced internal efficiencies in both public and private sector bus operations.
Increasing bus fleets

Increasing the bus fleets appears to be one of the first and foremost solutions to improve public transport services. However, the economics of this measure needs to be carefully evaluated by the cities. There are various aspects like fare structures, provision of subsidy, and labour laws that have resulted in the current capacities of public transport on road in our cities. For example, salaries account for almost 50%15 of the operating costs in government-owned bus companiesthe salary of a government bus driver is almost three times that of a regular private driver. Now, if governments acquire new buses, an increase in fleet size with no increase in fares would imply a reduction in present load factors, which implies a decrease in revenue per bus. However, since bus operating costs remain the same, this implies a net loss to the operator. Also, if operators operate at low levels of efficiency, their profitability is low and it becomes difficult for them to raise finances for fleet renewal or good quality maintenance. This results in an overall decrease in the level of service offered to the customer, much below the fleets potential. Such issues need to be addressed while going in for fleet expansion and, therefore, the role of the private sector in acquiring and operating buses should be explored.
Improper planning for routes and fares

Currently, the methods for setting fares and routes are ad hoc and not based on any scientific basis. Poorly designed routes and fare structures usually lead to loss in ridership and increase in operation costs.
Lack of priority
Public transport has not been given the priority and attention it deserves. Despite buses being more space efficient, their movement is usually slowed down by personal vehicles. Many cities like Delhi, Pune, Jaipur, and Ahmedabad have either implemented or are soon going to implement the concept of dedicated bus corridors in form of BRT (bus rapid transit). However, the experience has been a mixed one as the supporting operational and management measures have not been adequate. Though the concept is well intentioned, there is still much to be done
15
Based on interviews with experts
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at the execution and coordination levels. Most of all, it is the citizens who need to be made more aware of the benefits of such practices and be involved from the beginning as important stakeholdersultimately it is they who are going to be the users of the system.
Absence of performance measurement

Currently, the performance of public transport operations is measured in terms of some internal efficiency parameters (cost per km, fuel consumed per km, bus staff ratio, and so on) by the state transport undertakings, which are reported by the ASRTU (Association of State Road Transport Undertakings). However, there is no system that assesses the overall performance of public transport in a city on basic parameters like availability, accessibility, and quality of services. Literature reveals that countries that have successful public transportation systems have established performance monitoring mechanisms that not only evaluate public transport services in a city, but also across cities. There is no such concept in India today. Given the multiplicity of organizations involved and lack of proper coordination between them, the complexities associated with the public transport sector, lack of funds and resources, limited human and technical capacities, and inadequate data availability, it appears a tall order to establish such a system. However, from the viewpoint of ensuring sustainability, it is absolutely essential that such a tool be considered. The MoUD has recently attempted a list of indicators to measure the level of service of urban transport in Indian cities. These indicators feature under the following broad heads. P Public transport P Non-motorized transport P Pedestrian facilities P Intelligent transport systems P Environment P Road congestion P Safety P Parking The MoUD is currently in the process of finalizing these indicators in consultation with academia and research institutes, including TERI, and it is expected that once finalized, the MoUD will ask the JNNURM cities to establish baselines on these and work towards improving performance on each based on a set of norms. This will be a good starting point for cities to assess their current status and also allow for inter-city comparisons.
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Lack of focus on customers

Public transportation in India has not been adequately customer orientedmany bus routes not available, long waiting time, bus stops located far away, crowding and lack of comfortable seating in buses, difficulty for the elderly and physically challenged to board and alight from buses, overcharging by autorickshaws, harassment by bus crew, eve-teasing in buses, bus-breakdowns, and lack of differentiated services are all a reflection of this and are common to every Indian city. As examples, Surat, Bangalore, and Hyderabad reveal a high level of dissatisfaction amongst the users, especially women and the elderly, while using public transport services. They feel there is a high risk of getting robbed or harassed. This discourages them from using public transport. The customer charters created by the government service providers are ineffective and rarely translated on the ground. A positive action in this regard was identified in Shillong, where Maruti 800 cars serve as the public transport system. The taxi association jointly with the traffic police is in the process of issuing identity cards to the taxi drivers. This initiative was taken as a response to strong community concerns raised with regard to the safety of women travelling in taxis, especially during late hours. Any passenger will now be able to request for driver details at any point in their trip, thereby ensuring his/her safety.
Absence of demand management measures

Other than introduction of higher parking fee in certain areas in large cities, demand management measures to discourage usage of personal vehicles are virtually nonexistent in Indian cities. E-governance initiatives in cities like Bangalore and Surat are a step towards demand management, as they result in a reduction of trips made by an individual. Also, Shillong has introduced staggered working hours for schoolchildren, which eases traffic woes in the city. However, there is not enough emphasis and policy focus on these measures as these in most cases; these would have to be preceded by a good and attractive public transport system to compete with the convenience and comfort the personal vehicle.
Capacity and human resource issues

Being a relatively new area of concern, the requisite expertise for comprehensive, integrated, and holistic urban transport planning is lacking in the country. Solutions to urban transport problems have tended to emerge as piecemeal solutions, merely seeking to create additional capacity on selected corridors, without an understanding of how this additional capacity would impact travel demand in the long run and the implications it would have on various other aspects of urban transport. Today, cities do not have the requisite professional knowledge and competence backed by the required qualifications, to address the challenges of present-day urban transport planning and management.
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TERI in 2006 carried out training needs assessment on urban transport planning and operations for personnel working in all departments related to urban transport planning and provision at the state and city levels. Training needs at various levels of the department were assessed and an action plan for training was drawn up (TERI 2007). The following are some of the areas that emerged from the needs assessment exercise.
General urban transport

P Understanding of what urban transport is, its constitution, and issues P Understanding what is sustainable transport from the viewpoint of environment, energy, safety, and equity P Understanding what is traffic management and its components P Importance of public transport and non-motorized transport systems P Understanding what is TDM (travel demand management) P Role of the private sector P Resource mobilization and transport investments P Understanding of roles of other departments and interdepartmental coordination P Concept of a UMTA (unified metropolitan transport authority)
Integrated land-use and transport planning

P Understanding land-use planning as a component of transport planning P Importance of transport planning as a part of Master Plan preparation P Understanding of parameters of urban form (like density, land use mix, city shape, street patterns, and orientations) and its effect on travel demand and trip length P Consideration of geographic and socio-economic constraints while planning for transportation in urban areas
Planning, developing and operationalizing public transport

P P P P Importance of public transport and non-motorized transport systems Various public transport modestheir merits and demerits Estimating demand and planning for public transport Understanding different components of a public transport systemroutes, modes, accessibility, infrastructure, service quality, performance measurement, customer convenience, pricing, and so on Concept of multimodal transportintegrating different modes of urban transport Choice of technologies and financing options Service planningbus scheduling, driver timetables, and so on Route scheduling and rationalization Tariff setting and rationalization, provision of subsidies, and so on Restructuring options
P P P P P P
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Transport operations and regulation

P Knowledge of provisions of the Motor Vehicles Act, Road Transportation Corporations Act, and the other relevant acts, rules and standards P Motor vehicle safety and emission regulations P Vehicle inspection and maintenance, licensing, registration, and test procedures P Safety in transport operations P Training for bus staff
Traffic management
P Understanding what is traffic management and its components P Ensure proper functioning and maintenance of traffic management devicestraffic lights, signals, markings, sign boards, dedicated bus lanes, and so on P Tools for carrying out effective enforcement of rules P Managing information systemsrecord keeping and creation of databases for traffic related information P Road safety educationaccident investigation and data collection P Knowledge of first aid, splinting, safe extrication of patients, and safe transfer of victims in case of accidents
Provision and maintenance of roads and infrastructure

P Design and maintenance of road works for proper traffic management P Understanding components of road safety and ensuring safety standards in designs of roads, intersections, crossings, and junctions P Concept of conducting road safety audits P Financing for road and related infrastructure projects
Environment and energy-related issues

P Assessment of environmental qualitymonitoring air quality and urban air pollution, fuel quality P Health impacts of pollution P Understanding of transportation and climate change link P Transportation of hazardous /bio-medical wastes P Fuel and vehicle technology issues It is worth noting here that it may not be necessary for departments to have expertise in all the above areas. They could outsource some or most of these activities to the private sector or research institutions. However, unless a city has a policy framework or vision for sustainable transport, it will be difficult to build capacity and guide developments in the area.
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Another area that has been neglected has been human resource development, especially for bus drivers, conductors and other staff of bus companies. Usually, the behaviour of the bus crew is rude and unhelpful, which leads to harassment of customers and eventually, loss of ridership. It is lack of training on aspects like stress management, sensitization to customer needs, and lack of proper employee grievance redressal mechanisms that lead to such circumstances. Also, the capacities of the operators in terms of modern business practices and professional attitudes leave much to be desired.
Challenges for the small and medium-sized cities

The larger cities of the country have adopted a path of unsustainable growth in the number of personal vehicles, coupled with lack of proper public transport planning. Smaller towns are fast following suit, which is another cause for alarm. Increase in personal motorization has led to high pollution levels, severe traffic congestion, on-street parking of personal vehicles due to lack of adequate parking places, and very bad pedestrian environment in these cities. Moreover, given that average travel distances are much smaller in these cities, as compared to the metropolitan cities, these are ideal for public transport usage. However, given the inadequacies in the existing public transport systems in terms of proper planning and operations, the use of public transport in these cities is fast declining. The image of public transport is extremely poor in most Indian cities. Most cities do not have formal public transport modes, and a significant part of their transport demand is met by IPT (intermediate public transport) and other informal modes such as autorickshaws, taxis, vans, and a variety of locally designed and manufactured, and often unlicensed vehicles, which carry passengers on a shared basis. Since these modes are not formally organized, there is no legislative or regulatory oversight on their operations. Consequently, these modes do not meet any benchmarks of safety, environmental, equity and quality of service. Unlike the larger cities, where urban transportation problems have become unmanageable and cannot be neglected any more, transportation issues are still not given much importance in the small and medium towns, as these towns usually lack the capacity and means to address the challenges. Under the JNNURM, only a few cities have identified urban transportation improvement projects; however, it was observed in these cities in Surat and Shillong, for example that a larger share of these projects were cost intensive and aimed to increase road space, rather than focusing on enhancement of public transportation and restraining personal vehicle use in the city. This also encourages people to use private vehicles. Consequently, the share of public transport is declining rapidly in the smaller and medium-sized cities of India.
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Recommendations for transport

A citys transport system has an impact on its sustainability, and one of the key pillars of a sustainable transport system is a sound and efficient public transport system. Therefore, a sound and efficient public transport system becomes an important indicator for a city to be sustainable. The recommendations for urban transport in this report focus primarily on ways and means to make public transport in Indian cities more sustainable. These recommendations focus on aspects like policy, institutional and organizational frameworks, and setting goals and specific actions to achieve those goals. The recommendations are primarily intended for use by state and city authorities in Indian cities having direct and indirect responsibility for the planning and management of urban bus services, passenger transport services, and transport service operators. These recommendations are largely an outcome of lessons drawn from national and international good practices and the discussions held with experts and practitioners having experience in the subject.
Policy, organizational, and operational reforms

Public transport subsystems are part of a larger system. This larger system impacts the public transport subsystem in a number of ways. Any attempt to reform the public transport subsystem should not be oblivious to the existence of this larger system. This larger system can also be construed as the external environment of the public transport subsystem. The overall policy, the laws, the regulations, and the quality of infrastructure all put together constitute the larger system within which the public transport subsystem operates. Making the public transport subsystem more sustainable would require changes in the external environment, institutional changes, as also changes in the internal working of the public transport subsystem.
Policy: towards a coherent state transport policy

At a policy level, there exists the NUTP, which brings forth clearly the importance of increasing public transport shares in cities, but there needs to be a sharper focus on translating the NUTP objectives at the state level. The states should formulate a state urban transport policy, which should be a further detailing of the NUTP. State urban transport policies should have the following key points. P Increasing the share of public transport in cities by a given percentage by a target year (say, increase the share of public transport trips in a city to 85% by 2030) P Constantly improving the availability, efficiency, and quality of public transport P Putting in place supporting travel demand management measures like personal vehicle restraint measures P Integrating land use and transport planning P Providing priority to public transport through fiscal measures
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P Giving priority to public transport through allocation of adequate road space P Improving traffic and traffic management P Regularly monitoring public transport performance and publishing results of the same P Achieving intermodal integration wherever necessary and possible P Using suitable technologies that facilitate improved public transport service delivery P Progressively reducing the burden on environment and energy use from transport P Developing data systems and human capacity to tackle the various aspects related to urban transport P Highlighting public transport as a key aspect of city development and image P Identifying the requisite fiscal policies and markets for improving urban transportation services It should be borne in mind that formulating a policy is not an end in itself. It needs to be translated into action. This would involve carrying out changes in the law, changes in land-use planning, changes in the road space utilization policy, changes in the institutional frame works, and so on. Cities should detail out actions based on the above policy guidelines and ensure that these are part of their transportation plans and states should sanction funding to cities on the condition that the plans help in achieving the policy objectives.
Streamlining the institutional framework for public transport

Role of the states At present, there is a virtual absence of a state-level apex body on public transport that could formulate policy, prepare plans, provide expert assistance to the city authorities, and monitor and evaluate the performance of the state public transport system. Therefore, there is need to set up a dedicated public transport division as a unit in the state transport departments. This division could carry out the following functions. P Promote public transport and ensure that the city development plans and city mobility plans fulfil the objectives of improving public transport services in a holistic manner and in line with the state urban transport policy discussed earlier. P Render technical assistance to the cities. P Help cities set public transport performance standards and ensure that these are made part of the permit conditionality to the extent possible. These could be used for assessing a citys performance and also enable inter-city comparisons. P Assist in gaining access to funds for public transport projects (including infrastructure works, new buses, and modern technologies) at reasonable rates. P Provide guidelines to city governments on setting fares. P Help cities in initiating and executing capacity building exercises.
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Constituting a transport cell in the ULB It seems logical and sensible for a city to take responsibility for planning and managing its urban transportation system, particularly, planning, managing and running its public transport systems. This would ensure better coordination between the various relevant departments like roads, traffic police, urban planning, and the public transport service providers. The review of literature also reveals that empowerment of the city authorities in cities like London and Bogota to manage transportation functions, played a key role in attaining success in implementing sustainability measures in urban transport. In most states in India, public transport is provided by the state governments, which are empowered by the Road Transport Corporations Act (1950) to set up state road transport corporations. Only the Bombay Provincial Municipal Corporations Act (1949) empowers city governments in states where it is applicable, that is, Maharashtra and Gujarat, to run public transport services. However, even these are regulated and governed by the Road Transport Corporations Act. In the recent past, cities like Surat and Indore have initiated public transport improvements under a setup where responsibility for managing the city bus services has been with the city authorities. Similarly, either through initiative of the state governments (as in case of Surat) or by self-initiative (as in case of Indore), other city authorities in India should also take on the responsibility of augmenting and managing their public transport systems. This can be done in collaboration with the state governments, particularly the proposed public transport division. To start with, the state governments should empower city municipal authorities to address urban transportation functions, particularly public transportation systems. Setting up of an urban transport cell in the ULB with the assistance of state governments should then be done. This unit could include transport planners, engineers, and experts in the field. With help from the public transport division in the state government, the urban development authorities, research institutions, academia, and external consultants, this cell should perform the following functions. P Preparing an integrated land use and transportation and transport infrastructure plan for the city Deciding on an optimal modal mix for the city; Assessing public transport demand; Identification of routes, nodes, and so on; Data collection. P Facilitating provision of public transport entering into contracts with private operators bringing in the necessary technological improvements
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measuring performance of public transport regularly and publishing results regulating informal/paratransit modes P Reassessing the present not-so-favourable taxation structure for urban buses together P Initiating and carrying out capacity building exercises P Coordinating between service providers and infrastructure providers In order to do this, a mechanism on the lines of a UMTA (Unified Metropolitan Transport Authority) as also recommended by the NUTP, should be set up. Such a model has already been attempted in Chennai, where it a UMTA was constituted in 1995 as an agency to coordinate between the various departments involved in transport and traffic, but the agency lacked statutory powers. The new legislation passed in 2007 provides the much needed financial and statutory teeth for the body to take up transport development works without going through interdepartmental tangles. 16 Similarly, the Bangalore Metropolitan Land Transport Authority has been constituted as a unified mass transport agency, coordinating between various stakeholders, from civic agencies to transport corporations. Andhra Pradesh also recently introduced a bill in the legislative assembly to establish a unified metropolitan transport authority. Under the UMTA setup, a committee having the required legal backing (say, through a bill passed in the state legislative assembly) could be set up to address all urban-transport-related concerns of the city. The recommendations/instructions of this committee should be honoured by all concerned departments. This committee could be chaired by the municipal commissioner of the city and have officials from relevant departments like urban development, roads, police, pollution control, transport, and finance, and transportation experts as its members, as suggested in the Andhra Pradesh Bill to provide for the establishment of a metropolitan development authority for Hyderabad. Collectively, this committee should have a deep understanding of the citys transportation needs and systems, the problems, and potential solutions. This would provide the much required forum for coordination, planning, as well as monitoring public transport in the city. The broad functions of this committee would be the following. P To oversee implementation of various traffic and transportation measures undertaken by various agencies in the city P To ensure coordination amongst various agencies and departments, consolidate, and integrate their action plans, and facilitate better information sharing between agencies P To ensure that effective public transport systems are in place for the city P To monitor key traffic- and transportation-related projects in the city P To deliberate and recommend effective transportation strategies for the city
16
http://timesofindia.indiatimes.com/Chennai/Integration_is_new_mobility_mantra_/articleshow/3410211.cms
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P To approve all traffic- and transportation-related projects/proposals from any agency for the city This committee should meet at least once a month. It is also important to note that though such a model has been recommended for million-plus cities by the NUTP, as an effective mechanism for the much needed coordination that urban transport demands, this should be encouraged in smaller cities as well. Besides having an urban transport cell at the ULB level, smaller cities should also move gradually towards such a mechanism. P Carrying out regular consultation meetings with stakeholders Consultation with stakeholders is a very important aspect that has traditionally been overlooked in our cities, for all sectors. The urban transport cell should ensure that frequent stakeholder consultations are held. Working together with various stakeholders would provide useful and substantial knowledge. It is likely that problems like current legal and organizational bottlenecks, organizational capacities, availability of adequate public transport vehicles, financial constraints, lack of political will and courage, resistance from trade unions, and so on, may emerge during discussions. It is important that these problems are recognized and factored into the improvement strategies. At times, ideal and amicable discussions may not happen due to mistrust and past misunderstandings and this may lead to unpleasant disruptions in the consultation meetings or some stakeholders may refuse to turn up or participate. In this case, the cell should continue its efforts to interact with these stakeholders, till enough trust has been established. Important stakeholders in such a consultation process would include the following. Municipality Local development authority Regional transport authority Public works department Bus operators Elected representatives of the city Citizens group representatives User groups (including slum dwellers, women, students, and physically challenges) Informal transport associations Operations personneldrivers, conductors, others Financing entities Traffic authorities and police State transport department JNNURM representatives (where applicable)
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State pollution control board Research institutes/academia More details on the consultation process have been discussed in the chapter on governance in this report.
Goals and indicators for sustainable public transport services

Setting sustainability goals and indicators to measure these goals would provide cities the necessary guiding framework to progressively improve their public transport systems. These goals and indicators could be common for all cities; and state governments, together with city authorities, should use these as the basis for performance monitoring. In the earlier sections, parameters to assess the sustainability of public transport in terms of adequacy and efficiency in cities were identified. These were P Availability P Accessibility P Transport performance related to customer convenience P Operations and management The following indicators and norms have been derived from a number of sources, which include review of literature, good practices from countries like Singapore and the United Kingdom, available urban bus toolkits, and discussions with experts. The MoUD is also currently in the process of finalizing indicators to assess public transport performance in consultation with academia and research institutes, including TERI, and it is expected that once finalized, the MoUD will ask the JNNURM cities to establish baselines on these and work towards improving performance on each based on a set of norms. This will be a good starting point for cities to assess their current status and also allow for inter-city comparisons. Though there can be a number of indicators that could be used to evaluate public transport systems in a city at various levels, the following goals and indicators suggested by TERI form a non-exhaustive list and have been recommended keeping in mind the reality of Indian cities. It is hoped that by addressing these basic indicators first, Indian cities would begin to head on the path of achieving sustainable transport systems.
Goals for improving availability of public transport

The first and foremost goal has to be related to making public transport available to the citizens. This could be measured by the following indicators. P Number of buses per 1000 people Typically this value should lie between 0.5 and 1.2 per 1000 population. Given the stark contrasts existing between Indian cities today
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in terms of public transport availability, cities having virtually no public transport systems should progressively target reaching the 0.5 target in the next 23 years. The other larger cities already having bus systems in place should move towards the higher target. It is important to note here that this indicator also depends on a number of factors like the citys modal share, capacity of buses, their utilizations, and average length of bus journeys undertaken in the city, and therefore, each city should assess its own requirement. P Percentage modal share of bus trips This is measured by dividing the number of passenger trips by bus over a given period (usually an average weekday) by the total number of passenger trips in the urban area over the same period. This information is best obtained from the results of a household survey carried out as part of an urban transport study. There is no one norm that is established for this indicator; however, countries demonstrating sustainable transportation systems have targeted a modal share of at least 70%80% for public transportation trips in their cities. Indian cities had an average of 60% as public transport trip share, which has fallen to 45% in many cities. Cities could target arresting this decline and set a target of increasing the public transport share say by 5% each year from now till 2015.
Goals for improving accessibility

Improving accessibility is a continuation to the first goal and seeks to make the public transport system physically accessible for all categories of transport users. Access would include two aspectsprovision of proper and complete road networks and public transport networks in a city ensuring sufficient coverage, and, ensuring convenient physical access to public transport services by the users. The following is one indicator to assess accessibility. P Percentage of population in an area/zone having access to public transport services within 500 metres of walking distance The higher this is, the better it would be. Anything above 80%85% for this is considered to be good accessibility.17 All cities should move towards this target by ensuring that the public transport systems serve well all areas of the city.
Goals for improving transport performance for customer convenience

Even if public transport is available and easily accessible, many would not use it at all or use it occasionally due to various factors. This particular goal should include actions that are necessary from the viewpoint of the public transport user. Indicators to measure this goal would include the following. a Reduced congestion/overcrowding in buses b Reduced incidents of eve-teasing, thefts, assaults, and so on, in buses
17
Based on discussion with public transport experts.
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c d e f g h i j k
Reduced bus accidents Reduced passenger complaints Facilities for the physically challenged on public transport vehicles and stations Well maintained and clean buses, bus stand premises, and polite crew behaviour Easy-to-understand and quick access to information regarding bus schedules, routes, delays, and so on, for public transport services Online information on movement of buses 80% of all services running at a headway of not more than 15 minutes during weekday peak periods. Reduced waiting time in peak hours, from five to seven minutes Provision of services (main and feeder) so that all households in a city are within a maximum of 30 minutes of travel time by public transport from key trip generators and attractors like schools, hospitals, employment centres, colleges, and shopping areas
Under this goal, indicators ad are qualitative, and it is difficult to set norms for these. Therefore, cities should target a progressive reduction in each of these indicators and target zero levels for each as the ultimate goal. This will involve putting in place proper enforcement measures and passenger-friendly facilities. For indicators eh cities should progressively aim at achieving a 100% target for coverage. Some of these could even be made of part of the permit conditionalities in the permits issued to operators. Indicators i-k can be measured quantitatively and cities, together with the service operators, should target achieving the prescribed targets. Indicator k in particular measures the attractiveness of public transport in terms of travel time. Cities should plan their services, scheduling, and networks so that a reasonable journey time (say 3040 minutes in larger cities and (1020 minutes in smaller cities) should be possible. This may lead to actions like creation of dedicated bus lanes, development of good services, and so on, in the city. Goals for improving operations and management This is a crucial aspect as it will help operators cut down on losses and ensure financial sustainability. Indicators to measure this goal would include the following. P Frequency and effectiveness of training and capacity building modules organized for various levels of staff P Reduced operational cost P Reduced breakdown rate P Increased fare collection efficiency P Reduced employee absenteeism P Reduced staff per vehicle P Increased fuel efficiency P Improved fleet utilization
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Many of these indicators (and more) are already being monitored by the STUs (state transport undertakings) and reported by the ASRTU. Though there are no norms or targets that exist for these, this aspect could be looked into together by urban transport cell and the operators. This aspect has been discussed in greater detail in the section detailing out actions to achieve these goals. Once with the help of data collection, baselines on selected parameters have been established, cities should gradually move towards progressive improvements. All these parameters should be monitored over time and across operators. The results on performance of each parameter should be published annually and this will give citizens an opportunity to get more involved in the process. Such a process will enable the city to assess its own status of public transport service delivery and also enable intercity comparison. Central or state governments should set norms with respect to each of the identified indicator and cities should measure public transport performance over a period of time with respect to those norms. Cities having similar characteristics should have the same norms; however, classifying cities by category and defining and setting those norms is a fairly extensive exercise that is outside the scope of this study. Ensuring some of these parameters as par t of the stage carriage permit conditionality should also be considered. Currently, the permits focus on routes and fares. However, Section 72 (2) xi of the Motor Vehicles Act, 1988, makes allowance for attaching a conditionality in the permits, which sets specified standards of comfort and cleanliness in the vehicles. These should be explored and drafting of new models of the stage carriage permits that address the goals listed above should be attempted jointly by the state and city governments and the service provider.
Developing an overall mobility and transport infrastructure plan for the city
One of the biggest challenges associated with urban transport in our cities today is the lack of proper planning and understanding of a citys mobility needs. Based on the information collected under various heads discussed earlier, the city should draw up a comprehensive mobility plan, which should reflect the goals of sustainable transportation, be public-friendly and non-motorized transport, and fit into the overall city development plan. This plan should follow from the state urban transport policy objectives listed earlier and should broadly spell out the following. P Present and projected travel demands and patterns P Existing modal split and desired modes for the future P Desired framework for overall transport development and management in the city, including intermodal integration Subsequent to this, an infrastructure development plan should be made, which should spell out the infrastructure requirements for various user categories, especially the nonmotorized mode users, pedestrians, and public transport users. The plan should
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elaborate on aspects like location of bus stops, pedestrian crossings, bicycle lanes, footpaths, bus shelters, lighting requirements at bus stops, parking spaces, intermodal changes, and basic amenities for users at terminals. This is a very critical stage, as it lays the foundation for all other actions, and infrastructure once built will be there for a long time to come. Therefore, the city authorities together with subject experts should prepare these plans and discuss them in detail with all the stakeholders to agree jointly on the decisions taken.
Specific recommendations for achieving the goals

The following are suggested as action points for Indian cities to get started with the process of improving public transport services.
Fleet augmentation with private sector participation

There is a need to augment the bus fleets in most cities in the country; however, there are issues of increased costs of operations as compared to revenue inflows for publicowned and run buses, which have been discussed in the previous section of this chapter. Another issue with fleet augmentation has been the lack of availability of funds owing to the unsatisfactory financial performance of bus services and, therefore, the precarious financial position of government agencies operating these services. The most suitable option for fleet augmentation by cities is the acquisition and operation of buses by private operators. The private sector would bring efficiency into the system and also good management practices in operations. However, it should be kept in mind that public transport services are an economic service and are for societal welfare, whereas the key interest of the private party is to make profit. Therefore, the agreement should be so drafted that objectives of both the parties are met. Private sector participation in running bus services could be achieved in the following ways. In cities where buses are operated by government agencies Where a city agency or a stateowned company has the responsibility for providing bus services, they could hire buses from a private operator and compensate the owner on the basis of the distance run. The fare box collections go to the monopoly operator and the private party is insulated from the vagaries of fares. In this case, the monopoly operator could put their own conductor on the bus. A variation of this model was adopted in the kilometre scheme of the DTC (Delhi Transport Corporation) and the BMTCs Hiring of Bus Scheme. In cities where bus services are provided by a group of private operators In most Indian cities, there is no formal public transport system, and public transport services are provided by a group of private operators having permits from the regional transport authority. Since these private operators are individual entities, there is no coordination
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between them. In order to improve the quality of public transport operations, the city authorities could act as a facilitator and bring in all these services under one umbrella, which could be the urban transport cell. This has been demonstrated in Indore, where the SPV set up by the local bodies provides certain value-added services and coordinates the operations of all private operators. While entering into any kind of partnership with the private sector, what is most critical is that the terms and conditions of the agreement be drafted carefully. The fares and routes should be determined by the city authorities and not left to the market forces or high demand areas, respectively. In addition, conditionalities on safety and security of passengers, polite behaviour of the crew, provision for the less abled on buses and at bus shelters, loading levels in buses, and so on, should also be addressed in the agreement. Effects of rising inflation on fuel prices should also be factored into the agreement, and the document should define clear and transparent processes for each of these. Routes or areas could be allocated on basis of competitive bidding. Each city, based on its existing situation, would have to evaluate these options and come up with a suitable model for itself. Again, it should be kept in mind that such an activity will require a vision and a fairly early start. This could happen during the goal setting and stakeholder consultation stage. Implementing such a concept would require extensive data collection on various available modes and their characteristics like demand, tariff structures, and networks. Aspects like revenue sharing arrangements between operators, principles of charging fares, branding and advertising, harmonizing operational practices, and setting up special purpose companies to manage the integrated facilities like ticketing, customer support, and information systems would have to be worked out.
Improving access Addressing needs of the urban poor

As planners of public transport services in cities, city governments, together with the operators, need to ensure that the services available cater to all categories of travellers, including children, the elderly, women, and the disabled. Special attention also needs to be paid to the travel needs and challenges of the urban poor. The urban poor usually live on the city outskirts and have to travel long distances for work and education. Being captive users of public transport, special attention should be given by the city authorities to ensure easy access for them to public transport. TERIs past experience of analysing the mobility needs of slum dwellers in Bangalore (TERI 2008) reveals that the travel needs of the urban poor, who constitute a chunk of the public transport users are not met by the existing public transport systems. This can be ensured by providing bus routes reaching slum locations, locating bus stops within convenient walking distances to minimize walking time, and frequent bus services to minimize waiting times. Aspects like good lighting at bus stops for safety
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of women should also be considered. Again, these issues would come up during stakeholder consultations.
Using improved bus designs

The standard bus designs prominent in our country today make boarding and alighting slow, difficult, and unsafe, especially for the disabled and the elderly. Modern lowfloor buses, having wide pneumatic doors and rear engines have now been introduced in a few Indian cities. Cities should consider going in for these buses.
Introducing differentiated services

Another key aspect from the accessibility point of view is the provision of differentiated services for all traveller categories. In order to increase the share of public transport, it is necessary to not only improve travel conditions for the captive riders who are completely dependent on public transport for their mobility needs (and are fast switching to personal modes!), but also for personal vehicle users, who will only move to public transport if it offers comfort and convenience, and reduces travel expenditure (in case of two wheelers, whose per km operating costs are comparable to the per km cost of using public transport).
Improving operations
This would involve all aspects like facilities planning, traffic management, bus scheduling, bus maintenance, revenue collection, and vehicle tracking systems. This is a multidisciplinary area, requiring the involvement of a number of agencies and players like planners, engineers, traffic police, and operators. The improvements in each city will depend on the systems and levels of coordination already in place. However, this aspect should be discussed in detail at the planning stages in the stakeholder discussions.
Better route planning

Route planning forms one of the most critical ingredients of a successful public transport improvement strategy. It influences passenger demands, passenger satisfaction, operating costs and perception of non-users. Transportation experts should decide whether a hub and spoke or grid or trunk and feeder systems is suitable for a city. Routes should be planned on a scientific basis, especially in cities having no formal bus systems, after discussions with all stakeholders.
Rational fare setting

Proper pricing is very important from the perspective of financial sustainability of the operator and his business and usability of the services by travellers, especially the lowincome users and captive riders who depend on public transport for their daily
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livelihood. It is, therefore, important that fares be set on a scientific basis, rather than an ad hoc basis. Currently, fares are prescribed by the state governments under the Motor Vehicles Act on a stage basis. Striking a balance between optimally subsidizing fares and adjusting true operator costs should be attempted. This will be an iterative process and will require several cycles of review and analysis before coming to a final conclusion. Options like smart cards and passes should be encouraged.
Use of modern technologies

Today, there are a number of technologies available to enhance public transport performance, and cities can explore the options of using these. Some of these technologies include the following. P Integrated ticketing and fare collection systemsnumerous sales outlets, ticketing machines, multiple purchasing options P Information systemstelephone lines, web pages, online journey planners, audiovisual equipment at stations, and so on P Real time GPS (global positioning system) in public transport vehicles to track vehicles, and warn about delays and breakdowns P Modern buses with low floors, pneumatic double door, and rear engine. According to the JNNURMs scheme to fund buses, for million-plus cities, at least 20% of the buses procured should be low-floor buses and for all JNNURM cities, the buses procured should conform to the Urban Bus Specifications18 issued by the MoUD, which is a good starting point for a city to improve its quality of public transport vehicles. Besides finding funding to acquire some of these technologies, cities would also need the requisite human and technical capacities to operate these technologies, and the current systems would have to be re-engineered to make them adapt to these new systems.
Intermodal integration
At present, various forms of public transport and IPT modes run without any proper coordination amongst them. This results in overlapping routes, underutilized routes, and at times leaving out certain areas. The advantage of setting up a UMTA kind of model for cities is that it can ensure such integration. Integrated services provide travellers an attractive and seamless travel experience, in which the public transport services in the city are seen as one combined network. Integration can be achieved at the following levels. P Routes and services
18
http://urbanindia.nic.in/moud/programme/ut/urbanbus_spec.pdf
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P P P P P
Network Terminals and buildings Tariffs and ticketing Information and marketing Customer support
Improving internal efficiencies, monitoring performance, and setting benchmarks

A key function of the city authorities should be the regular monitoring of public transport operations in the city. If bus operators operate at low efficiency or productivity levels (which they usually do), their profitability will be low and it will be difficult for them to raise finances for augmenting fleet or bringing in the necessary improvements, and the overall service level to the customers will be unsatisfactory. This will result in decreased patronage, and therefore, inadequate financial returns and reduced efficiencies, and the vicious circle will go on. Experts in the area suggest that to begin with, templates for tracking and measuring internal efficiency performance parameters should be developed by the urban transport cell for all operators, and it should assist the operators (especially individual operators, who lack the experience and training in this area) in to get in the habit of self-efficiency review.19 These internal efficiency parameters include the following. P Km-operated/vehicle owned P Passenger carried per staff member P Staff/vehicle owned P Revenue/vehicle owned P Revenue/passenger km or revenue/passenger trip P Cost/passenger km or cost/passenger trip P Fuel consumption/km In addition to this, having a well-defined maintenance regime for vehicles is important. Currently, there are no norms or laws that operators are bound by to adhere to maintenance schedules, and maintenance of vehicles is usually left to their discretion. This greatly affects the operational performance of vehicles. Operators should carry out maintenance practices for each vehicle on a daily basis and monitor operational performance as per the technical maintenance schedules provided by the vehicle manufacturers and ensure regularity and accountability for the same.20 TERI also suggests that cities could also monitor some external and customeroriented parameters discussed earlier under the transport performance related goals. All these parameters should be monitored over time and across operators. Such a
19 20
Based on discussions with urban transportation expert P S Kharola Based on discussions with ASRTU
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process will enable the city to assess its own status of public transport service delivery and also enable inter-city comparison. Research institutes like TERI could aid city governments in carrying out the performance monitoring exercises by either providing technical support or auditing the whole process as a third party. Once with the help of data collection, baselines on selected parameters have been established, cities should gradually move towards benchmarking and setting standards and targets, wherever possible, in consultation with stakeholders. The results on the performance of each parameter should be published annually and this will give citizens an opportunity to get more involved in the process.
Priority to public transport

Having adequate number of public transpor t vehicles and facilities is not good enough if they are stuck in traffic jams and move at speeds slower than most other vehicles on the road. Improved availability of and access to public transport needs to be accompanied by supporting measures that give priority to public transport as well. These measures include the creation of bus-only areas, ban on parking of vehicles on roads, and signal priority eventually moving to dedicated bus lanes.
Becoming customer oriented

Cities also need to ensure that public transport operators in the city adopt a customer-friendly attitude in their services. To take care of the users needs, operators can do simple things like exhibit polite behaviour towards passengers, keep buses clean, not indulge in rash driving, not cause inconvenience to passengers, and ensure security of passengers, especially females, by being more vigilant, which are both inexpensive and effective. The operational aspects that need attention in order to make public transport services more customer-oriented include the following. P Establishing a citizens consultative forum and involving citizens in the performance monitoring operations P Setting up a mechanism for redressal of commuters grievances P Putting in place effective passenger information systems, displaying maps, routes, schedules on bus stops and on the Internet, having customer information helpline facilities, and so on P Enunciating an enforceable citizens charterthis charter would describe the rights of passengers and outline commitments to ensure that public transport services meet the needs of all members of the community. Such a charter should be advertised and put up in all prominent places by the city. Some of the items that the charter could include are the following. A commitment to notify customers whenever service disruptions occur as early as possible via public address systems on bus stations or via SMS, e-mail or phone
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A prominent page with key public transport contacts Commitment to regularly display posters on board vehicles and at stations on monthly performance results Commitment to respond to customer feedback within seven days of receipt A concise procedure on how customers are able to provide feedback to the transport organizations Meanwhile, citizens, too, can play an active role in the following ways. Putting pressure on local bodies to improve quality of public transport Bringing to light violations of operators and drivers Taking an active role in public transport planning and monitoring Participating in surveys and consultation meetings Demanding published results on performance of public transport
P P P P P
Details on mechanisms and instruments to carry out citizen participation exercises have been discussed in the governance section of this report.
Supporting demand management strategies

Improving the availability and quality of public transport services alone is not enough. Unless city authorities put in place measures to curb the usage of personal vehicles, and force people to move towards using public transport, the desired objectives of making transport sustainable cannot be met. The following are some of the restraint management measures that cities should explore. P Congestion charging P Prohibition of entry of personal vehicles in certain areas during peak hours; creation of bus- and walk-only zones P Increase parking fee; heavy penalty for vehicles parked on roads outside houses P Ban on road parking P Staggered working hours P Use of e-governance, distance working, and learning
8. Identifying financing options

States and cities would need resources to implement the various action points discussed earlier. Some sources for funding could include the following. P Levies like congestion charges, parking charges, cess on property tax levied by city for road improvement, levy of betterment tax on areas around which infrastructure is improved. P Revenues from traffic offences P Fuel tax and surcharges
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P Additional registration fee for two wheelers and four wheelers, annual renewal fee on driving licence and vehicle registration P Advertising, sponsors P Financial institutions, private sector participation, JNNURM, allocations made by state or union government for city development In addition, the state and national governments should find innovative ways to tap funding for public transport improvements in cities.
Strengthening human resource development and capacity building

Experts21 notes that the public transport industry in India is and would continue to be a labour-intensive industry, and therefore, a prerequisite to all reforms and improvements is a motivated, competent and disciplined workforce. Therefore, HRD (human resource development) in public transport services would require better personnel policies, including training, recruitment, incentives, employees grievance redressal mechanisms, and sensitization to customer needs. It would also be useful to encourage recognized qualifications such as certificate of professional competence, and this can be made a condition in the service contracts and operating permits that key personnel must be so qualified In order to operationalize each of the action points discussed earlier, capacity building at various levels would be a prerequisite. TERI in the past carried out training needs assessment for all personnel working in departments directly or indirectly impacting urban transport activities in a city and a huge need to understand issues relating to urban transport, particularly public transport, was felt. City authorities, as efficient managers, should outsource some of the specialized activities to the private sector or research/academic institutes. However, even in order to manage such a system, an effort to sensitize, educate and train officials of not only city authorities, but also other stakeholders like state transport departments, bus operators and staff, and even users, would have to be made. The following are some of the broad areas where capacity building should be carried out (which also form part of the action plan). P Planning: Increasing public transport shares, estimating demand for public transport, planning for dedicated public transport systems, modal integration, and providing access P Operations: improving efficiencies, route allocation, tariff rationalization, ticketing and revenue management, customer treatment, and models for private sector involvement P Data collection methods and computer-based data analysis methods
21
Extracted from discussions with P S Kharola
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P P P P P P
Performance monitoring and development of monitoring frameworks Modern business and management practices Financing options for public transport Use of modern technologies Tackling labour and staff issues National and international case studies and best practices: introduction of vehicle restraint measures, traffic management measures, integrated land use, and transit planning
Given above is a list of actions a city can consider taking in order to improve the availability, accessibility, viability and quality of public transport services. As mentioned earlier, each city would have to take stock of its existing situation and select and prioritize actions accordingly.
Preserving the share of public transport trips in the small and medium towns
From the viewpoint of ensuring sustainable development of urban areas, it is very important that the small and medium sized towns in the country do not follow the same path and repeat the same mistakes, as made by the larger metropolises. It is important that the share of public transport be preserved and maintained in these cities. For this, the small and medium towns could take the following actions. P Establish an urban transport cell in the municipality and move gradually towards a UMTA type mechanism for ensuring coordination. P All the individual operators should register with the urban transport cell. P Travel needs and patterns of these cities need to be established using secondary or primary sources. P Since many of these cities do not have formal public transport systems but privately operated modes like mini buses, shared taxi, autorickshaws, and vans, the transport performance parameters described for buses earlier could be used for analysing the performance of these modes as well. Eventually, a separate category of performance indicators should be worked out for this category of modes. P Where autorickshaw and taxi services run on a shared basis, a separate category of permits could be created for them by the state government, which could be the equivalent of the stage carriage permits for public buses. These would lay down routes, fares, and so on for these IPT modes and make them a part of the formal public transport delivery system. P In cases where autorickshaw and taxi services are not used on a shared basis but used personally, aspects like fare structures, ease of hailing these vehicles, safety, and the drivers behaviour towards passengers could be taken as the evaluation parameters. Permits for these modes could be modified to factor in all these concerns. P Where IPT modes compete with buses, authorities should find ways to integrate
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existing IPT modes like rickshaws, jeeps, mini buses, and so on, with the buses and possibly use them as feeders to buses. This can be done once sufficient number of buses to serve the main routes has been provided. P Citizens groups should be formed to put pressure on authorities for providing adequate public transport services. P Putting in place vehicle usage restraint measures to discourage people from using and shifting personal modes, and at the same time, enhancing the quality and image of public transport should be done on a priority basis in order to prevent people from being forced to shift to personal two-wheelers and cars due to inadequate public transport services.
Data requirement
It is worth noting that urban transport in general and public transport in particular in India is challenged by the lack of availability of actual data, especially data on user travel patterns, preferences and user perception of public transport. Therefore, implementing solutions and operationalizing these parameters would require a fair amount of primary and secondary data collection, including customer satisfaction surveys, which would provide valuable information on the needs of travellers and shortcomings in the existing system, thereby giving meaningful inputs to policy-makers, planners, operators, and service providers. Detailed information regarding various aspects would be needed. These include the following. P The city Demographic profile Socio-economic profile Key trip generators and attractors Any existing vision/policy P Transport users Travel needs, preferences, patterns, trip lengths, modal splits, and so on P Institutional and organizational aspects Listing of the relevant laws Listing of all organizations directly or indirectly involved Regulations/guidelines governing issuance of permits for operating public transport vehicles (including privately operated public transport modes) and to what extent the address the identified sustainability concerns Process of issuance of permits The bye-laws/regulations controlling movement of vehicles in the city Stipulations of labour legislations affecting transportation industry P Transport infrastructure
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Public transport facilities like bus stops and parking bays for auto rickshaws Facilities for pedestrians and cyclists Roads and their carrying capacities Modal interchange points P Existing modes Number and type of vehicles, capacity, ridership, average speeds, age of fleet, and so on Internal efficiency parameters like earnings per km, cost per km, profitability, km travelled per vehicle per day, actual km travelled versus the scheduled km, and so on Commuters perception on adequacy, reliability, accessibility, image, affordability, punctuality, safety, security, crew behaviour, comfort and cleanliness aspects, amount spent monthly on travel by each individual as a percentage of his/her income The urban transport cell should collect the above-mentioned data for the city in order to establish a baseline and, together with the help of the relevant experts, use this information in planning the required improvement strategies. While some of the information may already exist from sources like the census, state transport undertakings, planning authorities, and road departments, some will have to be collected secondary sources or conducting surveys (household, on-board, parking lot, bus stop surveys) and key person interviews.
Conclusion
The ideas and suggestions regarding urban transport sustainability raised in this report are not new. Some of these have been brought up at several fora by a number of experts, and to some extent, states/cities have tried to implement some of them. Efforts have been made (for example, in BMTC) to address some of these concerns, with some encouraging results. However, given the complexities associated with various aspects of public transport in our country today, be it labour issues, operations management, financial viability or the legal framework governing public transport services in cities, many concerns still remain unresolved. This speaks of the huge amount of work that still remains to be done in the area of public transport service improvements in Indian cities. Due to limitation of time and resources, it was impossible to go deep into each of complex issues as each would require extensive research and data, which would again vary from city to city. What this report does is suggest a new paradigm of handling public transport in Indian cities, and short- and long-term action points for cities and state governments to consider.
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For a city to start working on these action points, it would have to collect information that forms the basis of each action and focus closely on the sequencing of actions so that the enabling actions (for example, necessary changes in legal and organizational frameworks) are guaranteed before the other actions needing them are implemented. Maintaining a consultative process, involving all stakeholders and cultivating trust and confidence in them, especially the public, regarding the objectives of such an exercise, would be one of the most important steps. Finally, the role that a city authority or urban local body needs to play in order to ensure sustainable transportation in the city cannot be emphasized enough. European and a few Latin American cities have demonstrated world class transportation systems, owing to the initiatives taken by city officials like mayors, who had the requisite will power and legal authority to bring about a radical change in the system. Bogota and London stand out as examples of sustainable cities merely because of the interventions made by the city authorities in revamping the public transportation systems in these cities. Unless our governments also start thinking on these lines and give public transport and non-motorized transport the attention and resources it deserves, it will be difficult to make our urban areas sustainable. City authorities should be given the requisite powers and training to become sound managers of public transport services.
References
ARTA (Auckland Regional Transport Authority). 2007 Sustainable Transport Plan 200616 New Zealand: ARTA CIRT (Central Institute of Road Transport). 2005 State Transport Undertakings; profile and performance 2003/04 Pune: CIRT ECMT (European Conference of Ministers of Transportation). 2004 Assessment and decision-making for sustainable transport Details available at <www.oecd.org>, last accessed on 12 March 2009 Friberg L. 2000 Innovative solutions for public transport; Curitiba, Brazil In Sustainable Development International, 4th edn Brighton: ICG Publishing, pp.153156 Hidalgo D. 2005 Integrated Policies for Sustainable Transportation: the Bogot experience Washington D C: World Bank [Paper presented at the Workshop on Sustainable Transport and Air Quality] Kharola P S and Tiwari G. 2008 Urban public transport systems: are the taxation policies congenial for their survival and growth? Economic & Political Weekly XLIII (41)
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Litman and Burwell. 2006 Issues in sustainable transportation International Journal of Global Environmental Issues, 6 (4): 331347 [www.vtpi.org/sus_iss.pdf] MOST (Moving on Sustainable Transportation). 1999 Moving on Sustainable Transportation Canada: Transport Canada [www.tc.gc.ca/envaffairs/most] MoUD (Ministry of Urban Development). 2006 National Urban Transport Policy New Delhi: MoUD, Government of India MoUD (Ministry of Urban Development). 2007 Working Group on Urban Transport, including Mass Rapid Transport System for Eleventh Five Year Plan (200712) New Delhi: MoUD MoUD (Ministry of Urban Development).2008 Handbook for Standardized Ser vice Delivery Benchmarks in context of Perfor mance Management of Urban Services New Delhi: MoUD MoUD (Ministry of Urban Development) and WSA (Wilbur Smith Associates). 2008 Study on Traffic and Transportation Policies and Strategies in Urban Areas in India: final report, May 2008 New Delhi: MoUD and WSA Pvt. Ltd OECD (Organization for Economic Cooperation and Development) and BLFUW (Federal Ministry for Agriculture, Forestry, Environment and Water Management). 1998 Futures, Strategies, and Best Practices Details available at <http://www.oecd.org/dataoecd/15/29/2388785.pdf>, last accessed on 28 February 2009 Synthesis Report prepared for the OECD International Conference held in Vienna, Austria, October 2000 Padam S. 1990 Bus Transport in India: the structure, management and performance of Road Transport Corporation Delhi: Ajanta Publications Runyan C. 2003 Bogot designs transportation for people, not cars WRI Features 1 (1) TERI (The Energy and Resources Institute). 2002 Restructuring Options for Urban Public Transport in India New Delhi: TERI [Report prepared for the Department of Transport, Land, and the Regions, UK]
Transport TERI (The Energy and Resources Institute). 2007 Training needs assessment and operational plan for training in the area of urban transport planning New Delhi: TERI TERI (The Energy and Resources Institute). 2008 Mobility for development a case study of Bangalore New Delhi: TERI WBCSD (World Business Council for Sustainable Development). 2001 Mobility 2001 world mobility at the end of the twentieth century and its sustainability report Switzerland: WBCSD
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Bibliography
Nottingham City Council and Nottingham County Council. 2006 Local Transport Plan for Greater Nottingham 2006/7 to 2010/11; Greater Nottingham Bus Strategy Details available at <http://www.nottinghamcity.gov.uk/cdt_greater_nottingham_bus_stratgey.pdf>, last accessed on 7 November 2008
CHAPTER
Power
Literature review
Electricity is an essential component of energy for ensuring the economic development of a country. It is a critical infrastructure on which the socio-economic development of any society depends. It is an essential requirement for all facets of our life and has been recognized as a basic human need, as it affects our day-to-day life. Electricity consumption is considered an index of development. Thus, the development of the power sector in a sustainable way is critical for the socio-economic development of the city.
Defining sustainability in the power sector

The definition of sustainability in the power sector varies from nation to nation depending on the challenges faced by them and the way they may be intending to handle the problem. For example, in Santa Monica, a city considered a pioneer in the sustainability of power, the City Task Force defined sustainability as ensuring that the city continues to meet its needs environmental, economic, and social without compromising the ability of future generation to do the same.1 Similarly, Japan defines a sustainable society as a low-carbon society, a sound material-cycle society and a society in harmony with nature.2 While the focus in Japan is on increasing the green energy mix in the total power portfolio of the city, Santa Monica in addition to this, focuses on the complete cycle of energy generation and use in a manner such that resource depletion does not occur. However, it is important to note that the power situation in India is different from that in the developed nations. While the above objective holds good for Indian cities as well, we also have a highly challenging requirement of ensuring access to electricity to all by 2012 (as envisaged in National Electricity Policy) by laying emphasis on the enhancement of the generation capacity (centralized, captive, and distributed) and
1 2
http://www.smgov.net/ http://www.env.go.jp/en/focus/070606.html
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extension/ improvement in distribution system, and reduction in losses, other nations focus more on the generation of green power and to encourage energy efficiency, as supply is able to meet the demand of electricity. Thus, in order to understand challenges, issues, and means to ensure sustainability in the power sector in India, a detailed literature review was carried out. The following section covers the best national and international practices in the sector.
International review Santa Monica, US

Focus: improvement in energy efficiency and generation from renewable sources Location: Los Angeles County, California, USA Government responsible: Santa Monica City Council The Santa Monica Sustainable City Program was an initiative taken up by the Santa Monica City Council in 1994 after it realized the ill effects of increased population growth, high level of consumption, and impact of growing economic needs on the natural environment, community, and quality of life of the citys people. The programme was based on the recommendations of 1992 City Task Force, set up to ensure that the city continued to meet its needs environmental, economic, and social without compromising the ability of future generation to do the same. The following specific aspects of the resource conservation goals (of all the goal areas laid down by the city council, resource area is the nearest to power distribution), deal with the power sector. P Energy use P Renewable energy P GHG (greenhouse gas) emission P Ecological footprints The programme interventions particularly related to these aspects are discussed below. Energy use3 Aim To reduce the consumption Process The energy use indicator was used to track historical energy use, as a benchmark for both energy conservation, and for improving the energy-efficiency measures, use of renewable energy, and GHG emissions.4
3 4
http://www.smgov.net/epd/scpr/ResourceConservation/RC3_EnergyUse.htm http://www.smgov.net/epd/scpr/ResourceConservation/RC3_EnergyUse.htm
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Energy use data was compiled for each year (by sector, like residential, commercial, and so on) and was compared across the year, across the city, and also against set local yearly target and national set targets to judge the performance. Steps were then taken to find the cause of the trend. Then, corrective measures were taken to address the problems that had cropped up. Impact The exercise helped the city government to reduce its per capita energy use over the years Renewable energy5 Aim To increase the use of renewable and clean energy sources, thereby reducing the citys total amount of GHG emissions and consumption of fossil fuels. Process The share of renewable energy in the energy mix of the city was monitored. The power distribution utility was mandated to increase the share of green mix in their overall power portfolio. Studies were carried out on the scope of using renewable energy. One such study concluded that the city had the potential to become a net exporter of clean energy in 1520 years if it fully utilized the available renewable energy source.6 Impact The contribution of the green energy in the total power mix of the city increased substantially. The city also witnessed an increase in the generation of electricity using solar power. Ecological footprints7 Aim Effort to reduce the individuals ecological footprint. Process Though the city did not lay emphasis on ecological footprint reduction (as was indicated by the fact that the city did not have any target set with respect to the footprint), the reduction in the footprint was desirable from the point of view of the city and so the ecological footprint was calculated. Impact The ecological footprint data shows a decreasing trend over the decade due to the following. P Reductions in the use of natural gas and diesel P Increased recycling rates P The citys procurement of geothermal energy
5 6 7
http://www.smgov.net/epd/scpr/ResourceConservation/RC4_RenewableEnergy.htm http://www.smgov.net/citycouncil/agendas/2006/20060314/s2006031408-B.htm http://www.smgov.net/epd/scpr/ResourceConservation/RC6_EcologicalFootprint.htm
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To get a better knowledge of the process involved in the planning, transmission and demand estimation of power in the city of Santa Monica; interaction was carried out with the city council authorities. The interaction and the study of the suggested links gave a wider view of the above-mentioned aspects of power. The understanding developed by the interaction has been summarized in the following section.
Power planning and demand estimation

Electricity planning is primarily accomplished by investor-owned utilities under regulatory guidance/ approval of the Public Utilities Commission, a state (California) agency. Transmission planning, on the other hand, is done under the regulatory guidance/ approval of the FERC (Federal Energy Regulatory Commission), since most electricity transmission is interstate and is coordinated regionally by various councils (for example, Western Systems Coordinating Council, now the Western Electricity Coordinating Council). Utilities conduct load research studies to forecast their load growth and periodically undertake rate cases analysis (that is, assessment of the cost per unit of power to be charged from the consumers) where they justify the future expenses of their utility based on these forecasts and the best ways to meet these forecast loads. They often conduct their own end-use research studies as part of this planning process. Municipal utilities, on the other hand, are usually beholden to their respective citys utility boards, and prepare plans for generation of additional power or power purchases based on predictions of growth or changes in demand. This additional power generation or power purchase is done in a way so that maximum power generation/ purchase comes from greener sources. The city council takes consideration of the source of power before purchasing it because of its commitment to maximize the share of power from the greener source in the total power portfolio of the company. Various other programmes have been initiated to promote the use of green power. One such programme is Solar Santa Monica, an initiative that is in accordance with existing state initiatives for promoting solar energy use in the city. These initiatives are also supported by rebates given by the utilities on purchase of energy-efficient appliances and products. The city of Santa Monica has also explored the possibility of alternative power arrangements for the residents of the city. Some of these arrangements are CCA (customer choice aggregation), PPA (power purchase agreements), and municipalization. But these alternative power arrangements have not found sympathy with consumers as cost-effective options for power purchase. For example, in the CCA, the city council purchases power from the SSE (Southern California Edison) and then channellizes this power to the consumers who have contracted the city council. The arrangement was developed to save the consumer from a possible steep price hike in power cost.
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The energy use indicators, as discussed earlier, track the historical energy use in the city. The city staff track the bills of approximately 500 electric meters and 40 natural gas meters, and estimates the rest of the citys use with the help of an annual solicitation of bill and related data from SCE (Southern California Edison). The SCE is an investor-owned utility in electricity production. The service territory of the SCE includes Santa Monica, besides other cities. The SCE, with the city public works department, looks after the street lighting in the city of Santa Monica. (The city public works department is part of the city utility board). Initially, the city lighting was looked after by the SCE, and the city council was paying for the power consumed in street lighting on per lamp basis. But the city is systematically replacing Edison-owned street lighting with metered circuits so as to pay for the actual use of electricity. Another important aspect of power distribution is through underground power lines. This activity is jointly worked on in a long-term planned retrofit of priority areas between the city (public works) and the SCE.
Energy efficiency
A number of agencies at all levels, that is, the federal government level, state government level and the city authority level, promote efficiency in power use. The efficiency increment is considered to be a better method to meet the peak power demand than the generation of more power. Federal government level The federal government has developed an Energy Star rating programme that identifies efficient appliances for all retail points of purchase. Both the US DoE (Department of Energy) and the US EPA (Environmental Protection Agency) are trying to increase the efficiency by promoting the use of energy-efficient appliances. State government level The states California Energy Commission reports on statewide efficiency and develops state-specific standards that exceed the national standards. The state has introduced these standards with legislative act. These code and standards, better known as Title-24, are periodically updated. City authority level Utilities forecast power use for the city. They make this forecast only after taking in account the power that may be saved due to the energy conservation and efficiency efforts that city has undertaken. Recently, utilities have been directed by the Public Utilities Commission to lay more emphasis on energy-efficiency efforts and inclusion of maximum power from renewable sources, while considering various alternatives to meet the peak power demands. This approach of focusing on efficiency increment programmes (like programmes for the replacement of energy-inefficient
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filament light bulbs with energy-efficient CFL bulbs) than on procurement of more power to meet the peak demand is a new initiative for the city of Santa Monica.
Tokyo, Japan
Focus: reduction in carbon emissions through renewable-based generation Location: Tokyo, Japan Government responsible: city authority Japan has taken up the task of becoming a leading environmentally conscious nation in the 21st century. Being a signatory to the Kyoto Protocol, the country is proactively taking steps to reduce the countrys overall GHG emissions and transform into a sustainable society. In line with the government plans at the state level, the local authorities have taken up the task of improving the environment by helping the stakeholders concerned to decrease the GHG emissions and by encouraging them to focus more on the 3Rs (reduce, reuse, and recycle). For example, the TMG (Tokyo Metropolitan Government) has taken up a programme named TRES (Tokyo Renewable Energy Strategy) to shift the focus of energy companies from fossil fuel use to a higher use of renewable energy. Tokyo Renewable Energy Strategy8 The electricity market in Japan was partly liberalized in April 2005. Since then, all consumers who have been provided with high-tension electricity connection are able to choose the electricity company. Aim P To allow electricity consumers to choose the most environment-conscious companies, thereby driving competition for renewably sourced energy P To make available 20% renewable energy supply for the city by 2020 Process The companies were required to release their plans and reports on yearly basis, including the following. P The CO2 emission factors (that is, the GHG emission per kWh [kilowatt-hour] of electricity) P The reduction target for the CO2 emission factor P The actual status of renewable energy mix in their power supply portfolio P Future schedules for the introduction of renewable energy
http://www.metro.tokyo.jp/ENGLISH/
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Non-participant If a company failed to announce the findings of their reports they were formally asked to do so by the TMG. If the company still did not submit their plan details, then the TMG announced their name to the public, as a non-participant. Methods to reduce emission Electricity companies were supposed to reduce their CO2 emission factors by way of the following. Internal efficiencies P Improving efficiency of their existing power generation units P Switching to cleaner fuels Supply efficiencies P Generating and purchasing more renewable energy, such as biomass, hydraulic power, and wind power P Each company has different plans to increase renewable energy and renewable resources Achievement As a result, in the first year of operation of this strategy, six out of nine PPS had reduced their emissions by a total of 680 000 tonnes of CO2. This is approximately a 1% reduction in the total CO 2 emissions in Tokyo based on the same electricity consumption in 2005 as 2004 (84.9 billion kWh). It is expected that by 2020, 20% of all energy for the city may come from renewable sources.
Thailand
Focus: Efficient Fluorescent Lamp Programme9 EGAT, the electricity utility in Thailand, designed a programme to implement a complete national switch from T12 FTLs (fluorescent tube lamps) with the more energy-efficient T-8 lamps. Even though the T8s could directly replace T-12 lamps without requiring a change in the ballast or fixture, cost the same as T-12, and gave the same amount of light, the T-12 dominated the market because of incorrect consumer perception. It was perceived that T8s gave off less light, could not fit in T12 fixtures, failed prematurely, broke more easily, or were more prone to burnout at their extremities.
Singh and Mulholland (2000)
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Hence, to change public perception, EGAT (Electricity Generating Authority of Thailand) went on to convince all the five local manufacturers (Philips, Toshiba, Asia Lamp, Saffi, and Daichi) and the one importer (Osram) to switch their production from T12 to T8 lamps. In exchange, EGAT drew on its financial resources and corporate strength to change the publics perception of T8s. The MoU (memorandum of understanding) was signed between the Thai prime minister, the chairman of EGAT, and the presidents of each of the five manufacturers, in which the manufacturers committed to retool their production from T12s to T8s within two years. In return, EGAT promised to support the manufacturers through an $8 million public awareness campaign. Advertisements ran in newspapers, radio and television channels. To give consumers a chance to see the new lamps, demonstrations took place around the country, including retrofits in city halls and schools. Lectures, seminars, and schoolchildren marches drew the publics attention to the retrofits. The programme resulted in a complete transformation of the fluorescent tube market in Thailand within two years and significant amount of energy savings were realized.
USA
Focus: promoting efficiency in the refrigerators segment10 In 1990, PG&E (Pacific Gas & Electric), an electricity utility in the US and the NRDC (Natural Resources Defence Council), an NGO, used an innovative market approach to improve efficiency in the refrigerators segment. A group of 24 utilities with small support from a government agency (EPA) announced a competition called Golden Carrot, whereby the refrigerator manufacturer that built the most efficient CFC-free refrigerator would win a prize worth $30 million. The prize money helped the winner sell the super-efficient refrigerator at no extra cost for higher efficiency. The prize money and publicity helped the winner and also made sure that other manufacturers reduced cost and improved efficiency to compete with the winner.
Learnings from international initiatives

P In order to meet the additional requirements of the city, it is essential to emphasize energy conservation rather than investing huge capital on the establishment of power generation plants. P Involvement of all stakeholders is essential for the promotion of energy-efficiency measures in the country. P In order to decrease the carbon footprint of the city, it is essential to improve the mix of green energy in the total power portfolio of the city.
10
Prayas (2005)
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National review
Jamshedpur
Focus: reduction in AT&C losses11 Location: Jamshedpur (India) Government responsible: JSEB (Jharkhand State Electricity Board) In the city of Jamshedpur, Tata Steel supplied electricity in its licensed area, while the JSEB supplied in areas outside the supply area of Tata Steel. The power supply of the city was met from three sources: (1) Tata Steel, (2) DVC, (Damodar Valley Corporation), and (3) captive generation by few companies. In the year 2001, JSEB decided to hand over five pocket areas12 located adjacent to the supply area of Tata Steel to Tata Steel for power distribution and signed an MoU with Tata Steel. These pocket areas were handed over to Tata Steel in August 2002. Situation of power supply in the area before the takeover Before 2001, the electricity supply situation in the area was not satisfactory. The supply was marked with large voltage dips and frequent/ long power cuts. The area was marked by high T&D (transmission and distribution) losses, low collection efficiency, and was causing a loss of approximately Rs 17 lakh (1.7 million)/ month to the JSEB. The power situation in the area before 2001 is summarized in Table1. Steps taken by Tata Steel after takeover Survey by Tata Steel Immediately after takeover, Tata Steel carried out a detailed survey of the consumer profile and conditions of the distribution system in the area. It covered information on category of consumers, condition of meters, connected loads, dwelling area, condition of wiring, status of payment of security deposit, and bills. Appointment of a managing agency Tata Steel decided to outsource part of the distribution functions to a private agency on a management contract basis. In the bidding process that followed, Mascot Electromech Pvt. Ltd (Mascot) emerged as the successful bidder. Mascot was asked to set up office in a designated area and perform a list of specified functions, which included the following. P Administration of billing P Meter reading P Bill collection P Maintenance inspection and monitoring of distribution system
11 12
TERI (2004a) The five pocket areas comprise Dev Nagar, Sidhghora, Patel Nagar, C Town and Kasidih localities of the city.
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Table 1 Situation of power supply in area before takeover (2000/ 01)

Consumer base Electricity demand Load Quality of power Voltage dips Power cuts Complaints System loss (efficiency) Status of distribution network Transmission lines Transformers P 1100 P 6.5 MU (in 2001/ 02) P 80% domestic and 20% commercial P 90 V150 V P 412 hrs per day P 190 per month P 62.85% P Catenary wires were defective P Neutral and earth wires were missing in many places P Almost all of them were overloaded P High breakdown rate P Many meters were defective / tampered P 17 lakh/month P Rs 1.52 per unit P Rs 3.5 per unit
Metres Approx loss (in Rs) Tariff Domestic Industrial MU million units; V volt Source TERI (2004a)
P Administration of new connections P Load management The following actions were taken by Tata Steel and Mascot after takeover. P Disconnection of illegal connections and payment defaulters after giving due notice P Regularizing connections (where the faults had been corrected) and providing new connections P Replacement of all mechanical meters by electronic ones (starting with the faulty ones) and proper sealing P Regular raids to check unauthorized tapping and pilferage P Replacement of damaged conductors and unsafe catenary wires and improvements in the earthing system P Regular monitoring of loading of transformers P Provision of five new substations of 6.6 kV (kilovolt)/415 V (volt) with 1000 kVA (kilovolt-ampere) transformer and drawing of new feeders
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P Underground cabling in a few sections P Daily performance reports to track power breakdowns, shutdowns, raids, and bill collection by area P Adoption of a monthly billing cycle, including timely delivery and collection P Underground cabling (8 km of 6.6 kV and 30 km of 415 kV) P Laying of insulated conductor for 1520 km Achievements/impact The power situation of the area improved considerably after Tata Steel took over the electricity supply in the area. Improvement was seen on all fronts of the distribution business. With the takeover, Mascot focused on augmenting the distribution system of the area. Besides, several steps were taken to check various technical and nontechnical losses. Mascot focused on anti-theft measures, improvement in metering by replacing the old meters with electronic meters, the provision of new substation, drawing of new feeders, undergrounding the cables and preventing overloading of transformers so as to reduce the losses. Efficiency These measures helped in the substantial reduction of electricity losses in the area. Within six months, these measures helped reduce the losses by 40%. The T&D loss now stands at 8.5% in the area. Efforts were also made to decrease the commercial losses in the area. Drive was carried to replace the old defective meters with new electronic meters and to make new consumers in the area. Thus, the number of the legal consumers increased from 1100 in the year 2000/01 to 2458 in 2004. This helped in decreasing the commercial losses of the area. The focus on bill collection from the consumer paid dividend within few months. Today, the bill collection efficiency in the area is about 98%. Quality of supply The quality of supply improved substantially after the takeover. The voltage level improved to 220V; power cuts in the area reduced from 412 hours per day to 34 hours per month and within two years, the number of complaints reduced from 190 per month to 50 per month. It is interesting to note that the commercial losses in the area have decreased substantially even though the electricity tariff has increased after the takeover. The tariff has increased from Rs 1.52 per unit for the domestic consumers and Rs 3.5 per unit for industrial customers to Rs 2.25 per unit and Rs 4.5 per units respectively.
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Bhiwandi13
Focus: use of input-based revenue franchisee for reduction in AT&C losses14 Bhiwandi circle is part of Bhiwandi taluka of Thane district. The circle is situated 48 km north-east of Mumbai and covers a geographical area of 721 km2. The Bhiwandi circle is a major cotton textile hub of India consisting of about 6 lakh power looms (almost 33% of all India). In Bhiwandi, power looms account for 60% of the total power consumption. Power supply status of Bhiwandi in 2005/06 The MSEB (Maharastra State Electricity Board) took the initiative of the implementation of the franchisee in Bhiwandi circle. For this purpose, EoI (expression of interest) was invited in March 2005 and on the basis of the evaluation of the bids received, TPL (Torrent Power Ltd) was selected as the DF (distribution franchisee). TPL commenced operations from 26 January 2007. It was agreed that DF shall have the rights of a distribution licensee with regard to authorization under Section 126 (Assessment), 135 (Theft of Electricity), 152 (Compounding of Offence) of the Electricity Act 2003. Soon after the takeover, TPL found that the supply of electricity was erratic and people were not satisfied with the power supply (Table 2). The long power cuts resulted in heavy losses to the power looms, which formed the backbone of the economy of Bhiwandi. Thus, TPL decided to first focus on the augmentation of the distribution network and proper supply of electricity to the consumers. Steps taken by Torrent P Replacement of over 900 DTs and revamping of the remaining DTs P Replacement of 95 000 energy meters (around 54% of existing meter replaced) and issue/ installation of 25 000 new meters. P Replacement of 350 km OH (overhead) line conductor and revamping of LT (low tension) line network associated with the DTs (for 475 DTs) P Installation of additional 100 MVA (megavolt-ampere) of distribution transformation capacity with the installation of new DTs. P Addition of 29 new feeders for the distribution of electricity. P Establishment of 24-hour call centre and 24-hour fault attendance centre. P More than 85% of billing on meter reading basis P Introduction of easy-to-understand customer-friendly bill
13
14
Source: Presentation of Mr Manish Shrivastava during Training of Trainers programme, organized by TERI, Indore, 1416 June 2008 In case of input-based franchisee, the input electricity into the area managed by the franchisee is measured by the utility and the targets set for the revenue collection are based on the collections made as a percentage of the input electricity supplied to the consumers.
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Table 2 The baseline commercial data for the year 2005/06

Parameters Consumer mix: Power loom Others (including household) Demand (annual) Distribution losses Collection efficiency AT&C losses DT failure rate 22 kV feeders HT overhead lines LT overhead lines 22 kV / 0.433 kV transformer Transmission lines Transformers Meters 2005/06 (base year )
60% 40% 2400 MU 44.50% 78.50% 58% 40% 46 nos 712 km 956 km 2084 nos P Catenary wires were defective P Neutral & earth wire were missing P Almost all of them were overloaded P High breakdown rate Many meters were defective / tampered
MU million units; HT high tension; AT&C aggregate technical and commercial; kV kilovolt; DT distribution transformer; LT low transmission Source Presentation of Mr Manish Shrivastava during Training of Trainers programme organized by TERI, Indore, 1416 June 2008
P Replacement of failed DTs within minimum time (normally less than 24 hours) and fast handling of consumer complaints Major accomplishments within 15 months after takeover The reduction target for franchise given by MSEDCL (Maharashtra State Electricity Distribution Company Limited) to Torrent was P 5% reduction in T& D (transmission and distribution) losses and 4% improvement in collection efficiency every year for first three years from effective date P 3% reduction in T& D losses and 3% improvement in collection efficiency every year up to the expiry date Thus, it can be seen that accomplishment by Torrent is much more than what was mandated (Table 3).
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Table 3 Achievements of Torrent Power in Bhiwandi

Parameters Distribution losses AT&C losses Collection efficiency DT failure rate 25 000 new connections issued 22 kV feeders HT overhead lines 22 kV / 0.433 kV transformer 46 nos 712 km 2084 nos 75 nos Replacement of 350 km OH line conductor Over 900 DTs replaced Revamping of all balance DTs 2005/06 (base year) 44.5 % 58% 78% 40% 2007/08 27% 36% 88% 12%
AT&C aggregate technical and commercial; HT high tension; kV kilovolt; DT distribution transformer; OH overhead
Interlinkages: Surat Municipal Corporation

Focus: energy efficiency and energy conservation initiatives15 In 1996, the SMC (Surat Municipal Corporation) was supplying around 200 MLD (million litres per day) of water to the entire Surat city. With the increase in the population of Surat from 4.93 lakh in 1991 to 24.33 lakh in 2001, there has been considerable increase in the citys water demand. In order to meet the increased demand, the SMC has constructed various water works. From 1996/97 to 2003/04, water demand had more than doubled to 479 MLD from 199 MLD and so had the energy bill of the corporation. The energy bill increased to Rs 26.40 crore in 2003/04 from Rs 8.29 crore in 1996/97. The details of the electricity bill are mentioned in Table 4. Table 4 Electricity bills related to water supply
Average water Electricity bill for water Electricity bill for other Electricity bill of % of water Financial year supply (MLD) supply (Rs in crore) services (Rs in crore) SMC(Rs in crore) supply 1996/97 2003/04 % rise 199 479 140.70% 8.29 26.40 218.46% 4.37 16.78 283.98% 12.66 43.18 241.07% 65.48% 61.14% -
MLD million litres per day; SMC Surat Municipal Corporation

15
Interactions with officials from Surat Municipal Corporation
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In order to tackle the increasing energy bills, the SMC realized the importance of energy conservation in the water supply system and other services, and created a dedicated EE (Energy Efficiency) Cell in the year 2001. The EE Cell identified four major areas of energy consumption. 1 Raw/ filtered water collection from intake wells/ radial wells 2 Filtration of raw water, including chlorination 3 Filtered water transmission 4 Filtered water distribution After careful examination of the above areas, it was found that scope of saving lies in filtered water transmission and thus, the SMC dedicated its efforts in re-engineering the routes. It also undertook certain other energy-saving measures such as the following. P Critical examination of prevailing contract demand and average power factor. P In-house energy auditing for performance measurement of pumps and motors P Installation of new energy-efficient pump sets Due to re-engineering of filtered water transmission routes and with other energy saving measures discussed above, the SMC saved approximately Rs 350.23 lakh/ annum (79.40 lakh kWh/ annum) and overall specific energy consumption reduced to 316.95 kWh/ ML (2006/07) from earlier 343.29 kWh/ ML (2003/04). For its commendable efforts and significant energy savings, the SMC has been awarded with the 1st National Urban Water Awards, 2008.
Learnings from the national initiatives

P Better management can improve the energy supply situation in a fast and efficient manner. P Use of IT (information technology) may significantly improve the power delivery system. P Consumers are willing to pay more if the quality of supply and service is improved. P Areas with high losses provide good potential to utilities to improve their revenues. P Dedicated EE Cell to promote energy-efficiency measures and disseminate information should be created, as energy conservation offers significant potential for energy savings for ULBs (urban local bodies).
Identifying the sustainability parameters for power

Based on the literature review of good practices and measures adopted to enable delivery of electricity services in urban areas more sustainable, the following definition for a sustainable power system in an Indian city was arrived at. An electricity supply system that ensures adequate, reliable, and affordable electricity to all citizens with focus on energy efficiency and utilization of locally
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available renewable and non-polluting resources wherever feasible and also capable of catering to the future growth of the city. Based on the above definition, the set of parameters important for a city to consider while planning and delivering of electricity services in a sustainable manner are access to electricity; energy efficiency, which includes both the supply as well as the demand side measures; environmental aspect or use of renewable sources of energy; quality of supply and quality of services. These are explained below.
Access to electricity
In order to make cities sustainable it is important to ensure access to electricity to all the sections of the society especially the urban poor in an equitable manner. In order to ensure access, it is crucial that the planning procedures and approaches adopted by the service providers with respect to demand estimation and expansion of distribution system be fairly accurate.
Energy efficiency
Capacity addition remains a viable option of bridging the ever-increasing demand supply gap; it, however, requires large capital investments and is a time-consuming process. Promotion of efficiency in the delivery of services, on the other hand, by reducing losses and DSM (demand side management) acts as one of the least cost options for meeting the demand for electricity. This includes the following. P Reduction in T&D or AT&C losses (including theft of electricity) in the city P Awareness with regard to energy-efficient appliances and incentives for the promotion of same

Further, to meet the increasing demand of the city, there should be a well-balanced mix of supply sources. Since electricity generation through the use of fossil fuel leads to the emission of GHG and other local pollutants, it is required to use more of locally available renewable sources of energy for electricity generation.
Quality of supply and quality of services

It can be defined as the end result of utilities planning, designing of network, operation and service management, which determine the degree of satisfaction of the consumer. It constitutes one of the most important performance parameters of the utility, which besides consumer satisfaction has a direct bearing on the safety and performance of plant and equipment. This parameter includes the following. P Planned interruptions, that is, load shedding P Unplanned interruptions such as breaking of lines
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P Voltage profile P Consumer redressal mechanisms It is noteworthy to mention that in India, electricity is a subject in the Concurrent List, that is, both the union and the state governments can formulate policies and laws on the subject. In case of a conflict arising due to laws laid down by the central government and the state government on the same aspect of electricity sector, the related law enacted by the central government will prevail over the state law (unless and until the state law received the approval of the president). Distribution of electricity in particular comes under the purview of the states. The legislative policies and acts governing the power sector in India assign no particular roles, responsibilities and authority to the ULBs with regard to electricity services except the provision of street lighting, the only component in electricity services under their purview. Nevertheless, the importance of ULBs in facilitating improvement of delivery of electricity services cannot be undermined. They can provide an important supporting role to the utility through certain set of activities that can aid in achieving sustainability in the sector. This report also explores the role that a local body can play in the light of the above identified parameters.
Analysing the existing situation

This chapter details the current status of the electricity service with regard to each identified parameter and also looks at the impediments that barricade some of the sustainability measures from getting implemented.
Access to electricity
The NEP (National Electricity Policy) has recognized electricity as a basic human need by the GoI (Government of India). It is a key element for the countrys sustainable development. However, at present, the Indian power sector is unable to bridge the demand-supply gap with demand outpacing the supply of electricity. In FY 2007/08, the all-India constrained energy and peak shortages in the country were 9.9% and 16.6% respectively. 16 As per the 17th EPS (Electrical Power Survey) of the CEA (Central Electricity Authority), the electricity demand is likely to increase by 39.7% in 2011/12 as compared to 2006/07, by another 43.7% in 2016/17 as compared to 2011/12 and by yet another 37.5% in 2021/22 as compared to 2016/017. The above projections are made assuming that the government is able to meet its objective of 100% village electrification and to provide power to all by 2012. Rapid industrialization and urbanization of Indian cities have led to the increase in the electricity demand. To meet these shortages, costly options such as installation
16
Source: www.cea.nic.in
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of generator sets and inverters are being adopted by the industries, commercial establishments, as well as individuals. Generator sets are not only a major source of noise and air pollution, which causes adverse health effects, but also create nuisance.17 Besides shortages, access to electricity depends on many issues such as the planning procedures and approaches adopted by the service providers with respect to demand estimation and expansion of the distribution system. This is explained below.
Electricity demand estimation and distribution system expansion planning

In order to effectively meet the electricity requirements of the city, it is required that utilities must ensure adequate electricity in order to ensure access or availability of power and must tie up for the additional power generation or supply sources as per the requirements. Further, to meet or to supply this additional requirement, it is required that the utility must strengthen its distribution network by extending the length of the power distribution line and/ or by establishing new substations, and so on, and forecast the future electricity requirement of the city so that planning for the extension of the distribution network can be accomplished accordingly. Thus, there is a need for realistic assessment of demand for electricity in the city. One of the ways adopted by Torrent Power Ltd (Surat) for providing quick access to electricity is by trying to create and develop ready-to-serve networks. This implies that it would lay down the network even before the application for provision of electricity services is received by the utility. Thus, when consumers apply for the electricity services, it is made available without delay. In order to forecast demand effectively and to ensure access, it is also required that there must be some kind of coordination between the service providers and citylevel authorities/ local bodies. The role of ULBs for providing access is explained below.
Role of urban local bodies in the provision of access to electricity

ULBs plays an important role in providing access to electricity services by appropriate provision of street lights in the city and apprising city expansion plan to the utility.
Street lights
The provision of street lights is under the purview of local bodies and they must ensure the installation of the same in all the areas of the city, including slums. City development plans CDPs (city development plans) or TP (town planning) documents are prepared by the concerned local authorities of the cities and they describe the expansion and development plan for the city. Once it is approved by the concerned department or
17
Source: http://www.cpcb.nic.in/upload/Publications/Publication_393_sec10_6.pdf, last accessed on 27 October 2008
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government, it is placed in the public domain, which can be accessed and utilized by any one, including utilities. However, some of the drawbacks with the development plan of ULBs are that first, the power distribution utilities are not involved in the process of the formulation of TP document and second, sometimes it takes a longer time for approval of the TP document from the concerned authority at the state level, making it obsolete. This affects the realistic assessment of the future demand by the utilities. It is also crucial to ensure equitable access of electricity to all sections of the society, especially the urban poor. With regard to the access to electricity, the Electricity Act 03 (Section 43) specifies the duty of the distribution utility to supply electricity on request and failure to supply can attract penalty.18 With increasing urbanization in the cities, provision of access to basic infrastructure services such as electricity, especially to the urban poor, has become a formidable task. About 40% of the worlds poor living in urban areas lack access to the basic urban infrastructure services, including electricity. As, per 2001 census, 44% of the Indian households had no access to electricity. Further, it differed from state to state and urban to rural. Some states like Punjab, Haryana and Gujarat had relatively high levels of electrification (more than 70% households had access). However, some others, like Bihar, Orissa and Uttar Pradesh, are far behind, with more than 70% of the households yet to be connected to the electricity grid. In case of rural and urban households, 56.5% of rural households had no access to electricity whereas the number in urban areas stood at 12.4% (Kanitkar and Sreekumar 2008). Lack of provision of reliable, adequate and quality services has led to increase in the development of informal markets. To ensure equitable access, in the context of Indian cities, it is required that the service providers must forecast or estimate the demand requirements effectively and plan the distribution system accordingly. This is discussed in detail in the subsequent sections.
18
It states (1) Every distribution licensee, shall, on an application by the owner or occupier of any premises, give supply of electricity to such premises, within one month after receipt of the application requiring such supply: Provided that where such supply requires extension of distribution mains, or commissioning of new substations, the distribution licensee shall supply the electricity to such premises immediately after such extension or commissioning or within such period as may be specified by the Appropriate Commission. Provided further that in case of a village or hamlet or area wherein no provision for supply of electricity exists, the Appropriate Commission may extend the said period as it may consider necessary for electrification of such village or hamlet or area. (2) It shall be the duty of every distribution licensee to provide, if required, electric plant or electric line for giving electric supply to the premises specified in subsection (1): Provided that no person shall be entitled to demand, or to continue to receive, from a licensee a supply of electricity for any premises having a separate supply unless he has agreed with the licensee to pay to him such price as determined by the Appropriate Commission. It further states that (3) If a distribution licensee fails to supply the electricity within the period specified in subsection (1), he shall be liable to a penalty which may extend to one thousand rupees for each day of default.
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Access to slums/JJ clusters/ equity issue

It has been noticed that slum upgradation efforts such as improvements in water supply and sanitation receive a higher priority than electricity, as there are alternatives schemes such as Kutir Jyoti for BPL (below poverty line) families19 and illegal hooking available in case of electricity. Most of the electricity used in slums is being used under the garb of BPL families/illegal hooking being provided by illegal service providers. Apart from these, there are various barriers, due to which electricity services are not being provided. Some of these are as follows. P Due to the low usage and limited ability to pay, utilities do not find it profitable to provide services to these areas. Also, the utilities consider them as high-loss areas due to default in payment or theft/ pilferage in these areas. Further, the limited ability to pay is due to the nature of their earning, which makes it difficult for them to pay on a continuous basis. P Right-of-way issues for distribution system equipment and infrastructure, as these areas are generally unauthorized colonies, increase the cost of supply to these areas. P Non-payment for the electricity services and associated costs to recover the money act a major barrier in the slum electrification process. P Land tenure issues also create problems for the utility in supplying power to slums. P Irregular and long billing cycles also sometimes lead to default in payment, as the urban poor might not be able to pay a large accumulated bill. In order to bridge the gap of low ability to pay and the cost of supply by the utilities most state governments have undertaken efforts by subsidizing the tariffs for this section of the society. However, due to the lack of proper targeting of these subsidies, there has been a significant increase in the subsidy bill of the state government, without the benefit actually reaching the targeted group. Thus, it is required to create and implement innovative mechanisms that not only ensure equity but also the commerciality aspect in supply. Some of the initiatives undertaken by utilities are mentioned below.
Some initiatives by utilities in India

The following are some of the measures adopted by utilities in India. P Slum electrification programme by Torrent Power Ltd20 In Surat, TPL has identified unorganized areas (commonly known as slums) with unauthorized connections and is undertaking massive drives for slum electrification by releasing authorized connections. It provides connection to the people in slums on the receipt of affidavit from their side that the temporary connection may be taken away by the company,
19
This is the scheme for people in rural areas who are below the poverty line for providing single point connection with consumption not exceeding 30 units. 20 Source: Discussions with TPL officials
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if required, and the bills of the temporary connection cannot be used as a residential proof document for any purpose. Thus, with this innovative idea, the company is able to provide power to the un-notified slums of the city without compromising on security issues, including land tenure issue. P Method used by NDPL 21 NDPL (North Delhi Power Ltd) provides free life insurance policy of Rs 1 lakh for its registered consumers residing in JJ (jhuggi jhopri) colonies and to those who take metered connection from the NDPL. These consumers are also entitled to avail the tariff subsidy announced by the Government of NCT of Delhi for metered consumers. There are over 100 JJ clusters in the NDPL area with a consumer base of 30 000. The salient features and conditions of life insurance scheme include the following. Insurance cover of Rs 1 lakh for metered consumers only a flat cover of Rs 100 000 under the OYRGTA (one-year renewable group term assurance) plan without DAB (double accident benefit) or any other rider, to each of the registered consumers residing in JJ clusters in the NDPL distribution network. If any consumer is found indulging in meter tampering or damaging the meter, then the policy stands lapsed during the proceedings and till the theft penalty is paid by the consumer. Creating such a scheme benefits not only the utility, as consumers in these clusters take authorized connections and are encouraged to pay timely payments, but also the consumers, as they receive quality services in line with others.
Energy efficiency
Promotion of efficiency in the delivery of services by reducing losses and promotion of efficiency in usage/ DSM act as one of the least-cost options for meeting the demand for electricity. This is explained below.
AT&C losses
The losses incurred in power distribution are mainly on two accountstechnical and non-technical losses. In India, both these losses are clubbed together and are termed AT&C losses. The AT&C (aggregate technical and commercial) loss of the state distribution utilities is very high, with all India AT&C losses averaging around 34%.22 The technical loss, in terms of energy, is the difference of energy between the energy input into the system and the energy supplied to the consumers over a period of time. There are several causes of the occurrence of this loss within the system
21
22
Source: Press release NDPL offers free life insurance policy to consumers in JJ colonies insurance of Rs 1 lakh for residents of JJ colonies in NDPL network, 10 June 2008 http://www.powermin.nic.in/
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P Losses due to the physical character of the equipment such as energy loss in the power lines, transformers, and substation equipment. P Loss due to rise in the quantity of the current flowing through the line/ feeder The non-technical losses can be due to the following reasons. P Lack of metering at all levels of the electricity system, that is, at consumer level, feeder and distribution transformer level. P Wrong meter reading due to fault in meters or due to human error and wrong estimation of unmetered power supply P Theft of electricity through illegal hooking (This has led to huge losses over the years and is one of the major reasons for such high losses. To address the issue of power theft, the EA 03 [Sec 135-139] lays down strict guidelines with reference to theft of electricity and specifies that any person indulging in theft/stealing of electricity shall be punishable with imprisonment for a term, which may extend to three years, or with fine or both.23 ) Wrong billing by the utility and non-recovery of the billed amount Combined feeders for different types of load Lack of consumer indexing and GIS (geographical information system) mapping of assets The high AT&C losses indicate that the utility was losing revenue that should have been realized. Thus, it is preferred that the AT&C losses should be as low as possible. However, it is not possible to reduce the AT&C losses to zero, as there has to be certain technical losses due to the inherent nature of the equipment installed for the distribution of the electricity. Thus, by reducing these losses, significant amount of savings can be achieved both in terms of energy saving, which can be used to tackle increasing power demand, as well as in terms of reduction of GHG emissions and local pollutants associated with power generation.
Energy efficiency in usage of electricity

Efficient utilization of electricity by the consumers of electricity is very important for meeting the ever-growing electricity needs. Promotion of energy efficiency and DSM is one of the least-cost options for meeting the demand for electricity. DSM, besides being quick and viable option, reliably
23
Further to this, Section 153 and 154 assert that the state government may, for the purpose of speedy trial of offences referred to in Sections 135 to 139 (related to theft), by notification in the Official Gazette, constitute as many special courts as may be necessary for such area or areas, as may be specified in the notification. It also states that notwithstanding anything contained in the Code of Criminal Procedure 1973, every offence punishable under Sections 135 to 139 shall be tried only by the special court within whose jurisdiction such offence was committed.
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mitigates global climate change and environmental degradation associated with electricity production and use. As defined by the Ministry of Power, Demand side management is used to describe the actions of a utility, beyond the customers meter, with the objective of altering the end-use of electricity whether it be to increase demand, decrease it, shift it between high and low peak periods, or manage it when there are intermittent load demands in the overall interests of reducing utility costs. In other words, DSM is the planning, implementation and monitoring of utilitys activities designed to encourage customers to amend their electricity consumption patterns, both with respect to timing and level of electricity demand so as to help the customers to use electricity more efficiently. It aims to modify consumer behaviour and adoption of EETs (energy-efficient technologies) by these consumers (Jain, Gaba, and Srivastava 2007).
Institutional and policy overview

The Government of India institutionalized energy efficiency through the Energy Conservation Act, 2001. A statutory authority, the BEE (Bureau of Energy Efficiency) was formed under this Act. The aim of the BEE is to institutionalize energy efficiency services, in all sectors of the country in order to reduce energy intensity in the economy. The Act laid down the provision for energy consumption standards for equipment and appliances consuming, generating or transmitting energy; and enforcement of a scheme for appropriate labelling of such devices. Further, it mandated compulsory energy audit for the designated consumers and to take all measures necessary to create awareness and disseminate information for efficient use of energy and its conservation. Besides, this, the Electricity Act 2001 mandates the state government to constitute the State Energy Conservation Fund for the promotion of efficient use of energy and its conservation within the state and each state government to designate any one agency to coordinate, enforce, and regulate matters related to the implementation of the Act within the state. In addition to this, the NEP (National Electricity Policy) emphasizes energy conservation measures to be adopted in all government buildings. While many programmes and policies have been devised to promote energy-efficient technologies, rational use of electricity through these measures has remained an underutilized strategy.24 As per the Integrated Energy Policy of Planning Commission estimates, the electricity demand saving potential of DSM measures to about 15% of the total electricity demand. Though utility-driven DSM potential is yet to be estimated
24
Indias energy intensity per unit of gross domestic product is very high compared to the world average. It is 1.4 times that of Asia, 3.7 times that of Japan, and 1.5 times that of the US, which indicates a very high level of energy savings (TERI 2007)
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on an aggregated basis at the national level, some of the sectoral potential assessed is given in Table 4. The barriers to demand side measures are discussed in the subsequent section.
Barriers to DSM measures and EETs

There are many barriers and constraints that hinder the penetration of energy-efficient technologies. These are discussed below. Non-availability of efficient end-use equipment and appliances in the market Owing to a low demand in the market, manufacturers are reluctant to manufacture EE (energy efficient) appliances. Consumers, on the other hand, despite being aware of such options, are not able to obtain such equipment easily in the market. Limited incentives have been there from the government to provide relaxation in excise duty to manufacturers and incentives to consumers. All these factors result in a vicious cycle, which restrict penetration of EE appliances. Also, there is no check on manufacture and marketing of cheaper, inefficient products, which hinders the penetration of efficient technologies. High initial cost and uncertainties in savings High upfront cost is one of the major barriers in the adoption of energy-efficient appliances, as consumers are uncertain about their savings and more importance is given by consumers to initial cost minimization, disregarding the more efficient options (which generally are more expensive). Most consumers are unaware of the fact that the high upfront cost of the appliances can be recovered in time much less than the life of appliance, thereby resulting in net savings. Also, absence of an appropriate mechanism, which can help in bringing down the high upfront cost, act as one of the major deterrent in adoption of EE appliances by the consumers.
Table 4 Sectoral energy efficiency potential

Sectoral intervention Agriculture* Municipalities Industry Potential energy savings 60 bkWh 3.7 bkWh 98 bkWh
* BEE (Bureau of Energy Efficiency) estimates b kWh billion kilowatt-hour Source Government interventions for financial risk mitigation of EE projects, presentation by Saurabh Kumar, Secretary, BEE, Ministry of Power, National Demand Side Management Action Plan, Government of India
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Inefficient pricing regime Irrational tariffs often result in wasteful usage of electricity, particularly by subsidized consumer categories. Low electricity prices act as a deterrent to the adoption of energyefficient appliances by increasing the payback period of investments for certain EETs. Insufficient information Lack of information to the consumer about energy-efficient measures and appliances available in the market is one of the major barriers. Even at times, shopkeepers are largely ignorant about the consumption characteristics of the equipment sold by them. Unreliability of equipment in local conditions Energy-efficient equipment is generally sensitive to the quality of power supplied and may not tolerate large deviations in voltage/frequency. Thus, it may not work up to its expected lifetime. High maintenance costs and lack of local expertise in repairs Certain EETs requires proper maintenance and there is lack of local expertise in repair. This also acts as a deterrent to the penetration of technology. Also, the lack of initiatives from the distribution utilities to promote demand side measures on a large scale acts as a major bottleneck in the penetration of the EETs. Though some initiatives have been undertaken by certain utilities, They need to be promoted and replicated on a larger scale. These are mentioned in Table 5. Role of urban local bodies The municipality can play an important role in improving energy efficiency and by encouraging energy conservation within their municipal limits by providing efficient street lighting in the city, encouraging energy-efficiency measures in activities of the municipalities like water pumping for the supply of water, and so on. Public lighting It is generally observed that the following parameters contribute to the low lighting levels on streets. P Improper pole-to-pole spacing P Inadequate or excessive mounting height P Improper angle of tilt P Interruptions due to roadside trees P Improper selection of lamps and fittings P Poor maintenance of lamps (continuous dust accumulation, change in orientation, and non- replacement of burned-out lamps)
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Table 5 DSM initiatives by some utilities

State Karnataka (BESCOM) Initiative BELP (BESCOM Energy Efficient Lighting Programme) Consumers were able to purchase CFLs from the market against utility coupons and repay the cost through the utility bills. Consumers benefited on two accounts: first, the CFL cost was lower due to bulk purchase by the utility and second, the consumers could repay the cost through savings achieved by the use of CFLs. Reputed CFL suppliers were selected through tenders and a one-year warranty was provided on the appliance. The scheme resulted in 15% reduction in the cost of CFL over the market price. The initiative covered 1.3 million residential consumers. Leasing of high-efficiency equipment High-efficiency fixtures like EE tubes and electronic ballast leased were under a programme in collaboration with an ESCO. Utility involvement helped to build consumer confidence in the quality of device, and the consumer could pay capital cost over a long period through the savings achieved. The initial investment was done by ESCOhence it became a no-cost affair for the utility. In a span of two years, over 50 000 appliances were distributed under this programme.
Gujarat (Ahmedabad Electricity Company)
EE energy efficient; CFL compact fluorescent lamp; BESCOMBangalore Electricity Supply Company; ESCO Energy Service Company Source Prayas (2005)

In India, coal-based electricity generation contributes about 55% of the total electricity generation and is expected to continue its dominance in the future. According to TERI estimates (TERI 2006), over the next 25 years, under the BAU (business-as-usual) scenario, the total generating capacity would increase to 795 GW (gigawatt) in 2031. The installed capacity as on 28 February 2009 is 147.71 GW.25 The share of coal in the total electricity generation ranges from 45% to 60% over the entire period. However, such high dependence on coal for meeting the huge power demand has major implications in terms of global emissions (GHG emissions) and local emissions (SOx, NOx, and so on ). Besides these emissions, it also has certain adverse health impacts. To understand actual impact on the environment due to the use of fossil fuels, a separate study is necessary and is out of the scope of this report. Increased emphasis on the promotion of energy efficiency and use of renewable energy is required to address the environmental concerns. Since one unit of electricity saved at the consumer end translates into approximately 2 units saved at the generation end, leading to saving of approximately 1.3 kg of coal
25
http://www.powermin.nic.in
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and 1.1 kg of CO2, energy efficiency and demand side measures become very crucial from the environmental perspective. The current status, barriers and ways to achieving energy efficiency have been discussed in the energy-efficiency parameter. It is imperative to mention that the importance of renewable energy has also been emphasized in the Electricity Act 200326 , National Electricity Policy27 and National Tariff Policy.28
Current situation
Consequent to this, the GoI through the MNRE (Ministry of New and Renewable Energy) and other public organizations, has been promoting renewable energy through various fiscal incentives, tax holidays, and depreciation allowance. Also, many SERCs have prepared the renewable purchase obligations, which state the defined minimum quantum of renewable power to be purchased by the generation/ distribution company during a particular year. However, these RPOs (renewable purchase obligation) differ between the states depending upon the potential of the generation from the renewable source. (Renewable energy generation is highly location and environment specific). While most SERCs have specified a single target for procurement of power from renewable energy technologies, some SERCs have specified separate technology specific targets or have specified different purchase obligations for different licensees. However, a more proactive approach is required to promote renewable energy as the RPOs fixed by the regulatory commissions are relatively very low compared to the electricity requirements. Due to the land and other constraints, most of the generation of electricity is being undertaken either on the outskirts of the cities or away from the cities. This section focuses mainly on solar and waste-to-energy technologies, wherein the role of urban local bodies becomes very essential. The next section discusses these interventions.
26
27
28
Section 61(h) of the EA 03 states 61: the appropriate commission, shall, subject to the provisions of this Act, specify the terms and conditions for the determination of tariff, and in doing so, shall be guided by the following, namely, (h) the promotion of co-generation and generation of electricity from renewable sources of energy; Section 86 (1) (e) of the EA 03 states to promote co-generation and generation of electricity through renewable sources of energy by providing suitable measures for connectivity with the grid and sale of electricity to any persons, and also specify, for purchase of electricity from such sources, a percentage of the total consumption of electricity in the area of a distribution licensee. (Paragraph 5.2) states such percentage for purchase of power from non-conventional sources should be made applicable for the tariffs to be determined by the SERCs at the earliest. Progressively, the share of electricity from non-conventional sources would need to be increased as prescribed by the SERCs. Such purchase by distribution companies shall be through competitive bidding process. Considering the fact that it will take some time before non-conventional technologies compete, in terms of cost, with conventional sources, the Commission may determine an appropriate differential in prices to promote these technologies. In addition to the EA 03 and the NEP, the NTP (6.4) states the following: Non-conventional sources of energy generation, including co-generation: (1) Pursuant to provisions of Section 86(1) (e) of the Act, the appropriate commission shall fix a minimum percentage for purchase of energy from such sources taking into account availability of such resources in the region and its impact on retail tariffs. Such percentage for purchase of energy should be made applicable for the tariffs to be determined by the SERCs latest by 1 April 2006. It will take some time before non-conventional technologies can compete with conventional sources in terms of cost of electricity. Therefore, procurement by distribution companies shall be done at preferential tariffs determined by the appropriate commission.
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Solar technologies
India is blessed with abundant solar energy. The major benefit with regard to the usage of solar energy is that it is freely available at most places and its use helps in reducing GHG emissions. However, there are many barriers and constraints that hinder the penetration of solar technologies. Some of these are discussed below. Barriers P Lack of information dissemination and consumer awareness about solar generation and renewable energy There is very low awareness among the public about the support given by the government on the installation of solar generation system or SWHs (solar water heating system). P High cost of solar generation technologies compared with conventional energy The upfront cost of the installation of solar energy generation system and SWHS is very high compared to the conventional system. The payback period in case of solar water heaters also increases in cities such as Surat, where gas geysers are being used. P Inadequate workforce skills and training There is serious lack of skilled workforce to take care of the installation and maintenance of solar system. This is especially important with ULBs that lack the requisite skill in the installation/ maintenance of solar street lightning and other solar system within the municipality and its work areas. P Lack of stakeholder/community participation in solar systems There is no direct large-scale participation of the community in the development of the system. P Seasonal and climatic conditions The natural conditions of the city (number of sunny days) also act a barrier in promoting solar technology. Initiatives undertaken In order to promote the use of SWHS, various measures have been taken at state and city level by different stakeholders. This includes mandatory use of solar water heaters in all government buildings and also in case of large consumers such as hotels and hospitals, amendments in building bye-laws with regard to SWHS, and tax incentives. In the city of Hyderabad, the use of SWHS has been made mandatory for buildings having a height of 15 m and five floors, excluding the ground floor. However, the installation of SWHS has been kept optional in individual buildings. Also, if an individual installs SWHS, he is eligible for a rebate of 10% on the property tax. In case of Delhi, the state government provides a subsidy to the tune of Rs 6000 for the installation of SWHS. Table 6 gives a snapshot of the measures undertaken in different states/ cities with regard to SWHS.
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Table 6 Snapshot of measures undertaken with regard to SWHS

Rebate in electricity tariff Rajasthan (15 paise/unit); Karnataka ( 50 paise/uint); West Bengal (40 paise to maximum of Rs 80/-); Assam (Rs 40/-); Haryana (Rs 100/ 100 LPD up to 300 LPD); and Uttarakhand (Rs 75/sq. m.) Thane, Amravati, GHMC, and Durgapur MCs providing 6%10% rebate
Rebate in property tax
LPD litres per day; GHMC Greater Hyderabad Municipal Corporation; MC municipal corporation Source Nigam (2007)
Waste-to-energy projects
Waste-to-energy projects have dual benefitsthey not only solve the problem of waste disposal but also lead to generation of electricity through that waste. Some of the barriers with regard to such projects are discussed below. Barriers High upfront cost In most cases, the cost of energy from waste is more expensive compared to that from fossil fuels. The thermal processes of energy recovery from wastes are especially expensive due to high cost incurred in gas cleaning in order to comply with stringent air emission standards. Segregation of the MSW Segregated MSW is generally not available due to a low level of compliance with MSW Rules 2000, which requires waste to be segregated into organics, recyclables, and inert. High level of harmful pollutants in the unsegregated MSW Halogens, phosphates and alkali compounds, which are corrosive in nature, may be present in MSW. These compounds may cause corrosion and fouling in the boiler and wear of refractory material in combustion processes. Thus, the cost involved in the O&M of the plant increases. Lack of awareness about waste incineration There are many negative perceptions about the impact of these operations on the health and environment. There is a lack of public acceptance to specific processes like waste incineration. Unequal treatment with regard to land allocation for the MSW treatment and power generation plant Land is leased only for MSW treating plant and not for the power plant. Also, sometimes, the land required for power generation is not allocated near the treating
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plant, thereby increasing the cost of power due to the costs involved in the transportation of the waste to the power plant. Not viable in smaller cities having low waste generation The waste-to-energy option is not viable in cities having low waste generation. For example, in the city of Shillong, the daily generation of waste in the city is approximately 100 tonnes while for a viable waste-to-energy project, it should be at least 400 tonnes per day.
Role of urban local bodies

ULBs can play an important role in promoting solar technologies and facilitating electricity generation through MSW in the city. However, the penetration of these is hampered by the barriers mentioned above, such as lack of awareness, high cost of solar generation technologies, and inadequate workforce skills and training. Similarly, low compliance of MSW rules, unequal treatment with regard to land allocation for the MSW treatment and power generation plant and high upfront cost impediments the promotion of waste-to-energy projects. Nevertheless, if conscious efforts are undertaken by the local authorities to use renewable sources of generation such as solar to meet their own respective demands, and adoption of integrated planning approach for facilitating waste to energy projects can provide a major support to the utility and the city in meeting citys electricity demand. These are discussed in detail later in the report.
Quality of supply and services

It can be defined as the end result of utilities planning, designing of network, operation and service management, which determine the degree of satisfaction of the consumer. It constitutes one of the most important performance parameters of the utility, which besides consumer satisfaction, has a direct bearing on the safety and performance of plant and equipment. The quality of supply can be divided into two aspectssupply interruptions, either planned or unplanned, and voltage profile. Quality of services includes consumer redressal mechanisms. This section discusses the issues and barriers with respect to the QoSS (quality of supply and services). Interruptions to electricity supply could be planned outages such as load shedding or unexpected breaks in supply (such as burning of transformers).
Load shedding
Due to the supply constraint situation, utilities have to resort to load shedding mainly during the peak hours. Utilities also undertake periodic maintenance, during which the supply of power is cut off. It has been generally observed that in case of load shedding, unorganized areas, especially the urban slums, are the ones where
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load shedding happens first, as they are considered to be high loss areas, which might not always be the case.
Unplanned interruptions
This could be due to the burnout of distribution feeders or overloading of transformers.
Voltage profile
Voltage profile is also a parameter of quality of supply. The main reason for low voltage could be due to the overloading of the system network or infrastructure. Due to the poor quality of supply, consumers have to resort to costly options such as generators or invertors to tackle the power crises and also the installation of voltage stabilizers for various electrical appliances. The poor quality of supply is also one of the reasons for low penetration of energy-efficient appliances as they are very sensitive to voltage fluctuations. As per TERIs estimates, the cost of electricity produced using a generator is Rs 2734 per unit and that using an inverter is Rs 1418 per unit. Similarly, cost associated with using stabilizers works out to be Rs 295 per month. The above behavioural pattern is indicative of the value that consumers attach to reliable good quality power and signifies their willingness to pay for quality power, if they are ensured the same (Jain, Gaba, and Srivastava 2007). In order to ensure the quality and reliability of services by the distribution utilities in a state or a city, the Electricity Act 03, Sec 57-59 enables the SRCs (state regulatory commissions) to specify standard of performance for the utility and these standards can vary for different class or classes of licenses. It also states that if a licensee fails to meet the standards specified under Sub-section 57 (1), without prejudice to any penalty which may be imposed or prosecution be initiated, he shall be liable to pay such compensation to the person affected as may be determined by the appropriate commission. In the light of the provisions of the Act, the NEP directs the appropriate commissions to regulate utilities, based on predetermined indices on quality of power supply and reliability index of supply of power to consumers. The Electricity Act 2003 further specifies the duties of the utility with regard to setting up of a GRF (grievance redressal forum) and ombudsman for the redressal of consumers complaints.29
29
Sec 42 (5-8) states (5) Every distribution licensee shall, within six months from the appointed date or date of grant of licence, whichever is earlier, establish a forum for redressal of grievances of the consumers in accordance with the guidelines as may be specified by the State Commission; (6) Any consumer, who is aggrieved by non-redressal of his grievances under subsection (5), may make a representation for the redressal of his grievance to an authority to be known as Ombudsman to be appointed or designated by the State Commission; (7) The Ombudsman shall settle the grievance of the consumer within such time and in such manner as may be specified by the State Commission; (8) The provisions of subsections (5), (6) and (7) shall be without prejudice to right which the consumer may have apart from the rights conferred upon him by those subsections.
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In case of any grievances, consumers must first approach the internal grievance system of the utility and if not satisfied with the grievance handling by the utility, consumer can approach the GRF. Also, consumers can appeal to the ombudsman, if they are not satisfied with the decision of the GRF. It is important to note that utilities cannot appeal against the decision of GRF and only consumers can approach the ombudsman against the decision of GRF. Consequent to this, many states have prepared the standard of performance regulations, which sets the performance indicators and targets to be achieved along with the compensation, to be provided in case of default on part of utility. However, there have been certain challenges/ issues associated with it. These are explained below.
Issues with regard to QoSS

P Though utilities are monitoring these parameters, there is a lack of reliable database for monitoring and setting up of standards. Also, there is a need for timely revision of the standards relative to their actual performance. P Most of the utilities have similar performance targets, although there is a different consumer mix, distribution network, geographical coverage, and so on, which varies widely across different states. For instance, the performance target for DT failure rate is the same across Andhra Pradesh, Haryana, Maharashtra, Tamil Nadu, and Orissa. P In most of the states, there is no clear monitoring mechanism in place, which ensures that the utilities are actually conforming to the performance standards. Further, difference in interpretation of the reliability of the data by different stakeholders makes the monitoring mechanism and compliance to the performance standards difficult. Though SoP (standard of performance) regulations penalize the utilities for not conforming to the performance standards, the low consumer awareness with regard to these standards and the penalty thereof have subdued the impact of such provisions on the performance of the utility. Lack of competition and peer pressure are also issues with regard to the compliance of QoSS.

ULBs being the consumer of electricity cannot directly improve the quality of supply and services. However, being a bulk and responsible consumer, they can represent the consumers and can strengthen or facilitate the redressal mechanisms. One such initiative undertaken by Delhi is discussed below.
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Initiatives undertaken
Creation of Public Grievances Cell in Delhi In 2006/07, the DERC (Delhi Electricity Regulatory Commission) undertook a consumer satisfaction survey in Delhi, wherein it was found that some of the consumers were not satisfied with the grievance handling of the discoms as they perceived the CGRF (Consumer Grievances Redressal Forum), set up as per the provisions of the Electricity Act 2003, to be a part of the utility. Thus, in order to resolve such issues and to strengthen consumer onfidence/satisfaction, in January 2007, the state government, on the DERCs request, set up a public grievance cell in Delhi, independent of the utility. This provided an alternative forum to the consumers for the redressal of their grievances. The mandate of this cell is to undertake the unresolved grievances with the discoms and in cases where the discoms are seen to have not acted properly, the issue can be recommended to the CGRF / DERC for further action, depending upon the nature of the fault. This system is in line with the system followed in most of states of the US.
Recommendations
The recommendations by parameter for the issues identified in the previous sections are discussed below.
Access to electricity Planning and electricity demand estimation

P In order to effectively plan the infrastructure requirements of the city, it is required that utilities must prepare a long term distribution master plan, so that there is adequate lead time to plan the distribution network in order to meet the future requirements. P For providing adequate electricity in the city, it is required that utility must plan or forecast its demand effectively. There should be realistic forecasting of demand by the utilities considering various variables such as change in income of the people, new developments in the city, changes in the weather pattern, and so on, which affect the electricity demand in the city. P For estimating demand effectively, it is also required that utility must interact with the large consumer groups or associations and property developers. These associations could be RWAs (residents welfare associations), industrial and commercial associations. These interactions would keep the utilities informed with regard to the upcoming demand in the cities. P In case of states heavily dependent on hydropower, alternative arrangements or tieups must be made in advance or accordingly when there is failure or fluctuation in monsoons and hence in availability of hydropower.
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Role of local body in planning and coordination to provide access to electricity

P Ideally, if a plan related to the upcoming industrial/ commercial/housing establishment is approved by the ULB, it should be forwarded to the utility, as it will aid in timely and proper planning/ expansion of the power distribution structure. But while approving any plan, power sourcing is not accounted for as a basic requirement. Therefore, it is required that for proper and timely extension of network in the new or upcoming areas, it is important that ULBs must devise some mechanisms as part of building bye-laws so that while approving large building/ colony plans, builders are asked to provide power sourcing details, which are then forwarded to the utilities. This would inform, from where a large consumer/builder would be sourcing power, that is, through its own generation in the form of captive power plants or through distribution utility. This would help the utilities in getting the timely information about the upcoming plans and would help them in proper planning of services. P Also, GIS map should be prepared for all the infrastructure facilities and made available on price to the concerned entity with due consideration to security issues involved in this. P Further, ULBs may help in enforcing the bye-laws related to the safety and security of power distribution system and equipment, are properly adhered to by the consumers. Building bye-laws specify reserve space (covered from the top) for the electricity substations within an apartment or industrial/ commercial complex. But builders sometimes convert these spaces into rooms and accommodate the electricity equipment outside or in the nearby stations. This kind of situation should be avoided and ULBs must ensure strict adherence or compliance with regard to building byelaws. P From a sustainable perspective it is important to initiate a mechanism wherein all the service providers are included in the planning process. When cities are being planned, it is necessary that different stakeholders are included in the planning process, so that when the infrastructure is ready to use, different service providers such as electricity utilities are able to cater to the demand instantaneously by making necessary tie-up with regard to power procurement, supporting infrastructure, and so on. Also, involvement of utilities in the preparation of city development plans would help the utilities in preparing the long-term distribution master plan. P In case of developing new infrastructure, provision of trenches can be considered for different infrastructure providers requiring laying of underground pipes, lines or cables. This would ensure ease of access for maintenance of the infrastructure. For carrying out day-to-day activities, due coordination is essential between civic authorities and electricity utilities, as the latter requires timely permissions for road cutting for laying down cables and for maintenance activities. Similarly,
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Box 1 City-level coordination committee, Hyderabad

To facilitate coordination and collaboration on a regular basis, the Government of Andhra Pradesh issued an order constituting a city-level coordination committee, with the Commissioner of Municipal Corporation of Hyderabad acting as the nodal officer/coordinator. The other members in the committee include seniormost city officers from the police, state electricity board, urban development authority, revenue department, metropolitan water supply and sewerage board, state transport corporation, traffic police, telecom, and other departments. The committee undertakes city-level inspections and meets once every week to sort out various infrastructure coordination problems, including those in connection with widening of roads, shifting of services, road cutting to lay service lines, restoration of roads cut, undertaking development and maintenance work, and so on. The committee has been functioning successfully and has been able to solve many vexing problems. Source City Development Strategy and Comprehensive Municipal Reforms: the approach of Hyderabad City, Centre for Good Governance, CGG Working Papers-5/2003
telecommunications service providers would also require these permissions. Lack of knowledge and coordination sometimes leads to fault in other service providers lines and cabling while rectifying its own. Thus, these issues can be addressed by facilitating coordination among different service providers and civic authorities by formation of a committee chaired by the municipal commissioner of the city and involving senior representatives of different ser vice providers like electricity utilities, telecommunications, water and sanitation. This form of initiative has been taken in the city of Hyderabad and is explained in Box 1. This committee can also help in facilitating the planning process as discussed above.
Access in slums/ equity

P One of the ways to address the issue of equity is through the introduction of prepaid metering for slum electrification and use of smart cards for providing these subsidies directly to the urban poor. The prepaid metering can also be extended to other segments of society and incentivizing it by proposing preferential tariff to prepaid meter consumers. It would be a win-win situation for all the stakeholders involved consumers, utilities, and the government. The benefits of such a system would be that it would improve the revenue stream of the utility, decrease the AT&C losses, and also reduce the cost of service in the slums. Also, the government would be able to directly subsidize these consumers, thus increasing the transparency in delivery of subsidies. On the other hand, consumers would benefit from legal connections and would be required to pay high upfront payment in terms of security charges. Implementation of such a system would streamline the informal markets into the formal markets and promote equity in the society. Benefits to various stakeholders are summarized in Figure 1. P Utilities can also provide a single point supply to slums or such clusters and may make use of the franchisee for providing quality access to them. A franchise is an authorization granted to an individual, group of people, or company to conduct a
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Figure 1 Benefits of prepaid metering system in slums to various stakeholders business under an empowered entitys trademark, trade name, or service mark to market its goods or services in a particular territory. Under the Electricity Act 2003, franchisee means a person authorized by a distribution licensee to distribute electricity on its behalf in a particular area within his area of supply. [Electricity Act 2003: Clause 2 (Definitions): Sub-clause 27]. Use of franchisees could help to achieve the following. P Better and more reliable services to the consumers P Reduction of loss and prevention of pilferage P Proper revenue billing and collection in order to ensure revenue sustainability and to ensure that power supply in these areas is a commercial proposition. The indicator for access to electricity, along with the definition and benchmark, is provided in Table 7. Table 7 Indicator for access to electricity
Indicator Definition Usefulness Benchmark Implementation Access to electricity Connection for supply of electricity Electricity being a basic human need, it is important to monitor its access. The Ministry of Power has set the target of 100% access to electricity by 2012. P Quarterly status of access must be maintained. P To be undertaken by utilities and submitted to SERCs and local authorities.
SERC State electricity regulatory commission
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Energy efficiency AT&C losses

There are various measures that can be undertaken to reduce AT&C losses. This includes aerial bunched cabling, underground lines/ cabling, energy metering and audit at all levels of HVDS (high voltage distribution system) system, use of modern technologies such as MIS (management information system) and SCADA (supervisory control and data acquisition) systems. The indicator for the AT&C losses, along with the definition and benchmark, is provided in Table 8. Role of urban local bodies P In order to reduce AT&C losses of the distribution utilities and to improve the efficiency of their operations, ULBs as bulk consumers must act as responsible consumers by timely payment of electricity charges or dues to the utilities and judicious use of electricity. This would set an example for other consumers and can help the utilities in bringing down the losses significantly. P Mass drives against power theft must be carried out by the utilities. In order to do the same, the support of ULBs in terms of police protection becomes very essential. P Consumer awareness campaigns can be carried out to curb power theft in the cities. P Also, in cities where power theft cases are high, it is required that urban local bodies/ state government must constitute special courts as per the provision of the Electricity Act 03 for the speedy trial of offences. In order to monitor energy efficiency in the delivery of services the following indicator must be tracked.
Demand side management

Role of utilities Awareness campaigns on the use of efficient appliances In order to increase the penetration of EETs in the market, it is first required to educate consumers on conserving electricity and carry out mass awareness campaigns targeted at all age groups. This would inform the consumers about the technologies, policy, and the best practices available to conserve energy. With the use of energy-efficient appliances, significant amount of savings can be achieved. Table 9 lists some of the possible interventions that can be undertaken in the domestic, commercial, and industrial sectors. Creation of energy-efficiency cell A dedicated energy-efficiency cell must be created within each utility, which can undertake activities relating to energy conservation. In order to ensure effective implementation by the cell, it must be noted that the cells organizational structure be designed in such a manner that the staff of the cell reports
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Table 8 Indicator for energy efficiency AT&C losses

Indicator 2 Definition Usefulness Benchmark Implementation AT&C losses Ratio of difference between energy input (MU) to the system and energy whose bill has been realized (MU) to energy input (MU) to the system (MU input-MU Realised)*100/MU Input Maximizing availability of electricity to legitimate consumers Target set by GoIreduction in AT&C losses to 15% by the end of 11th Plan P Quarterly or yearly records must be maintained P To be undertaken by utilities and submitted to SERCs and local authorities.
MU million units
Table 9 Indicative list of energy- efficient technologies

Existing technology Incandescent lamps Magnetic ballast HPMV lamp and ballast Ceiling fan motor Conventional fan regulatorcontrol Conventional AC Std. eff. room cooler Electric geyser Std. eff. ind. pumps Constant speed drive Std. eff. motor Reciprocating compressor Constant speed motor Electric arc furnace Proposed technology CFL /Ind Electronic ballast HPSV lamp and ballast Efficient fan Electronic speed 5 Star-rated AC High eff. room cooler Solar water heater High eff. ind. pumps Variable speed drive High eff. motor Centrifugal compressor Multi-speed motor Improvement Size of unit for analysis 60 W 40 W 250 W 70 W 70 W 1.5 Tonne 230 W 120 litres 4 kW 250 hp 20 hp 200 T 30 hp 10 tons Energy reqd. For old tech. (kW) 0.060 0.054 0.285 0.070 0.070 2.570 0.230 2.000 4.000 117.800 10.100 210.000 14.900 2400.000 Energy reqd. for new tech. (kW) 0.015 0.042 0.171 0.060 0.063 1.650 0.184 Nil 3.200 91.295 9.696 140.000 13.559 1680.000
Sector Dom/Com Dom/Com/ Ind Com/Ind Dom Dom Dom Dom Dom/Com/Ind Ind Ind Ind Ind Ind Ind
Dom domestic; ind. industrial; W watt; kW kilowatt; HPMV high pressure mercury vapours; HPSV high pressure sodium vapour Source TERI compilation
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as high as possible within the utility to be considered strategically equal with traditional supply options. Innovative tariffs and financial incentives There are a number of innovative tariff options that can be considered by the utility, chief among them being TOU (time-ofuse) tariffs. In TOU tariffs, higher tariffs are charged for energy consumed during peak hours than during off-peak hours. This differential encourages the customer to either shift some of their load to off-peak hours or install energy-efficient equipment to replace devices being used during peak hours. The use of TOU tariffs by the utility is very common in case of HT industries; however, this must also be used as one of the options for other consumer segments. Further, provision of financial incentives such as power factor rebate to large consumers can also encourage energy efficiency. Cost-reflective tariffs Electricity tariffs should be designed to reflect its scarcity value, thus providing a signal to the consumers to use it efficiently. Role of national and state governments Optimization of tax structure In order to encourage production and consumption of energy-efficient appliances, taxes on the efficient products must be optimized. Taxes form a major part of cost in case of certain efficient products. This can be in the form of reduction in the excise duty on energy-efficient appliances at the national level and reduction in VAT (value added tax) at the state level. Excise duty on efficient products such as air conditioners and refrigerators can be graded on the basis of energy efficiency star rating provided by the BEE. This will provide financial incentive to both the manufacturer and the consumer to opt for energy efficiency. Excise duty structure based on energy efficiency would provide incentive and create competition among the manufacturers to improve quality. On the other hand, consumers would be able to make energy-efficient products at lower prices. Similarly, reduction in VAT on efficient products would also promote their adoption and usage. Role of regulator As per Section 61 (c) of the Electricity Act 03, the guiding factors that SRCs shall consider while setting tariffs include the factors which would encourage competition, efficiency, economical use of resources, good performance and optimum investments. Thus, the regulator assumes a very important role in the promotion of demand side measures, as it can facilitate the implementation of such measures by the utility and can also direct the utility to undertake such measures. In order to achieve the estimated potential of DSM measures in the country, a more proactive role in encouraging/ directing utilities to undertake DSM measures, is required from state regulatory commissions.
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Role of ESCOs The role of ESCOs (energy service companies) in the promotion and undertaking of DSM measures assumes importance as it can effectively deliver long-term, dependable energy-saving projects that are financed directly through the cash flow from the savings. The ESCO is in the business of identifying energy-efficiency oppor tunities, designing a retrofit, implementing the design, financing the implementation, managing the construction, and monitoring the performance of the retrofit. ESCOs can do all or only a portion of the above functions within any utilitys DSM programme. Role of urban local body ULBs can significantly contribute to the improvement of power services in the city by becoming an efficient consumer. Being a bulk consumer, almost consuming 8%10% of the total electricity supplied by the utility, ULBs can significantly bring down the consumption of power in the city by undertaking demand side measures such as efficient public lighting system and efficient water pumping system. In order to do so, it is required by ULBs to create a dedicated energy efficiency cell as done by the Surat Municipal Corporation, to carr y out conservation activities. Public lighting In order to promote energy efficiency in public lighting systems, the following interventions are required. P Efficient designing to minimize electricity consumption. Selection of energy-efficient lamps (replacing 40-W lamps with slim tubes, selection of high-lumen lamps, using HPSV lamps in place of HPMV lamps) Incorporation of time controllers in lighting circuits for automatic switch on and switch off Energy metering and monitoring to assess the exact lighting consumption and taking appropriate corrective actions Replacement of traffic signal lights with LED (light emitting diode) lamps Time-based dimming of light at identified places
Water pumping
Electrical energy saving opportunity exists in water pumping if proper sizing of the pump is done. Savings in electricity consumption could be achieved by replacing the present pumps with optimum-sized pumps, thus increasing their operating efficiencies. The indicator that can be used to monitor the energy consumption in water pumping is detailed in Table 10.
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Table 10 Indicator to monitor energy consumption in water pumping

Indicator Energy consumption P Water pumped in raw water pumping stations (kWh/ kl P Water treated at treatment plants (kWh/ kl) P Water pumped at booster pumping stations (kWh /kl) P Water pumped from tube wells (kWh /kl) (Energy consumed in each of the above facilities per month) / (Total quantity of water pumped or treated in a month) Energy efficiency is an important parameter in the operational performance of the water supply system. By monitoring the trend of energy consumption per unit of output at each stage, energy costs can be controlled P Combined rated consumption of all electrical equipment (an energy audit can provide the appropriate benchmark for energy consumption) P Trend (month-wise) P Monthly records of electricity consumption should be maintained P The indicator should be monitored monthly for each facility
Definition Usefulness
Benchmark
Implementation
kWh/ kl kilowatt-hour per kilolitre Source TERI (2004b)
Data requirements In order to achieve energy conservation in the city, government/civic authorities leadership in the adoption of energy-efficient practices is very essential. Standardized monitoring and nationally consistent reporting processes must be created with the consensus of all the stakeholders involved, to evaluate government energy efficiency initiatives. This would not only increase the credibility but would have a large replication effect. In order to access the potential of conservation and to take necessary steps, it is required that customer surveys should periodically be conducted for all sectors and segments to gather data on customer appliance ownership and use data and load profiling surveys of the entire city. Assessment of energy saving potential by city must be carried out to undertake the appropriate interventions. This activity can be undertaken by the state designated agencies along with urban local bodies.
Impact on environment
The following are the recommendations for minimizing the adverse impact on the environment. Table 11 gives the indicator for penetration of renewable energy sources.
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Table 11 Indicator for penetration of renewable energy sources

Indicator Definition Usefulness Benchmark Implementation Green Indicator Extent of penetration of renewable energy sources in meeting the energy needs Adoption of renewable technologies is an important tool for mitigating adverse environmental impacts. Surveys required for assessing the potential of renewable electricity in the Indian cities to establish appropriate benchmarks. P Yearly records must be maintained P To be undertaken by state nodal agencies
Role of utilities
It is required that utilities must adhere to the targets fixed by the respective SERCs in the form of renewable purchase obligations
Role of regulator
It is required that more realistic assessment of renewable energy potential being made by the regulatory commissions and targets must be set more aggressively in order to harness renewable energy potential in the cities.

P As coal-based generation has high environmental and health implications, it is required that such kind of plants must not be encouraged to be set up in cities as this would degrade the local environment considerably. This is very important in the case of the urban cities as the local environment is affected by not only the increased commercial and industrial activities, but also due to the increased vehicular pollution. In case generation plants have to be set up in cities, natural-gas-based plants must be given priority over other fossil-fuel-based plants. P ULBs have an important role to play in order to promote renewable energy generation. As discussed, local bodies generally accounts for approximately 8% 10% of total demand of electricity in the city, and if conscious efforts are undertaken by the civic authorities to use renewable sources of generation such as solar to meet their own respective demand, a major support to the utility and the city in meeting cities electricity demand can be provided. This can also facilitate in creating awareness and the promotion of solar technologies. ULBs may use any unutilized or vacant land, to generate power by using solar photovoltaic/rooftops. Power generated from solar energy could be utilized for
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supplying power to street lighting, traffic signals and can also be fed into the grid. 30 P Property tax rebates may be provided to consumers switching towards the solar technologies, especially solar-water-heating systems. As mentioned earlier, some municipal corporations have amended their bye-laws to provide incentives for the installation of solar water heating system. P In order to facilitate waste-to-energy projects an integrated planning approach is required on behalf of the local body, wherein suitable land is provided near the waste collection point for both processing and installation of power plant, thus, making the project more viable and cost effective. Community participation is very essential in promoting waste-to-energy projects and it must be ensured that these projects do not lead to adverse impact on environment or local residents.
Quality of supply and services

The following are the recommendations to improve QoSS.
Role of utility
Implementation of information technology system Use of IT (information technology) is very important not only to improve quality of supply but also to improve the efficiency in delivery of services. It may be grouped under the following heads. P Real time systems for operational management and control It can be carried out by means of SCADA systems. The SCADA system centre provides real time information about the load at various places of the distribution system and also provides control over the entire system from the control room. The system may help in programming the load shedding in different parts of the city so as to reduce/ avoid inconvenience to the consumer during shortage of power supply and exigencies. The SCADA system improves the reliability and quality of supply by reducing the break down time and prompt restoration of supply in case of outages. P Management information systems Availability of required information from a host of data is necessary for making informed and correct decisions. Some of the functions for which information technology can be beneficially used are development of customer database (required to provide information to various applications), preparation of baseline data for the entire distribution system, GIS mapping of major assets, and so on. P Load shedding Load shedding details must be shared in advance through advertisements in order to inform the consumers regarding the power cuts and it
30
However, it must be noted that per unit cost of electricity generated through solar is quite high and lot of incentives are required from the government to bring down this cost. The kind of incentives required for the same needs to be studied separately and is out of the scope of the study.
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is required that regulatory commissions/ state or city governments must ensure certain degree of equity among different areas while deciding load shedding patterns. P Strengthening of consumer relationships In order to improve the quality of service and consumer satisfaction, there is a need to strengthen customer relationships. Utilities can organize regular monthly meetings with senior representatives of, say, RWAs (residents welfare association)in order to listen and address their concerns. P Use of franchisee In the cities or circles where losses are quite high, distribution utilities can indulge franchises for those areas as done by the MSEB in the Bhiwandi circle (discussed earlier). Role of regulator Independent consumer sur veys to monitor quality Regulatory Commissions must undertake independent consumer satisfaction surveys on a periodic basis to check the ground realities of service provision by the utilities. Awareness creation In order to improve the QoSS, it is required that regulatory commissions, state, and city governments must create awareness among the consumers with regard to the standard of performance parameters laid by the regulatory commissions. This would make utilities more accountable and responsible for improving the quality. Role of urban local bodies Creation of alternative redressal forums ULBs with support from state governments can facilitate the creation of alternative grievance redressal forums similar to the Public Grievance Cell in Delhi, in order to improve consumer satisfaction and quality of services. To start with, grievance redressal cell must be established in the megacities and then should be considered for million plus cities. Electricity Consumers Advocacy Committee ULBs can also facilitate mechanisms to represent consumers by creating an ECAC (electricity consumers advocacy committee) for representing consumers before the respective Ombudsman, SERCs, the ATE (Appellate Tribunal for Electricity), the High Court and Supreme Court in matters involving public interest.
Capacity building requirements

In order to implement these recommendations, it is very essential that appropriate training is imparted to the concerned stakeholders. Some of the areas identified are mentioned below.
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P Capacity building programme required for local bodies to sensitize energy-efficiency and demand side measures/ interventions that can be undertaken in order to promote energy conservation P Capacity building programmes requireds, to sensitize ULBs with regard to various renewable energy technologies P Capacity building programmes required for the ULBs to train them on the use of modern tools and technologies that may assist them in their work like the MIS. P Capacity building programmes required to sensitize ULBs with regard to various provisions of the acts and the policies of the government related to the power sector
References
Jain M, Gaba V, and Srivastava L. 2007 Managing Power Demand: a case study of the residential sector in Delhi New Delhi: TERI (The Energy and Resources Institute) Kanitkar T and Sreekumar N. 2008 Awareness and Action for Better Electricity Service: an agenda for the community Pune: Prayas Energy Group Nigam D. 2007 Solar Energy Applications in Hotels, Hospitals & Institutions Details available at <http://www.delhitransco.gov.in/EnergyEfficiency/One%20Day%20Seminar-070907/ TechnicalSession-II-2.pdf>, last accessed on 25 February 2008 Prayas. 2005 Demand Side Management in the Electricity Sector: urgent need for regulatory action and utility driven programmes New Delhi : WWF (World Wide Fund for Nature) India [Report by Prayas Energy Group for Climate Change and Energy Programme] Singh J and Mulholland C. 2000 DSM in Thailand: a case study Details available at <http://www.iaeel.org/IAEEL/NEWSL/2000/etttva2000/PrN_a_1-2_00.html> last accessed on 19 March 2009 [Joint UNDP/World Bank Energy Sector Management Assistance Programme] TERI (The Energy and Resources Institute). 2004a Case Study of Privatization of Electrical Power Supply and Distribution System in the Five Pocket Areas in Jamshedpur New Delhi: TERI TERI (The Energy and Resources Institute). 2004b Benchmarking Performance: a manual on performance measurement in urban local bodies New Delhi: TERI
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TERI (The Energy and Resources Institute). 2006 National Energy Map for India, Technology Vision 2030 New Delhi: TERI [Study by TERI for the Office of the Principal Adviser to the Government of India]
Bibliography
Abbi Y P and Jain S. 2006 Handbook on Energy Audit and Environment Management New Delhi: TERI Halpeth M K, Kumar T Senthil, Harikumar G. 2004 Light Right: a practising engineers manual on energy efficient lighting New Delhi: TERI Quebec, Econoler International, IREDA, TERI. 2003 Demand-Side Management from a Sustainable Perspective: experiences from Quebec (Canada) and India New Delhi: Quebec, Econoler International, IREDA, TERI. TERI (The Energy and Resources Institute). 1997 Demand Side Management Plan for Gujarat Electricity Board New Delhi: Energy Management Centre, Ministry of Power, Government of India
Websites
Bureau of Energy Efficiency. http://www.bee-india.nic.in/ Central Electricity Authority http://www.cea.nic.in City of Santa Monica http://www.smgov.net/ http://www.smgov.net/epd/scpr/ResourceConservation/RC3_EnergyUse.htm http://www.smgov.net/epd/scpr/ResourceConservation/RC4_RenewableEnergy.htm http://www.smgov.net/citycouncil/agendas/2006/20060314/s2006031408-B.htm http://www.smgov.net/epd/scpr/ResourceConservation/RC6_EcologicalFootprint.htm Central Pollution Control Board http://www.cpcb.nic.in/upload/Publications/Publication_393_sec10_6.pdf International Association for Energy Efficient Lighting http://www.iaeel.org/IAEEL/NEWSL/2000/etttva2000/PrN_a_1-2_00.html Ministry of Power http://www.powermin.nic.in/ Toyo Metroplolitan Government http://www.metro.tokyo.jp/ENGLISH/
CHAPTER
Buildings
Literature review
Cities are spatial manifestations of human and economic activities and exhibit a complex dynamic relationship between its various elements. Buildings form a crucial part of this spatial manifestation. There is a considerable amount of resource use and environmental impact directly and indirectly associated with buildings. Estimates put construction alone responsible for approximately 40% of total energy use worldwide, most of which is sourced from fossil fuels (Roodman 1995). This energy consumption in buildings has been growing dramatically over the years with changing lifestyle (Figure 1). An estimated 42% of the global water consumption and 50% of the global
Figure 1 Annual energy consumption in various sectors, with buildings being the largest energy consuming and greenhouse gas emitting sector Source USEIA (2003)
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consumption of raw materials is consumed by buildings when taking into account the manufacture, construction, and operational period of buildings.1 Buildings form the basic building block of any settlement and, therefore, are one of the major sources of resource consumption and carbon emissions. Building activities contribute an estimated 50% of the worlds air pollution, 42% of its greenhouse gases, 50% of all water pollution, 48% of all solid wastes and 50% of all CFCs (chlorofluorocarbons) to the environment.2 It, therefore, becomes very crucial to look at sustainability in buildings, given this huge environmental impact of buildings. This impact is very high in the so-called urban centres due to numerous factors. This section, therefore, attempts to look at sustainable provision of buildings in urban centres.
Sustainability in buildings
Sustainability in the sector of buildings is a complex concept and involves many stakeholders. It requires the joint efforts of architects, builders, planners, developers, technicians, policy-makers, industrialists, and manufacturers. A key role is also played by the end-user, not only through his/her responsibility to use the building efficiently, but also through his/her demand for a sustainable building. Technology also plays an important role, as it can facilitate more rational use of resources during the entire life cycle of a building: through the phases of construction, use, and demolition (ICAEN 2004). A sustainable building is often termed as a green building. There are many definitions of green buildings. The USGBC (United States Green Building Council), one of the pioneers in propagating green buildings across the globe, states, The term green building is synonymous with high-performance building, sustainable design and construction, as well as other terms that refer to a holistic approach to design and construction..Green building design strives to balance environmental responsibility, resource efficiency, occupant comfort and well-being, and community sensitivity (USGBC, 2005). According to TERI, a not-for profit organization working in the field of sustainable development, A sustainable/ green building is designed, constructed, and operated to minimize the total environmental impacts while enhancing user comfort and productivity (MNRE and TERI 2008). Also, green building is the practice of increasing the efficiency with which buildings use resources energy, water, and materials while reducing building impacts on human health and the environment during the buildings life cycle, through better siting, design, construction, operation, maintenance, and removal (Frej 2005). The concept of green building entails promotion of energy efficiency, land sustainability, water efficiency, resources efficiency, and better building environment. A sustainable building is defined as a building having minimum adverse impacts on the built and natural environment, in terms of the buildings
1 2
www.nrdc.org/china ibid
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themselves, their immediate surroundings and the broader regional and global setting. They are designed to minimize the total environmental impact of the materials, construction, operation and deconstruction while maximizing opportunities for indoor environmental quality and performance; saving money, reducing waste, increasing worker productivity and creating healthier environment for people to live and work.
Sustainable buildings: principles, approaches, and characteristics

The existing approach of building design and use symbolize unrestrained consumption of energy and other natural resources, with a consequent negative environmental impact. This can be altered through designing and using buildings on the concept of sustainability. The design and development of new buildings based on sound concepts of sustainability, and application of suitable retrofit options to the existing buildings could substantially improve resource consumption, including energy with an associated reduction in both local as well as global emissions. The following principles are chiefly considered while designing sustainable buildings.
Relation with the location

The first step is to design for the macro and micro climate of the site by adoption of suitable bio-climatic design principles. Bio-climatic design varies from one climate zone to another. For example, India has six climatic zones, ranging from extreme cold conditions in the deserts of Leh and Ladakh to extreme hot and dry conditions in Rajasthan. A building in a cold climatic zone has to adopt measures to harness the suns energy to the maximum extent, such as maximum exposure of south-facing windows to capture heat; dark-coloured surfaces; high thermal mass; and insulation to retain the captured warmth of the sun; or the use of design elements, for example, trombe walls and sun spaces. Contrary to this, a building designed for a hot climate would need measures to reduce solar gain by using smaller window sizes, shaded walls, minimum exposure to the west and east, external walls, and roof insulation, or the use of design elements such as solar chimneys and wind towers to maximize ventilation.
Flows: energy, water, and materials

The ideal sustainable building should replicate natures closed cycle of flows. However, it is a very challenging task to achieve in case of urban buildings, and hence, attempts must be made to potentiate self-sustainability of a building to its maximum by focusing efforts in three principal areas.
1 Energy
The main objective in optimization of energy use is to reduce the use of fossil fuels. This is done in two ways. a) By optimizing the use of energy through various measures such as passive design/
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bio-climatic design, use of efficient appliances and equipment, efficient lighting systems, daylight integration to reduce dependence on artificial lighting, and improved insulation b) By the use of renewable energy such as solar thermal (for domestic hot water), PVs (photovoltaics), and wind energy
2 Water
Sustainable buildings tend to achieve a closed cycle in case of water management through the following strategies. Consumption efficiency Resource catchment Improvement in the quality of water when returning it to the environment The possibilities for conserving water when designing buildings are based on reducing potable water use (5% of total consumption is devoted to human consumption for drinking or hygiene purposes while 95% is devoted to evacuation of wastes), improving efficiency of appliances, and adjusting the quality of water for various uses. Choosing efficient fixtures and faucets and establishing adequate technical systems to provide non-drinkable water recycled, or recovered water from rain are the guiding parameters to optimize water consumption at building level.
3 Materials
The material used for a building should be non-polluting, local, and appropriate for the process of future deconstruction. Materials utilized in the construction process have a high environmental impact due to the uncontrolled use of resources, consumption of energy and water, wastes generated, and alteration to the environment caused by the extraction processes and transformation of materials. The strategies to achieve these should include the following. P Reduction in the amount of material consumed P Promotion of reuse P Use of recycled materials P Minimization and management of wastes for reutilization and recycling P Use of materials that reduce the environmental impact and substitution of materials and processes that have less impact on the environment A sustainable building, thus, follows an integrated approach to building design. A sustainable building minimizes the demand on non-renewable resources, maximizes the utilization efficiency of these resources when in use, and maximizes the reuse, recycling and utilization of renewable resources. It maximizes the use of efficient building materials and construction practices; optimizes the use of onsite sources and
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sinks by bio-climatic architectural practices; uses minimum energy to power itself; uses efficient lighting, air-conditioning; efficient daylighting integration; maximizes the use of renewable sources of energy; uses efficient waste and water management practices; and provides comfortable and hygienic indoor working conditions. It also salvages and recycles waste and building materials produced during construction and demolition; implements maintenance and operational practices that reduce or eliminate harmful effects on people and the natural environment, reuse existing infrastructure, identifies facilities near public transport systems and considers redevelopment of contaminated properties. In a nutshell, such buildings look at the design, construction, and operation of a building in an integrated manner. Some of the aspects that are considered in such buildings are as follows. P Site planning P Building envelope design P Building system design, HVAC (heating, ventilation, and air conditioning), lighting, electrical, and water heating P Integration of renewable energy sources to generate energy onsite P Water and waste management P Selection of ecologically sustainable materials (with high recycled content, rapidly renewable resources with low emission potential, and so on) P Indoor environmental quality P Landscaping strategies that require little irrigation, permitting groundwater replenishment and providing onsite storm-water management. In this manner, sustainable buildings use less energy and water, generate less greenhouse gases, use materials more efficiently, and produce less waste than the conventional buildings over their entire life cycle (Cole 2007). The adoption of such features results in buildings that have P lower maintenance cost P reduced operational energy P lower air pollution P healthier and more productive occupants P less material usage, and P longer life To achieve the above objectives, there have been various attempts worldwide to bring sustainability in the building sector. The following section attempts to study the best practices internationally and nationally to achieve sustainability in the building sector, directly or indirectly.
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An overview of international and national best practices

This section attempts to look at the various innovative measures at country and city level to achieve sustainability in the building sector through various measures such as policy interventions, market mechanisms, incentives, and implementation mechanism. The objective of this extensive study is to arrive at the country-specific sustainability parameters that have been tested and validated further through city visits, as discussed in the subsequent sections. Case studies of specific building projects that depict features of a sustainable/green building have not been included here as this study primarily focuses on ways and instruments to bring a paradigm shift in the way a building is designed. For the sake of clarity and better understanding, this section has been divided into two broad categoriescountry programmes and city programmes. The countries covered are the UK, Singapore, Australia, Germany, Japan, Europe, and Austria. Apart from these, it has been observed that a number of cities in many countries have gone above and beyond their countrys codes to implement more stringent policies in their municipalities.
Country programmes
Countries worldwide have attempted to achieve sustainability in the buildings sector in some form or another. This has been done in parts or at some places holistically. Almost all countries have mandatory energy-efficiency requirements either in the form of prescriptive regulations or through predicted energy demand calculations. They also have some form of mandatory provisions for water and waste management at buildings level. The various efforts taken up by different nations in this regard are briefly discussed as under.
United Kingdom
The UK has an extensive set of policy instruments incorporating sustainability principles in buildings. It has extensive building regulations targeting both new buildings and refurbished buildings, a mandatory code for sustainable homes, which has high standards for nine environmental categories, including water, energy and waste, and a popular building rating system called BREEAM (Building Research Establishment Environmental Assessment method), which is the national environmental building assessment method and has been developed for various sectors like offices, schools, retail, prisons, multi-residential, industrial, and so on. Besides, the country has an interesting system called Home Information Pack, in which it is compulsory when selling a new or existing home of more than four bedrooms to have a home condition report and an EPC (energy performance certificate) based on a survey carried out by a home inspector. The country gives various incentives and/or penalties for electricity generation by renewables, use of photovoltaics, and grants for low-carbon buildings,
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besides having a comprehensive knowledge dissemination programme targeting various stakeholders having features such as the following. P Training and accreditation workshops for building assessors, energy calculation consultants, home inspectors P Regular seminars, workshops, and product launches P Approved published supportive documents along with the building regulations P Government websites like that of DEFRA (Department for Environment, Food and Rural Affairs), environmental agency, local councils, and BRE provide useful information and guidance. The UK also gives enhanced capital allowance to businesses that can claim 100% first-year capital allowances on their spending on qualifying energy-saving plant and machinery. Water efficiency at building level is not considered in building regulations, however, it is part of the rating systems. However, barriers continue to exist and various programmes have varying success levels. Issues of behaviour and motivation are significant barriers to investment in large organizations; energy saving is rarely core business. Competing priorities are often a significant barrier, particularly in the public sector. In the commercial sector, where the use of energy in buildings predominates, lack of information, split incentives (for example, between the landlord who would make the investment and the tenant who would benefit) and motivation are key barriers. For the individual, lack of information and motivation are primary barriers.
Singapore
Singapore has mandatory provisions in the building regulations for energy efficiency in the following. P Lighting P Air-conditioning P Thermal comfort in non-air-conditioned buildings Singapore has also set up a BCA (Building and Construction Authority) Green Mark Scheme, a benchmarking scheme to promote sustainability in the built environment by construction and real estate sectors and covers the following. P Green mark for air-conditioned buildings P Green mark for residential buildings P Green mark for schools Singapore has a green labelling scheme with mandatory provision for use of energylabelled fridges and air conditioners. Besides this, it has also launched a water efficiency
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labelling scheme, which labels products for water efficiency, allowing consumers to compare the water efficiency of different products such as washing machines. As a result, domestic water consumption has fallen from 165 litres a day in 1999 to 160 litres a day in 2005. It also tries to educate the stakeholders and consumers through various programmes. P Specialized campaigns P Education system P Clean and Green Week P Showcase projects like Water Volunteer group programme
Australia
Australia uses a number of policy instruments to accelerate the green building movement. It has mandatory performance requirements in the building code. It has mandatory energy modelling for buildings with a floor area larger than 5000 m2. Step tariffs are used to introduce water conservation. A number of rebate programmes such as the Solar Hot Water Rebate programme, Photovoltaic Rebate programme, and Building Improvement Partnership programme (for commercial buildings) are introduced from time to time. Australia has a Green Power Accreditation label programme as well. Accredited Green Power products always carry the tick label: labels tell the amount of accredited Green Power the energy retailer is purchasing on behalf of the customer (as a %) of the customers households electricity consumption. The Australian building code also has various standards for alternative onsite domestic waste-water treatment units such as septic tanks, waterless composting toilets, aerated waste-water treatment systems and land disposal and irrigation systems. However, these have to be followed only where access to public sewers is not available. The country has a performance-based voluntary rating system called NABERS (National Australian Built Environment Rating System), which measures an existing
Figure 2 Australias Green Power Accreditation labels
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buildings overall environmental performance during operation using a set of key impact categories. Australia also has a National Water Initiative, an integrated and coordinated national approach to the improved management of the scarce water resources and incorporated building-level initiatives as well. Australia has a number of programmes for knowledge dissemination such as HIA (Housing Industry Association) GreenSmart, MBAV (Master Builders Association of Victoria) Green Living Training programme, Green Plumbers programme to educate and train builders, consumers, and building professionals on various aspects of green buildings.
Germany
The German Energy Conservation Regulation EnEV restricts primary energy use in buildings. Energy calculation is mandatory and benchmarks are specified. It also has a passive house concept in which certificates are provided for compliance. It uses a combination of low-energy building techniques and technologies; certification according to various limitations like the building must not use more than (=)15 kWh (kilowatthour)/ m2 in heating energy; total primary energy consumption not more than 120 kWh/ m2 per annum. Energy performance contracting is working effectively in Germany. This is a contract between an energy-saving partner and a building owner; the contractor makes investments and performs energy-saving measures in the building and is then paid relative to the cost savings for the buildings energy consumption. The owner does not have to make any investments). It also gives tax exemptions to selectively foster the use of environment-friendly technologies and loans for the modernization of buildings (for implementation of energy conservation measures and use of renewable sources of energy. For residential buildings, there is a support programme to provide advice and grants to owners if they take onsite advice of professional experts on potential energy conservation measures. Small and medium-sized companies can also receive assistance under this programme if the amount of turnover does not exceed an upper limit. A few German cities also have green roofs programme (incentive program) to deal with storm-water management and urban heat island effect. Energy labelling as per European Union directives is also mandatory in Germany. This applies to cooling and freezing equipment, washing machines, dryers, and dishwashers.
Japan
CASBEE (Comprehensive Assessment System for Building Energy Efficiency) is a voluntary environmental rating system that covers the following four assessment fields. 1 Energy efficiency regarding earthquake-proofing, energy-saving and barrier-free construction, housing quality 2 Resource efficiency
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3 Local environment 4 Indoor environment
Europe
The Energy Performance Directive by the EU (European Union) mandated that all buildings have to be rated on their energy sustenance for approval of building permits. Buildings are rated on a scale of A to G.
Energy efficiency assessment: appliances

Energy efficiency assessment of appliances is done through appliance standards and mandatory certification and labelling programmes. Appliance standards are a popular means to increase energy efficiency of appliances used in commercial and residential sectors. Labelling programmes provide mandatory provision of information to endusers about the energy-using performance of products. It is often combined with appliance standards.
Japan
The Top Runner Program (appliance standards) requires that all new products must meet, by a specified date, the efficiency level of the most efficient product at the time the standard was set. The programme resulted in energy-efficiency improvements of over 50% for some products.
Europe
All European countries follow the EU energy labelling for appliances. The energy efficiency ratings are from A to GA being the most efficient. The label also gives energy consumption every year. P Labelling standards vary from country to country. P Credits in BREEAM and Code for Sustainable Homes
Implementation and incentivizing

While most countries provide cash incentives and grants to encourage green building practices, some countries have adopted innovative incentive schemes such as the following.
Austria
Programmes for both new and retrofitted buildings combine the financial incentive with a strong informational aspect and have so far been very successful.
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Japan
Implementation and incentivizing are done through the Housing Finance Services agency.
Water efficiency at building level Australia

The building environmental rating system (NABERS) has defined specific benchmarks for water consumption for various building, based on which the buildings are rated for water efficiency. Efficient buildings are given tax incentives by the local government to encourage the contractors and developers to adhere to the benchmarks.
Building materials specification Australia

Every form of construction is required to have a sound insulation with a rating that matches the required value for weighted sound reduction index
Japan
The use of building materials containing chloropyrifos in buildings with habitable rooms is prohibited.
Waste management
Most European countries have compulsory source segregation of waste. There are provisions for onsite storage facilities required for different types of wastes. Some countries impose producer responsibility. Australia also has a national guide for the use of recycled concrete and masonry materials in non-structural applications.
Sewerage United Kingdom

Building regulations have provisions for drainage system of waste water. Septic tanks should have a secondary treatment system attached and get clearance from an environmental agency.
Economic and market-based instruments

Economic instruments are based on market mechanisms and usually contain elements of voluntary action or participation, often initiated or promoted by regulatory incentives. Some of the instruments used under this are energy performance contracting/ ESCO (Energy Service Company), Cooperative/technology procurement, white certificate schemes and Kyoto flexibility mechanisms.
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US
The US is the first and most successful country in terms of energy performance contracting, and 3.2 MT (million tonnes) of CO2 is estimated to have been saved through this mechanism. There are three core segments. 1 Federal Energy Savings Performance Contracts P DOE (Department of Energy) P Air Force P Army 2 Utility Energy Services Contracts 3 MUSH markets P Municipalities/state governments P Universities P Schools P Hospitals For an effective ESCO industry, a mature financial sector willing to lend for energyefficiency projects, unsubsidized energy prices and supportive legal, financial and business environments. Cooperative procurement is a voluntary tool, whereby customers from the private or public sector who procure large quantities of energy-using appliances and equipment cooperate in order to influence the market by creating demand for more efficient products. In the US, 24 utilities, supported by the US EPA (Environment Protection Agency) together initiated the Super Efficient Refrigerator Program by launching a competition for a refrigerator 30%50% more efficient than the 1993 standards. The competition won by Whirlpool resulted in huge energy savings.
City-specific programmes Rhizao, China

Rhizao, a coastal city in northern Chinas Shandong peninsula, has implemented a programme mandating the use of SWHs in its buildings. Rizhao is a city of 3 million people, where the average income is well below the national average, yet is known as Chinas solar city, as it has one of the highest per cent usage of solar thermal systems (99% of households in the central districts and 30% of households in suburbs), along with photovoltaic solar cells powering almost all traffic signals and street lights. In the villages surrounding Rizhao, more than 6,000 households use solar cookers and more than 60 000 greenhouses are heated with solar thermal systems.
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Green building programmes Rizhao was the first city in China to create a regulation requiring installation of SWH systems in new construction. The mandate was first enacted in the early 1990s, and ten years later, 99% of all households in Rizhao now use SWH systems. However, the city has been so successful in solar thermal usage because this regulation was accompanied by subsidized research, extensive outreach, and initial incentives for solar water heating. Rizhao helped educate home-owners through open educational seminars and public advertising, and installed SWH systems on prominent government buildings and homes of city leaders. Certain branches of municipal government provided the systems free of charge to employees. In all, systems for both new construction and retrofitting, the government supervised installation to ensure that all products met with high standards. Additionally, the city government was able to adopt and encourage other forms of solar energy usage. This is partly due to the solar research and attraction of industry to Rizhao, but also due to the city governments commitment to solar. Almost all traffic signals, street lights, and public lighting in parks are powered by photovoltaics. Goals achieved Rizhao has a very high rate of adoption of SWH systems, with 99% of urban and 30% of rural households using SWH. As a result of this, Rizhao has reduced CO2 emissions by 52 860 tonnes per year and saved citizens the equivalent of $1807 per year. Environmental goals are also being met, with Rizhao being one of the top ten cities for air quality in China. This, in turn, is spurring economic growth for the city, with increased direct foreign investment, increased tourism, and increased university presence. City officials have said that environmental quality is one of the main factors in foreign investors choice of location. In 2005 and 2006, after positive press related to Rizhaos solar usage, the number of visitors to Rizhao increased by 48% and 30% respectively. Additionally, Peking University has chosen to build its new residential complex in Rizhao, which has drawn more than 300 professors into buying homes in the city. Lessons learned and applicability One of the major lessons from the Rizhao example is the benefit of funding research and development into new technologies. However, once technologies have become competitive in the marketplace, the use of regulation to make green systems mandatory can be effective, particularly when combined with outreach to replace and retrofit older systems. Specific measures would include the installation of SWH systems on prominent government buildings and encouraging branches of city governments or large businesses to fund SWH systems on employees homes.
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Austin, USA
Austin is the capital of the state of Texas, and is the 16th largest city in the US, with a population of just over 750 000. Green building programmes Austins green building programmes consist of five major components. 1 A citywide building evaluation tool used to give free ratings to residential and commercial buildings 2 Extensive educational materials for builders, developers, and home-owners 3 Financial incentives for undertaking a home energy audit and retrofits for existing buildings (including many options that are free of charge) 4 Requirements for municipal buildings to meet green design standards as an example for the city 5 Building codes that incorporate strict efficiency characteristics Building ratings Austin, Texas, became the first city in the US to have a citywide tool to evaluate buildings. This rating and consultation are free of charge for buildings within Austin Energys service area. Austin Energy provides the following services. P Services to home-owners (consultations and workshops), commercial building designer s (consultation throughout the design process, marketing of environmental projects, technical analysis of benefits, and assistance in applying for governmental rebates), and for developers, owners or residents of multifamily apartments or condominiums. P Another free service is home improvements for low-income Austin Energy consumers. The guidelines related to income levels vary by number of people living in the house, as well as the ages of the residents. Austin Energy provides not only the materials but the installation as well. P Free programmable thermostats and installation to home-owners who agree to allow Austin Energy to cycle off their air conditioners. This means that air conditioner usage can be staggered across many households, thus decreasing peak loads. It also offers an immediate $25 credit to the utility bills for participating households. P It offers many rebates for residential and commercial building renovations. After a free home energy audit by a participating member company, home-owners can select which renovations they will choose to perform. The rebates cover up to 20% of certain household improvements, up to $1575. P It also offers rebates up to $100 000 for renovations to air-conditioned multifamily properties with more than four residential units.
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P It also offers advice to the city of Austin on proven specific technologies that are effective and beneficial. These new systems are incorporated into the city commercial and/or residential building codes as mandatory requirements for all Austin buildings. The benefits to the city and to Austin Energy have been enormous, including reduction of the citys energy consumption by 142 427 MWh (megawatt hours), reduction of Austin Energys generation resources by 82.8 MW (megawatt), and reductions of power plant CO2 emissions by 90 831 tonnes. Savings in individual energy costs exceed $2.2 million each year. Building codes Austin continues to move forward and in early 2007, passed the Austin Climate Protection Plan, requiring that by 2015, all new single-family homes constructed will be zero energy capable homes, which is defined to be a household that can produce as much energy as it consumes over the course of the year. The first of the code improvements was implemented on 18 October 2007, based on the 2006 IECC (International Energy Conservation Code) with local amendments. The most significant amendments to the existing building code in Austin were requirements for testing the buildings thermal envelope, installation of a radiant barrier in attics or roofs, testing duct system leakage, testing air balancing of HVAC systems, and using high-efficacy systems for 25% of lighting. Monitoring Austin has developed separate systems for monitoring the impacts on new and existing construction, with overall indicators of energy consumption and greenhouse gas emissions being evaluated for the entire city as a whole. P The city is able to document fairly accurately the number of houses that have been audited and the specific measures that have been implemented. P The building owners rebate applications include specific details regarding home improvements. P Savings are measured in three separate ways: annual savings, cumulative savings, and life-cycle savings. P Annual savings sum the impact of all measures installed in a given year. P Cumulative savings are the sum of annual savings from all measures installed in conjunction with the history of Austin Energys green building programme. P Life-cycle savings are calculated by multiplying annual savings over the assumed life cycle of a given measure.
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In order to monitor the impact of changing building codes, the city of Austin has committed to an annual evaluation of buildings. Energy intensity of these homes will be calculated and compared to the Task Forces projected energy intensity of model homes built to code specifications. Awareness programmes P Newspaper advertising with lists of participating builders and architects; physical labelling of efficiency, with labels modelled after familiar appliance efficiency labels placed near the main fuse box P Advertising on prominent city billboards P Hosting green building conferences P Partnering with large service organizations like Habitat for Humanity and American Institute for Learning and with private developers P Providing free workshops for home-owners, architects, or students, called Green by Design P Develop a programme for at-risk youth to learn green building skills, thus providing much needed jobs as well as creating a labour force to meet the growing demand for green buildings Goals achieved From 1991 to 2007, the Austin Energy Green Building programme is estimated to have reduced the citys energy consumption by 142 427 MWh and has reduced demand by 82.8 MW. The programme is also credited with reducing CO 2 emissions by 90 831 tonnes, NOx emissions by 87.6 tonnes, and SOx emissions by 17.4 tonnes. Lessons learned P The incorporation of many stakeholders into the planning and implementation P Implementing change with both mandatory and voluntary components
Berkeley, USA
Berkeley has a long history of environmental ordinances related to energy conservation, but more recently has really become a national and international leader on implementing energy conservation through the Residential Energy Conservation Ordinance. Green building programmes In 1987, Berkeley first instituted its Residential Energy Conservation Ordinance, RECO, which mandated that all buildings with a permit value greater than $50 000 that were sold, transferred ownership or engaged in renovations must meet basic energy and water efficiency standards.
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(RECO requires low-flow toilets or toilets with flow controls, low-flow showerheads and faucets, R-12 insulation on water heaters, R-3 insulation in all hot and cold water piping, weather-stripping on exterior doors, R-3 insulation on fur nace ducts, dampers or doors on fireplace chimneys, minimum of R-30 ceiling or attic insulation, and CFLs in all common areas of multi-unit buildings.) The Commercial Energy Conservation Ordinance applies to all commercial properties or to the commercial portion of mixed-use residential-commercial buildings. P Building owners who are selling commercial property are required to install the mandated conservation measures (or required to transfer compliance responsibility to the buyers). P All buildings being renovated or having additions completed also are required to meet compliance. Implementation Since all buildings bought and sold in Berkeley are required to have a permit of sale monitored by the Berkeley City Council, the implementation of this project was fairly straightforward. Currently, Berkeley has only one energy inspection company, the CESC (Community Energy Services Corporation), which is required to inspect every home that is hoping to pass the RECO performance standards. It is also responsible for inspecting the CECO performance standards as well. Goals achieved While Berkeley is a small city, RECO applies to the 600 residential buildings that transfer ownership or are remodelled each year. Considering this, the savings of RECO have been significant. RECO has reduced residential energy consumption citywide by over 13% and reduced Berkeleys CO2 emissions by 5000 tonnes annually. Additionally, the programme has helped the average home-owner save $450 per year! This indicates that the project is having a big impact not only on the city but on the individuals as well. Lessons learned and applicability The Berkeley implementation of RECO has been an effective combination of regulations and incentives, while also combining prescriptive and performance-based policies. The use of subsidies may be less applicable in the Indian context, but soft loans from government bodies could be used in place of subsidies, since all measures do pay for themselves. Even without subsidies, the return on investment is well under ten years, so many longer-term home-owners will be living in those houses long enough to recover the benefits.
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Seattle, USA
Seattle, Washington, is a temperate city of 3.1 million in north-western US. It has one of the highest concentrations of green buildings in the country. The sustainable building industry in Seattle is worth $671 million. Green building programmes P The Seattle Council believes that its efforts have encouraged more green companies to be based in Seattle and more individuals to invest in green buildings. P Seattle has required all city buildings over 5000 square feet to meet LEED (Leadership in Energy and Environmental Design) standards, and provided financial, height, and density benefits for private commercial projects. P For residential development and affordable multi-family housing units, Seattle has independent rating systems (Built Green and Sea Green, respectively). Municipal buildings The requirement for all new municipal buildings larger than 5000 square feet to meet LEED Silver standards has resulted in the construction of 10 LEED-certified projects (including 5 Gold and 3 Silver) and the planning and development of 28 more LEED projects. Density bonuses and other incentives P Buildings that meet LEED Silver or above are granted permits for greater height or floor area. P These projects must include either affordable housing or have public amenities to contribute to the downtown area. Financial Incentives Seattle has also provided financial incentives for projects committing to LEED certification, particularly aiding with design and consulting fees. In moving forward, Seattle has committed to some important next steps, including integrating sustainable design into municipal design codes, including green features within the Seattle real estate database, and increasing the recycling of building waste in Seattle. Monitoring programmes Seattle has had environmental indicator monitoring since 1998. While none of these were initially directly related to buildings energy consumption, such as energy use per square metre or concentration of green buildings, many are indirectly linked. The use of renewable energy, energy use per dollar income, impervious surfaces, open space,
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soil erosion, and housing affordability are all indicators that Seattle has been using for almost 10 years. Goals achieved Since the projects inception in 2000, Seattle has reduced CO2 emissions by an average of 1067 tonnes and reduced costs by $43 000 per municipal LEED building. Additionally, the growth of the green building industry in Seattle has contributed to their economy. Lessons learned and applicability The example of Seattle is included here in order to demonstrate the power of municipalities in encouraging green design through municipal buildings. While the only official green building mandate in Seattle applies to municipal facilities, the incentives provided for private buildings, as well as the example of best practices found in Seattles buildings, have been able to encourage further adoption by the private sector. Another major lesson to draw from the Seattle example is the way that the economy and green building industry can be developed through green building policies and regulation.
London, UK
London, capital city of both England and the UK, is the most populous city in the European Union, with a city population of 7.5 million and almost 14 million in the greater metropolitan area. For years, London has been one of the leaders in sustainability in many sectors, particularly in the built environment. Their use of quality of life indicators to monitor progress in many sectors has led the way for indicator use in many other cities around the world. In particular, London has been one of the largest and most prominent cities to use the Ecological Footprint model to monitor the environmental impact of all systems in London. The Mayor of London, Ken Livingstone, has spoken publicly on many occasions regarding his commitment to reducing the carbon dioxide emissions from the building sector within London. In one press release, he stated, Energy used and wasted in buildings in our city is responsible for the majority of carbon dioxide emitted in London. If this city is to play its part in tackling climate change, the buildings we construct today have to be fit for a low-carbon futuredesigned and built to run on renewable fuels and to be highly energy efficient. Green building programmes P Incentives: While the London green building programme focuses on voluntary improvements and outreach, there are several components of policy and regulations. The Mayor of London and British Gas have partnered to encourage insulation of wall cavities and attics. In particular, they have arranged discounted prices with
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specific insulation installers, in return for advertising the services on websites and in other promotional materials. Additionally, they are offering 100 rebates and interest-free 12-month loans, in addition to already reduced prices. For low-income or disabled residents, insulation is free. P Environmental Performance Certificate: In August 2007, London implemented a HIP (Home Improvement Packet) and EPC (Environmental Performance Certificate) programme. HIPs will need to be prepared and presented to prospective buyers for all properties of three bedrooms and larger. Smaller homes will be phased in over the coming years, as the number of qualified energy assessors increases. By 2009, all homes that are bought and sold will need to have HIPs. The HIP will contain all necessary legal documents, as well as an EPC, which rates a building on a scale from A to G. The final score is actually composed of two separate ratings for energy efficiency and carbon dioxide production, taking into account age, location, size and condition of the building, with the average London home receiving a D or E rating. The EPC also contains information regarding potential for improvements Before implementing the HIP and EPC scheme, the city of London contracted the Energy Saving Trust to conduct a survey regarding the impact of such EPCs. They found that 70% of buyers considered energy efficiency to be important when comparing homes and 30% said specifically that they would change their decisions based on EPCs. These buyers were willing to pay up to 10 000 more for a home that scored higher in its EPC. Demonstration buildings and development The new London City Hall, built in 2002 along the River Thames, runs on roughly one-quarter of the energy consumed by a typical office building. The building is nearly spherical in shape, to minimize surface area to volume ratios for reduced solar heat gain and heat loss. The building leans towards the south, so that higher floors shade all south-facing windows. Geothermal systems cool the building, while photovoltaics provide electricity. All windows are operable, low-E (low emissivity), triple glazed, and clad with shading devices. Additionally, Ken Livingstone, Mayor of London has promoted the development of ZED (zero-emissions development), or zero-carbon development, areas. Beddington ZED, or BedZED, is the UKs first carbon-neutral community in Hackbridge, South London, completed in 2002. The development contains 82 residential homes and many office facilities, and was designed not only to be sustainable in terms of energy and water usage of buildings, but also to foster sustainable living through Green Transport Plans for all residents and mixed use development to minimize the need for transportation.
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BedZEDs buildings were designed with emphasis on natural daylighting and passive cooling, which are complemented by solar photovoltaic systems for energy generation. A combined heat and power plant was fuelled by wood waste from nearby areas. Waste water is recycled throughout the development, and building waste was minimized through the design and construction phases.3 Another example is the recently planned Gallions Park area in the Royal Docks in East London, which will be a 200-home unit, with all homes designed to highest efficiency standards and energy demand being met with a combination of renewable energy sources. The competition for the development of this area was fierce, with seventeen separate consortia of developers, architects, and master planners joining to create visions for ZED areas. This competition and the outreach leading up to it were able to encourage the development industry to think towards a carbon neutral future. The London Development Authority held an exhibition of all of the six shortlisted designs submitted to the competition, in order to share the innovative ideas with the public. Monitoring The ecological footprint assessment measures the total land area necessary to support a citys metabolism, including food generation, waste disposal, energy generation, and building materials. In order to calculate this ecological footprint, London monitors subindicators, including tonnage of building materials used and wasted, total waste generation, and recycling, total energy consumption and percentage of renewable energy sources, total passenger kilometres travelled and percentage by car and public transportation, total food consumption, including percentage imported from outside the UK. London also uses a list of 55 Quality of Life indicators, including 20 headline indicators and 35 additional indicators to monitor urban sustainability. These indicators range from environmental indicators (household recycling rates, total carbon emissions, air quality, bird populations, CO2 emissions per gross value added) to economic and equity indicators (child poverty, unemployment variation by ethnic group, education rates) as well as overall neighbourhood satisfaction. Outreach and penetration London has been very successful in utilizing popular celebrities and athletic teams to raise awareness about sustainability issues and climate change. Additionally, the City of London has partnered with many organizations to encourage the development of exemplary green buildings. One such example is the very recent partnership with the theatres of London to reduce their carbon emissions.
3
www.energysavingsecrets.co.uk/bedzed-the-uks-biggest-eco-community.html
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The Mayor of London had helped launch an energy-efficient lighting scheme for one of Londons largest theatres, the National Theatre, but also partnered with the Arts Council England, the Theatres Trust, the Independent Theatre Council and several other groups to create a Climate Action Plan for London Theatre. These groups will help fund energy audits for all of Londons theatres and assess which efficiency measures will be most beneficial, primarily focusing on lighting and insulation. Transport for theatre-goers will also be addressed. This programme is particularly interesting as London is known worldwide for its historical and present theatre offerings, and theatre contributes significantly to the London economy, tourism, and culture. For this reason, using the theatre industry as a demonstration of efficiency will allow many more people to be exposed to green design strategies. Additionally, the City of London has provided capital funding through a Community Energy Programme to a few specific community development projects in neighbourhoods throughout London, including Grahame Park and New Wembley. Grahame Park is a large community redevelopment project, including 3400 homes and integrated community facilities, while New Wembley includes Londons major stadium and surrounding land development associated with Londons 2012 Olympic bid. By helping developers create integrated communities that utilize green design and sustainable energy sources, the city of London is able to provide examples of community development for future development. Lessons learned and applicability One lesson from Londons outreach is that cities can effectively focus first on greening the industries that are most prominent, either in terms of economic, environmental, or cultural impact. With certain projects (insulation incentives and demonstration projects at Wembley Park), this required a significant financial outlay by the government that may not be feasible. However, this could be applied by simply focusing outreach into most significant industries and does not necessarily require any additional financial inputs. While market response may be different in the Indian context based on climate change and energy efficiency awareness, the lessons from the London Environmental Performance Certificate surveys indicate that there is a great demand for more efficient buildings, and efficiency labelling can have a significant impact. As successes with appliance labelling have demonstrated, buyers can make more informed decisions only when that information is readily provided.
National best practices

This section attempts to look at the various initiatives at policy level, financial incentives, and other instruments to give a fillip directly or indirectly to sustainable/green buildings movement in the country.
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Ministry of New and Renewable Energy

The MNRE (Ministry of New and Renewable Energy) is the nodal ministry of the Government of India for all matters relating to new and renewable energy. The broad aim of the ministry is to develop and deploy new and renewable energy for supplementing the energy requirements of the country. Table 1 gives an overview of the kind of incentives made available under the MNRE Sources schemes. Interest subsidy is paid by the MNRE to banks through IREDA (Indian Renewable Energy Development Agency) after receipt of documents on installation of systems. The loan available is currently up to 85% of system cost, and is repayable within five years.
SWH incentives by electricity boards and municipal corporations

A number of electricity boards in India have taken measures to promote SWH (solar water heating). Some of these measures are elaborated as under. West Bengal State Electricity Distribution Company Ltd WBREDA (West Bengal Renewable Energy Development Agency) partnered with the West Bengal State Electricity Board (the earlier version of WBSEDCL) to create an incentive programme for the installation of SWH systems. Consumers who purchase and use an SWH system will be eligible for a 40 p/kWh reduction in their electricity tariff, up to 200 units (totalling Rs 80 per month). This would apply to electricity bills up to two years after installation, totalling Rs 1920 over 24 months. After SWH systems are sold, WBREDA would inspect the installation and use, and submit a copy of the users electricity bill, along with the approval paperwork to the electricity company (WDBSD or CESC). WBREDA would pay the electricity companies Rs 1920 as a onetime payment for each beneficiary. Rather than adjusting each electricity bill for 24 months, the companies agreed to credit consumers four times over the two-year period, making the system basically a long-term rebate. Karnataka Power Transmission Corporation Ltd In Karnataka, the PTC (Power Transmission Corporation) agreed to give a 15-paise discount per unit of energy off of electricity tariffs for consumers who have installed and are using solar water heaters. Rajasthan State Electricity Board In Rajasthan, once a consumer has brought proof of purchase to the office of the assistant engineer, within 15 days, an employee of the RSEB (Rajasthan State Electricity board) will come to inspect the installation and physically check that the
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Table 1 Programmes and incentives by the MNRE

Programme Item/Activity Solar water heating system Domestic Institutional Industrial and commercial Service charges to FIs/banks Incentive to motivators Performance monitoring by SNAs Incentive to municipalities and municipal corporations Other activities Incentive/Support Loans @ 2% interest rate Loans @ 3% interest rate Loans @ 5% interest rate Rs 200 per loan disbursed Rs 100/- per m2 of collector area installed Rs 50/- per m2 of collector area visited Rs 5.00 lakh and Rs. 10.0 lakh respectively on notifying amendment in building bye-laws. Financial support for seminars / symposia / workshops/business meet/exhibition; training programmes; publicity and awareness technology upgradation and exposure visits abroad; and studies/ surveys on case by case basis. 50% of cost limited to a maximum of Rs 5000/- per m2 of dish area for non-profit making organizations 35% of cost limited to a maximum of Rs. 3500/- per m2 of dish area for profit making organization 50% of cost limited to a maximum of Rs. 2500/- per m2 of collector area for non-profit making organization 35% of cost limited to a maximum of Rs. 1750/- per m2 of FPC area for profit making organization 3% of MNES support Financial support for publicity and awareness; seminars /workshops/ symposia / business meet; Training programme; technology upgradation; and studies/surveys on case-by-case basis 50% of the cost of DPR to a maximum of Rs 2.00 lakh 10% of the cost of construction to a maximum of Rs 50.00 lakh Financial support for workshops, seminars, and publication of documents on case-by-case basis. 7% interest rate to a maximum of 85% of cost of shop for establishment Rs. 5000/- per month subject to certain conditions through SNAs Rs. 5000/- per month subject to certain conditions through SNAs. Rs. 50,000/- per shop to SNAs with 50% to be spent on publicity @ 2% to IREDA on interest subsidy disbursed @Rs. 5,000/- per loan disbursed to banks 50% of cost subject to maximum Rs 2.00 lakh per kWp 50% of cost subject to maximum Rs 1.00 lakh per kWp
Solar air heating/ steam generating system
Solar steam generating system Flat plate collector based solar air heating system Service charges to implementing agencies Other activities
Solar buildings
Preparation of DPRs (detailed project reports) Demonstration solar buildings Other activities
Akshay Urja Soft loan through public sector shops banks Monthly recurring grant for 2 years Monthly incentives for 2 years Service charges SPV systems in urban area
BIPV systems (max. 5 kWp module) Solar power packs (max. 1 kWp module)
FI financial institution; SNA state nodal agency; FPC flat plate collector; DPR detailed project report; SPV solar photovoltaic; BIPV building integrated photovoltaic
Source MNRE
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SWH has been installed appropriately. Once this has been approved, this information will be passed to the billing agency to grant a rebate of 5 paise per unit of electricity purchased. It will begin from the date of installation approval and continue to be granted in all future energy bills. The RSEB will inspect the SWH system annually, and if it is shown to be defective or out of use, the rebate will cease. Additionally, the consumer is required to inform the RSEB if the system becomes defective or if it is removed. Once the defect is repaired or a new system installed, it will be inspected again, and the rebate will begin again. Uttarakhand Electricity Regulatory Commission In 2005, the UERC (Uttarakhand Electricity Regulatory Commission) introduced a monthly rebate of Rs 50 for all consumers who installed SWH systems. The consumer would have to present an affidavit to his/her electricity company demonstrating that an SWH system had been installed and was being used. Thane Municipal Corporation, Maharashtra As discussed above, the TMC (Thane Municipal Corporation) has made it mandatory to install SWH systems in all new buildings and in all buildings to be renovated. It is also now mandatory to install SWH systems in existing commercial or utility buildings, as well as government and semi-government buildings. However, financial incentives exist for installation in residential buildings. Existing domestic buildings that have SWH systems will receive property tax discounts as long as the system remains operational (to be inspected annually). The owners or housing society will be given a 10% discount in the payment of yearly property tax. Eco-housing, Pune The Eco-housing programme, launched by the PMC (Pune Municipal Corporation) promotes the adoption of environment- friendly practices, energy-efficient products, and techniques by the construction industry. Applicable to the housing sector, it offers financial benefits, environment, community and infrastructure benefits, and benefits associated with health and increased productivity as compared to conventional buildings. The Eco-housing assessment criteria for Pune city was developed by the IIEC (International Institute for Energy Conservation) in association with TERI (The Energy Resources Institute), and STP (Science and Technology Park) under technical assistance from USAID (United States Agency for International Development). Criteria are made up of a combination of voluntary and mandatory measures. It is a 1000-point system that incorporates 88 measures. A minimum of 500 points are required to qualify for Eco-housing certification.
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The criteria are applicable to residential buildings/building complexes and single-family residences. To encourage developers to adopt eco-friendly techniques, under the Eco-Housing Certification Programme, the PMC is offering 50% rebate in premium charges incurred from developers while granting building permission. While 25% rebate will be granted while giving building permissions on verifying the documents and site visits, the remaining will be given after completion of the project. Global programme on energy efficiency through building retrofits under the Clinton Climate Initiative The CCI (Clinton Climate Initiative) is a Clinton Foundation project dedicated to making a difference in the fight against climate change in practical and measurable ways, initiating programmes that directly result in substantial reductions in heat-trapping GHG emissions. In August 2006, the CCI joined with the Large Cities Climate Leadership Group, or C40, an organization comprising most of the largest cities in the world, which have pledged to reduce GHG emissions. The CCI will assist the large cities in the group in reducing emissions and increasing energy efficiency by using the same business-oriented approach that has made other Clinton Foundation initiatives successful. On 16 May 2007, the CCI announced the Energy Efficiency Building Retrofit Program, which brings together eight of the largest energy savings companies, five global banks and 16 cities in a landmark programme designed to reduce energy use in existing buildings. Salient features of this programme include the following. P Participating cities in the programme from India: Delhi, Mumbai P Creates a purchasing consortium P Mobilize the best experts in the world to provide technical assistance P Creates and deploys common measurement and information flow tools P Creating building codes and standards TERIs role P The role of TERI is to expedite and propagate the initiative by engaging meetings between the building owners with CCI and ESCOs. P Identify public and private sector building owners in Delhi and Mumbai who would be interested in making their buildings energy efficient in association with CCI representatives. P Review the performance contract agreements as prepared by the CCI. P Set up meetings with the representatives of identified ESCOs and financial institutions to understand the mechanisms set up to identify, scope and implement projects. P Review the energy audit report and suggest modification if required. P Discuss and finalize financial mechanism to be followed for implementation.
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P Coordinate where necessary, the carbon revenue aspect for building energy efficiency projects.
Identifying the sustainability parameters for buildings

Sustainability goals
Given the current status of buildings in India, the high growth rate of construction (10% on an average) and the piecemeal approach being adopted across the country, there is an urgent need to streamline the efforts in greening the buildings. With this background, the following goals are being aimed at. P The new stock of buildings (residential and commercial) should be built on the principles of green/sustainable buildings. P The existing stock of buildings should be retrofitted as far as possible to make them green buildings.
Basic research framework

Based on the above discussion and earlier discussed definitions of green/sustainable buildings, the following parameters need to be considered to make a building sustainable. P Site planning P Building envelope design, including optimal design of roof, walls, and windows in order to reduce heat gain during summers and heat loss during winters P Passive architectural systems design to reduce dependency on electrical/energyintensive comfort systems P Optimized building system design for minimal energy consumption (HVAC, lighting, electrical, and water heating) P Integration of renewable energy sources to generate energy onsite P Optimization of building and surrounding (site) water consumption P Water and waste management, including resource recovery from waste (through segregation, recycle and reuse) and recycling and reuse of waste water P Selection of ecologically sustainable materials, including locally available / used materials, including high recycled content materials, materials with high possibility of recycling P Indoor environmental quality, including noise levels and indoor air quality levels P Water quality There are a number of measures such as building codes, policy interventions, labelling, appliance standards, various kinds of incentives, capacity building, and education campaigns to streamline efforts to achieve sustainability in the building sector. To achieve the aforementioned objectives, a number of parameters were observed in the building policies and regulations for sustainability principles such as the following.
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P Minimum energy/building performance standards o Appliances/equipment o Buildings P Labelling of energy performance o Appliances/equipment o Buildings o Green building rating and certification P Financial incentives P Industry capacity building o Centres of excellence o Energy performance benchmarking o Sponsored R&D o Building audit programmes P Leading-by-example programmes o Demonstration buildings P Policy enforcement infrastructure P Water management P Waste management P Sewerage management at building level P Awareness To further analyse and validate the parameters for assessing sustainability in buildings, the following set of questions were shortlisted for testing based on the literature review and study of best practice. P Policy and regulatory framework at the national, state, and city level P Existing approach towards design and construction P Existing checklist followed at the building approval stage by the local government P Existing practices with respect to rainwater harvesting, waste management and renewable energy at building level P Use of traditional/vernacular architecture and local building materials P Access to building rating and verification systems P Awareness about sustainability concepts among the building professionals, industry and users
Analysing the existing situation: buildings

To test the robustness of the building sector sustainability parameters in the Indian context, the application of these parameters needed to be tested in a typical Indian city. But Indias social, cultural, political, geographical, and scientific diversity ensured that no one city can or ever will represent the Indian context or a typical
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Indian city. Therefore, several cities were studied (based on earlier published work, earlier experience of TERI, city visits) to assess the parameters applications. This section is structured in a manner such that each of the parameters is addressed one at a time and used to construct the existing scenario. This consequently helps us understand the lacunae, best practices, gaps, obstacles, and so on, in the citys building sector when assessed from a sustainability perspective.
Building sector observations Policy and regulatory framework at the national, state, and city level
Every nation needs a strong regulatory framework to guide its building sector towards the desired goals. In India, there are a number of central, state and local bodies that develop and implement building codes, standards and benchmarks. National-level building codes/regulations P The Bureau of Indian Standards NBC (National Building Code) covers all aspects of building design and construction; this serves as a guiding code for all municipalities and development authorities to formulate and adopt building byelaws. First established in the early 1980s, the code has been revised last in the year 2005. However, energy efficiency elements have not been covered comprehensively in the new version as well. P The Energy Conservation Act 2001 provides for the establishment of state energy conservation agencies to plan and execute programmes. The Act led to the formation of BEE (Bureau of Energy Efficiency) that formulated the ECBC (Energy Conservation Building Code). It targets building energy efficiency and was introduced in the year 2007. This is the nations first building energy code and aims to have a major impact on energy efficiency in buildings. It is a voluntary code for all buildings with a connected load of 500 kW and most likely to become a mandatory code. It covers minimum requirements for building envelope performance as well as for mechanical systems and equipment, including HVAC system, interior and exterior lighting system, service hot water, electrical power and motors in order to achieve energy efficiency in different climatic zones of India. The integration of this national code with the city level initiatives (building bye laws) is completely absent at present. P The MoEF (Ministry of Environment and Forests), EIA (environmental impact assessment) and clearance are a mandatory requirement for all buildings with a builtup area above 20 000 m2 and such projects have to be apprised by the MoEFs EACs (environmental appraisal committees) and the SEACs (State Environmental Appraisal Committees). Monitoring and verification of the compliance of commitments given by the builders/contractors is completely missing.
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P The MNRE has initiated several programmes focusing on the utilization of renewable energy sources in buildings (Table 1). The benefits are not being fully utilized due to various reasons such as low awareness, inhibitions, and lack of trained manpower. P The Sustainable Habitat Mission under the National Action Plan on Climate Change was launched by the Prime Minister, Mr Manmohan Singh, on 30 June 2008. It encompasses a broad and extensive range of measures, and focuses on eight missions, which will be pursued as key components of the strategy for sustainable development. These include missions on solar energy, enhanced energy efficiency, sustainable habitat, conserving water, sustaining the Himalayan ecosystem, creating a Green India, sustainable agriculture and, finally, establishing a strategic knowledge platform for climate change. For the habitat mission, the strategies proposed aim at promoting efficiency in the residential and commercial sector through various measures such as change in building bye-laws, capacity building, research and development in new technologies, education and awareness, and so on, management of municipal solid wastes, and promotion of urban public transport. This mission is still in its infancy and implementation has yet to start. P The BEE has several programmes to set labels and energy-efficient standards for refrigerators, air conditioners, motors and other appliances. Labelled products have been in the market since 2006. In a move to manage energy demands, BEE has made star rating for energy efficiency mandatory for a host of electrical appliances from 20 September 2008. The implementation of this mandate is yet to be seen. State-level regulations Building bye-laws in India fall under the purview of state governments and vary with administrative regions within the state. These are guided by the central national building codes and a states innovativeness and vision. However, there is a general lack of integration of all the building codes. Besides, state specific inputs on energy efficiency, water conservation, and other aspects of sustainability are currently missing. City-level regulations A city has a final set of building guidelines in the form of building by- laws, which are finally implemented at town and city level by the respective development authorities and municipal corporations/municipalities. These bye-laws, however, currently have not been able to integrate the ECBC provisions and other sustainability parameters.
Rating systems
Building rating systems are a popular tool to bring momentum in achieving energy efficiency and sustainability in buildings. The country has currently two rating systems namely, LEED and GRIHA.
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Leadership in Energy and Environmental Design: LEED Green Building Rating System, developed and managed by the USGBC, is the most widely used rating system in North America. Buildings are given ratings of platinum, gold, silver, or certified, based on green building attributes. LEED is evolving rapidly; in the United States, at least nine types of specific programmes exist, including those for new commercial construction and major renovation projects, existing building operation and maintenance, commercial interiors, homes, schools, neighbourhoods and retail. USGBC is also developing LEED for Healthcare, and LEED for Labs. The IGBC (Indian Green Building Council) founded by the collaboration between the CII (Confederation of Indian Industry) and the private manufacturer Godrej, has taken steps to promote the green building concept in India. Currently, the IGBC is facilitating the LEED rating of the USGBC in India. LEED-India was launched in 2001 and rates buildings on environmental performance and energy efficiency during the design, construction, and operation stages. Green Rating for Integrated Habitat Assessment: The MNRE has adopted a national rating system GRIHA which was developed by TERI. The GRIHA rating system takes into account the provisions of the National Building Code 2005, the Energy Conservation Building Code 2007 announced by the BEE and other IS codes. This was developed as an indigenous building rating system, specifically aimed at nonair conditioned or partially air-conditioned buildings. GRIHA has been developed to rate commercial, institutional and residential buildings in India emphasizing national environmental concerns, regional climatic conditions, and indigenous solutions. GRIHA stresses passive solar techniques for optimizing visual and thermal comfort indoors and encourages the use of refrigeration-based and energy-demanding air conditioning systems only in cases of extreme thermal discomfort. Rating systems adoption is restricted to a few metropolitan cities only and there is a general lack of awareness. It also lacks any incentivization programme on part of the government.
Conclusion
It is observed from the above that though a number of policy instruments and strategies to encourage or mandate green buildings directly or indirectly do exist or are in the inception stages. However, there is a major gap between these written documents, implementation and actual action or changes in building design and construction. For example, there is currently no concrete plan for implementation of the ECBC code at city level, its monitoring or verification. There is frequent flouting of the EIA norm for large constructions. There is a general lack of central unifying theme of promoting green buildings. Efforts adopted are mostly scattered and there is a general absence of integration among various ministries, departments and state governments. Existing
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policies related to building bye-laws are complex and divided between many government departments at state and central level, therefore there is a need to simplify and coordinate building byelaws and building policy.
Implementation barriers
A number of implementation barriers exist even with the prevailing set of policy instruments at various levels, which has hampered the popularization of green buildings on a large scale. Some of these barriers are as follows. P The implementation and monitoring mechanism with the existing laws and regulations are very weak. P Integration of building energy code, NBC, and so on, with the building bye-laws is still missing. P The central and state government building and construction projects follow very old specifications and need urgent revision. P The existing capacity of the state-level and urban local bodies is not sufficient to cater to adapting and implementing the energy code/revised building bye-laws. P Developers do not benefit directly by incorporating green building features in new developments, especially in the residential sector. Thus, with the lack of incentives for builders to integrate environment-friendly features in their construction, the adoption of green building features is restricted. P A general apprehension among the stakeholders over high initial cost and lack of life cycle approach to carry out cost benefit analysis acts a major barrier. P The existing market mechanism/structure is not guided towards sustainable/green buildings. As a result, there is a dearth of products and appliances at cost-effective rates in the market. P The building construction industry is also currently ill equipped to execute the green building design effectively. This also acts as a barrier in implementing green designs. P There is increased influence of western (steel and glass) architecture for commercial use, which is not conducive to Indian climate. TERI studies show that several such buildings need to be cooled even during the winters. P The existing status of research in green building materials, equipment, systems, and technologies is weak. Even at centres and institutes where such initiatives do exist, there is no mechanism to popularize the research findings in the market. Significant investments are required to push the market development further and faster. The existing market for green products is non-competitive and is under the monopoly of a few companies. P Lack of technical, economic, and general knowledge about green buildings among building designers, engineers, architects, developers, investors, policy-makers, financial market and consumers is one of the major barriers to green building movement in India.
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Existing approach towards design and construction

The existing trend among architects, designers, and engineers is towards following internationally famous designs. This is further exacerbated by the consumers who demand for replicas of western architecture, not conducive to Indian climatic conditions. Even the existing curriculum followed in engineering and architecture colleges does not have any component of sustainability. As a result, their mind set is not tuned towards following an integrated approach towards sustainable building design. As far as governance of buildings in cities and urban centres is concerned and the institutional structure which looks after the building approval, a typical representation is given by Hyderabad as under. P The prime government agencies involved in the building sector in Hyderabad urban agglomeration are HUDA (Hyderabad Urban Development Authority), GHMC (Greater Hyderabad Municipal Corporation), and various municipalities P All the residential building permissions in the GHMC limits are directly given by the GHMC and in the rest of the municipalities, by the respective municipality. P All the commercial and institutional building permissions come to HUDA for technical approval. After its technical approval HUDA forwards them to respective ULBs for its final sanction. P The existing bye-laws as well as the master plan remain silent about energy conservation in buildings. The only provision as far as green buildings is concerned are in the form of SWH (compulsory in all new hospitals, hotels, guest houses, public buildings) and optional in individual buildings (rebate of 10% on property tax). Rebate of 10% on property tax for buildings is also given if exterior lights are solar based. P A lack of coordination among these various bodies is a common phenomenon. An exception to the above institutional structure is also observed in a few urban centres such as Shillong. There is no established, formal system of governance in Shillong, under which building sector related activities may be managed, monitored, and controlled. The bodies that are involved with urban level activities are as follows. P The Directorate of Urban Affairs is involved with the state-level activities such as infrastructure development, civic amenities, and budgetary allocation to the urban areas. P The Meghalaya Urban Development Authority is an autonomous body, similar in function and power to the Delhi Development Authority. They are responsible for the development and implementation of the master plan, approval of architectural plans for construction / expansion, allocation of space for expansion, zoning, and so on. They are also responsible for checking illegal developments. P MUDA (Meghalaya Urban Development Agency) is solely responsible for poverty alleviation, employment, and so on.
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MUDA officials are not authorized with enough power to take suitable action against defaulters, since the local governance system tends to intervene on their behalf and can influence the politicians to waiver any legal action that may be planned by MUDA. This brings up the local governance system that exists in Shillong. This traditional system (known as the Darbar Shnong) exercises great power among the local population. This system is not recognized by the Government of India as a formal system of governance. The integration of local governance with the formal system could bring rich dividends in such a set-up. Conclusion In most Indian cities, the existing primary approach towards design and construction remains similar. There has been a shift to the so-called modern architecture, which is usually universal in its use of resources, energy consumption pattern and aesthetics. Besides, there is a lack of coordination among the local bodies (corporation/municipality and Development Authority).
Existing checklist followed at the building approval stage by the local government
The procedure followed at urban level is more or less the same in all Indian cities and towns; the only difference is in the number of criteria being checked by the ULB. When a client submits the various drawings/plans for approval to the ULB, a checklist is run through in consonance with the citys bye-laws and regulations and the pre-construction stage permission is given by the ULB. The building goes through a number of inspections (not specified) during the construction stage to further check the compliance. Once the construction gets over, the client applies for occupancy certificate which is given after further verification of various aspects. This parameter has been selected as a sustainability parameter because this has the potential to integrate and implement the necessary amendments in the bye-laws, based on the principles of green buildings. The following parameters are often looked at during building approval stage. P Prescribed forms and documents P Conformity with other acts and regulation P Requirements of site P Amalgamation and subdivision size restricting P Internal road widths in layouts P Common plots P Uses permissible as per road width P Minimum areas of building unit P Permissible FSI P Maximum permissible height P Maximum permissible built-up area
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P P P P
Minimum requirement of marginal open spaces General building requirements Parking Zoning regulations
None of the above parameters directly addresses the sustainable building activity, including aspects such as energy conservation through appropriate building design and technologies, water management, waste water and solid waste management at building level, and use of local building materials. Conclusion Building approval process remains the same in all the urban centres by and large (in the jurisdiction area of formal governance system). However, the checklist followed varies from city to city. The parameters checked as of now, however, do not encompass any of the sustainability parameters in buildings, especially energy related. Any sustainability measures, if introduced by the local government, could well be integrated with this checklist and can be implemented at design stage to some extent.
Existing practices with respect to rainwater harvesting, waste management, and renewable energy at building level
Among the basic features of a green building, there are three aspects rainwater harvesting, waste management, and renewable energy on which there are few efforts and measures already being taken by the government with varying success rates. These measures hold the potential to successfully integrate with the broader agenda of greening the buildings. This parameter has, therefore, been selected for investigation. Water has traditionally been harvested in India with our ancestors perfecting the art of water management. However, with time, modern planners and designers forgot this art of water management and led to a serious water crisis in various parts of the country. There has been a renewed interest taken by individuals and governments (state and city) who have taken some steps in this regard to revive this culture of water conservation. Some governments have been proactive in passing legislations to achieve this. Some such initiatives have been taken in cities like New Delhi, Indore, Hyderabad, and Chennai. States like Haryana have made rainwater harvesting mandatory in all new buildings, irrespective of roof area, whereas Rajasthan has made rainwater harvesting mandatory for all public and establishments and all properties in plots covering more than 500 m2 in urban areas. Indore gives a rebate of 6% on property tax as an incentive for implementing rainwater harvesting systems. However, the success rates of such initiatives vary from place to place. For example, in Hyderabad rainwater harvesting was widely accepted initially but soon people became averse to it due to various reasons. Some of them being the concept have been incorporated in various
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legal documents without any due acknowledgment to the geological strata of the city (which is rocky); maintenance of the pits and storage wells is not done nor there any mechanism to do so. With regard to use of renewable energy, local bye-laws have been developed in many cities to encourage the use of renewable forms of energy. Cities like Bangalore has mandated for SWH (100 litres per day per unit specified) in the following types of buildings: restaurants with a seating/serving area of more than 100 m2 (unit is 40 m2 of seating area); lodging accommodation and tourist homes (unit is three rooms); hostels and guest homes (unit is six-persons capacity); industrial canteens (unit is 50 workers); nursing homes and hospitals (unit is 4 beds); community or convention halls with kitchen and dining facilities (unit is 30 m2 of floor area); and recreational clubs (unit is 100 m2 of floor area). For residential buildings, each single dwelling unit with more than 200 m2 floor area or 400 m2 site area is required to have a 100 litres per day unit, and multi-dwelling units or apartments are required to have 500 litres per day for every 5 units. It has also mandated solar photovoltaics for multi-unit residential buildings (with more than 5 units) for lighting set back areas, driveways, and internal corridors. Similarly, Thane has made it mandatory to install SWH systems on all new buildings and in all buildings to be renovated. It is also now mandatory to install SWH systems in existing commercial or utility buildings, government and semi-government buildings. Cities such as Hyderabad, Rajkot, and Nagpur have also similar provisions. Further to this, few states such as Haryana and Andhra Pradesh have mandated SWH for certain types of buildings and advertisement hoardings. As regards SWM, none of the cities in India has provisions or mechanism for compulsory segregation and storage of generated waste. Recycling is entirely done by the informal waste sector which is not recognized by the formal system (civic bodies). Treatment of biodegradable (organic waste) at household and community level is usually missing. Provisions for construction and demolition waste is completely absent. Construction and demolition waste after salvaging the recyclables like wood and pipes usually goes as debris and/or used for filling of low lying areas. There is no systematic organized system in place to manage such waste.
Conclusion
Rainwater harvesting could be successfully adopted with the right kind of awareness programmes, coupled with mandatory/voluntary regulatory measures in the building codes and bye-laws. However, there is a need also to introduce a maintenance programme to make the system work or else it may fail as in Hyderabad. Also, the geological strata and ground table need to be carefully considered while introducing recharging provisions in the regulations.
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None of the cities have a formal systematic system of managing and reusing/recycling the construction and demolition waste as observed. This needs to be urgently addressed by all cities. Source segregation of generated waste during operational use of buildings is absent and should be integrated at the design stage of buildings. There is an overall interest in RETs (renewable energy technologies). However, the government needs to develop some incentives and/or easy financing to meet the incremental cost of such systems. Given the right kind of push, the use of RETs can take off well.
Use of traditional/vernacular architecture and local building materials

Vernacular architecture is our starting point and is similar to the flora and fauna of a region. It springs from the ground like the wild flowers, perfect in its use of material, sitting and taming of the weather. It also embodies the local lifestyle and its process of evolution is completely unconscious (Kamiya 2003). Vernacular architecture is strongly tied to culture and social traditions. It is built to meet specific needs, while accommodating the values, economies, and ways of life of the cultures that produce them (Oliver 1987). The word vernacular derives from the Latin word vernaculus, which means native. Hence, vernacular architecture refers to native science of building. Vernacular architecture is both regionally and socially specific. Each community over the years develops a prototype that responds to local needs and carries it forward through generations (Oliver 2006). Vernacular architecture is inherently sustainable and uses various passive strategies to create comfortable conditions inside buildings and use locally available materials, thereby using less energy than contemporary buildings. This parameter has, therefore, been chosen as it holds a lot of potential by adapting the best practices of local vernacular architecture and integrating them with modern architecture to achieve sustainability goals.
Conclusion
A universal shift of architecture towards modernism is observed. Vernacular architecture in spite of its advantages and climate-responsiveness has somehow lost its ground in urban centres. There is a need to repackage the local traditional architecture through various measures and propagate their advantages. Locally available materials are sometimes not sufficiently promoted due to the preconceived notions about their quality. Fly ash and other such materials need to be promoted in a better way in places where they are adequately available.
Awareness about sustainability concepts among the building professionals, industry, and users
Sustainable/green buildings have to be necessarily resource-efficient, including energy. Such buildings have to be built and designed in a way to consume less energy throughout its life. This requires that the people who design and build buildings
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building professionals, users, and industry (who create the demand for cost-effective green products and appliances) need to be aware of the benefits and necessity of incorporating energy-efficient concepts in buildings. Awareness is an essential requirement for any initiative/ programme to become successful. A general lack of awareness about the general concept of energy conservation and efficiency, various government policies regarding energy conservation among the users of various kinds of buildings is observed. The awareness among the government officials about various codes like National Building Codes and the newly introduced Energy Conservation and Building Code 2007 is also very limited. The builders to a limited extent know about the advantages of green buildings in some cities like Delhi, Hyderabad, and Mumbai. Big builders are interested to extensively take up various measures to make their buildings greener but look forward to various incentives and measures by the government as the incremental costs are borne by them but benefits goes to the end-users who are not ready to pay extra. In most of the urban towns and cities, passive design for cooling/heating was a part of the vernacular regional architecture. However, it has slowly given way to unshaded, air-conditioned glazed buildings, which are very resource inefficient. The green areas of the urban centres are fast receding, which adds to the urban heat-island effect. Conclusion Passive solar design for heating and cooling is not a regular practice in the urban centres. There is general lack of awareness among the building professionals, as well as consumers, about the advantages of green buildings. The existing market forces also do not promote wider adoption of green products and need immediate remedial measures.
Access to building rating and verification systems

Building rating and verification systems is an effective measure to encourage developers and owners of new and existing buildings to go beyond the minimum. Green building rating and certification systems aimed at rating and certifying the comprehensive environmental performance of buildings are winning broader international acceptance. In Asia alone, such programmes have achieved substantial momentum in the past five years in Hong Kong, Japan, Singapore, Taiwan, India, and South Korea. This parameter has, therefore, been chosen as a sustainability parameter in the given context. Conclusion Rating systems are an important tool to bring sustainability in buildings. India has two rating systemsLEED and GRIHA. However, they are completely unknown in most of the urban centres. Their presence is mostly limited to big metropolitan cities such
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as Delhi, Gurgaon, and Hyderabad. Even in these big cities, the awareness is quite limited among the building professionals.
Cities in transition
The real estate market has been on a growth and expansion phase ever since 2002. The growth in construction sector has been driven by consistent growth of the economy and business, growing incomes, and aspirations as well as efforts from the government and development authorities side such as continued investor-friendly policies, rationalization of stamp duties and a mandate for allowing tax incentives on home loans. The epicentres of the first high-speed growth in this sector was restricted to a handful of metropolitan cities, namely, Mumbai, Delhi, Bangalore and to some extent in Hyderabad. However, over the last few years there has been an extraordinary growth in some three dozen smaller locations such as Pune, Kolkata, Ahmedabad, Chandigarh, state capitals, district towns and other smaller locations. As regards sustainability in buildings is considered, the trend has been same in metropolitan big cities as well as small towns and cities where there is a growing replication of buildings symbolic of big centres till some time ago. Thus, there is an urgent need to strongly propel a green building programme across the country as a whole.
Recommendations
There is a lot of scope to improve the energy efficiency and overall sustainability of the buildings sector in India. Given the current rate of growth in construction industry, which is above 10%, there is an urgent need to direct this development towards the path of sustainability. Green buildings as mentioned earlier not only improve the energy and resource efficiency of buildings, they also reduce the GHG emissions. Solutions are there in bits and pieces, but they all need to be organized and implemented in a planned way to achieve the desired objectives. The following recommendations are, therefore, given to guide the building sector in India to achieve overall sustainability. P Policy instruments P Implementation strategy P Financing P Capacity building P Education and awareness P Public private alliances, corporates and role of government bodies in capacity building and market transformation P R & D in new construction technologies and materials and establishment of testing labs P Enforcement and monitoring
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P Baseline development P Indicators
Policy instruments
Policy instruments, if properly implemented, are the cheapest and most effective option to bring sustainability in buildings sector. There are more than 30 policy instruments in use across the globe to improve energy efficiency and sustainability in buildings sector. These instruments can be classified into the following four broad categories.
Category A: Control and regulatory instruments

Defined as laws and implementation regulations that require certain devices, practices or system designs to improve energy efficiency (IEA 2005). These instruments could be further regulatory normative or regulatory informative. Normative P Appliance standards P Building codes P Procurement regulations P Energy-efficiency obligations and quotas Informative P Mandatory audits P Utility demand-side management programmes P Mandatory labelling and certification programmes
Category B: Economic and market-based instruments

As the name suggests, these instruments are based on market mechanisms and contain elements of voluntary participation, for example, energy performance contracting, energy-efficiency certificate schemes, JI (Joint Implementation), and CDM (Clean Development Mechanism).
Category C: Fiscal instruments and incentives

Such instruments are aimed at correcting energy prices or providing financial support to overcome cost barriers.
Category D: Support, information, and voluntary action

Such instruments are aimed at informing consumers and persuading them to change their behaviour and attitudes. An attempt is further made to analyse these four categories and their subcategories of policy instruments, their existing status in the country, effectiveness, cost effectiveness, conditions for success and major constraints and scale of operation/action and presented in Table 2.
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Based on the table, a combination of measures should be employed at various levels to achieve the desired objectives. A brief detail of the various policy instruments is given in Annexure 2.
Implementation strategy
An attempt is hereby made to make efforts at both federal and city level. To implement a combination of the above mentioned policies, the following are recommended at the national, state, and ULB level.
National level
P A national green building policy is required, which can be made part of the National Urban Policy by the MoUD. A model legislation should also be introduced at the national level with scope for all states to make their own state-specific changes. P All new construction in all the central government ministries should necessarily follow green buildings principles. For example, Indian Railways, under the Ministry of Railways, deals with one of the largest rail networks in the world. All the construction by this huge ministry should be based on green building concept. This ministry can develop its own exclusive policy framework for various types of construction (such as railway platforms, commercial complexes, residential quarters, and sheds). This can go a long way in propagating green buildings. Similarly, the Ministry of Defence should also issue a circular or make mandatory provision that all new construction in their purview be based on green buildings and have a phased plan for the retrofits of the existing structures as well. P All the existing buildings of central government ministries should undergo energy and water audits and implement the recommendations in a limited time-frame.
State level
P Each state should adopt the national model legislation on green buildings and ask all the development authorities to prepare/modify the building bye-laws by incorporating green building principles. The state should also issue a statutory order to make a mandatory provision that all public buildings to be built in future will be green buildings (at least ECBC compliant) and to make a plan for energy and water audits of all prominent government buildings, which should be retrofitted with energy and water-conserving measures. Box 1 Financial incentives in the US
Nationwide incentives for energy-efficiency improvements in buildings, such as home energy-efficiency improvement tax credits, business tax credits for commercial buildings, business credit for energy-efficient new homes, tax deduction for energy-efficient commercial buildings. Source http://www.energy.gov/taxbreaks.htm
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Table 2 Comparative assessment of various policy instruments

Cost Effectiveness effectiveness Conditions for success, major strengths, and limitations Scale of action
Policy instrument
Current status
Control and regulatory mechanisms-normative instruments High High Appliance standards Not existing
Requires periodic update of National standards, independent control, information, communication and education Needs strong implementation and support structure. No incentive to improve beyond target
Building codes
Exist but energy High component missing; other green elements not integrated such as water and waste management at buildings level Not existing High
Medium
Procurement regulations
High/medium Needs enabling legislations, City level energy efficiency and water efficiency labelling and testing High City level
Energy efficiency obligations and quotas
Not existing
High
Regulatory-informatory instruments Mandatory labelling and certification programmes Mandatory audit programmes Exist in voluntary form High High Need to be combined with other instruments for increased effectiveness City level
Mandatory for certain energy consumers
Diverse
Medium/High Most effective if combined National, with other measures such as state, and financial incentives, regular city level updates and implementation of suggested measures; audit programs should also include water audits High Most cost-effective in the National, commercial sector; need to be state, and combined with regulatory city level incentives, adaptation to local needs and market research
Utility demand-side management programmes
In proposal stages in few states
High
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Table 2 Contd...
Cost Effectiveness effectiveness Conditions for success, major strengths, and limitations Scale of action
Policy instrument
Current status
Economic and market-based instruments Energy performance contracting Exist in nascent stages Variable Medium/high Slowly picking up due to absence of mature financial sector willing to lend, unsubsidised energy prices and supportive legal, financial, business environment. National and state level
Cooperative/ technology procurement
Few examples
Variable
High/medium Combination with standards National and labelling, need to choose level products with technical and market potential Not known Tried in Australia, France and National, Italy with mixed results; state level, suitable for countries which city already have a trading scheme for renewable energy Very limited number of such National projects in buildings; need project bundling, simplified National methodology, information and awareness about CDM
Energy efficiency certificate schemes
Does not exist
Medium
Kyoto flexibility mechanisms (JI and CDM)
Exist
Low
Low
Fiscal instruments and incentives Taxation (on CO2 or household fuels or water consumption and waste generation) Tax exemptions/ reductions Low/ Does not exist for CO2; water tariffs are medium very low and do not reflect the actual cost Exist in some states High (for renewable only) Low Cannot be used as energy National, prices are subsidized; should state be used for water conservation, waste management If properly structured, stimulate State, city introduction of highly efficient equipment; water-saving fixtures, decentralized waste management, more use of renewable energy at building level, low embodied energy materials, and so on
High
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Table 2 Contd...
Cost Effectiveness effectiveness Medium High Conditions for success, major strengths, and limitations Scale of action
Policy instrument Public benefit charges
Current status Does not exist
Need independent National, administration of funds, state regular evaluation/monitoring and feedback, multi-year programmes Very effective in residential National, sector to overcome the high state, city first cost barrier; risk of free riders; should be short term and targeted at specific groups
Capital subsidies, grants, subsidized loans
Does not exist;
High/medium Low, sometimes high
Support, information, and voluntary actions Voluntary certification Exist and labelling Variable High Need mandatory labelling, more testing centers, trained people to do the certification National, State
Public leadership programmes
Exist for energy audits of key govt. buildings including the Presidents house
variable
High/medium Mandatory programmes have National/ higher potential than voluntary state/city ones. Can be used to demonstrate new technologies and practices.
Awareness raising, education, information campaigns
Very little efforts as Low/medium Medium/high More applicable in residential National/ of now sector than in commercial state/city sector.
Source Based on UNEP SBCI (2007)
P Procurement legislations for energy- and water-saving equipment, appliances, and fixtures should be introduced for all public buildings in at least Class I and Class II cities by the state government. P Each development authority should amend the building bye-laws of municipalities and corporations coming under their respective jurisdiction in a defined time-frame.
ULB level
P As discussed in earlier sections, the existing policies, incentives, and other measures related to various aspects of building sector are divided between many government
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P P P
departments at national and state level with no representation at city level. There is therefore, an urgent need to make necessary arrangements to coordinate various policies at city level as well. Building bye-laws and codes need to be revised and rewritten at ULB level, integrating aspects of green buildings (stated in the earlier section and also discussed in the subsequent section on Framework for broad guidelines/bye-laws amendments at ULBs) and ECBC and various policies at the federal level. This should be done in consultation with all the stakeholders. These regulations should include a combination of mandatory rules and voluntary guidelines such that minimum energy performance standards should be compulsory for all new buildings with flexibility in the ways to achieve the same. A minimum energy performance/prescriptive requirement should be made mandatory at least for commercial buildings and for high-rise and big residential buildings with a built-up area greater than some range. Apart from these minimal mandatory requirements, building certification system (such as GRIHA) should be popularized to recognize high-performance buildings. Financial, height and/or density bonuses could be provided to all GRIHA-rated buildings. Benchmarking and certification of buildings at the time of rental and sale should be put into place and initially should be made mandatory for all commercial buildings with a built-up area above a certain range. To begin with, the certification system should be simple and just a quantitative assessment of total energy consumption over the year per square metre. Mandatory and subsidized audits (energy and water) should be done for already existing public buildings, followed by high- efficiency retrofit to make them role model/ demonstration projects. Mandatory audits could be done for industrial and commercial buildings above a certain built-up area and energy use. Voluntary audits of other private buildings should be incentivized through appropriate measures. A new wing should be created in the local government, especially dedicated to green buildings or the existing units of energy efficiency cells should be converted (wherever present) to a holistic sustainability cell. This wing would take inputs from building centres (wherever available), research centres, state-designated agencies of new and renewable energy, besides giving building approval. The cell would also get inputs from the sustainability cell at state level (for details, refer chapter on Governance). Builders are apprehensive of the incremental cost they bear to build green buildings whose benefits automatically get transferred to the consumers. This could be overcome once there is enough demand in the market for green buildings, which is possible through market transformation and a strong education and public outreach programme.
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P Action points for small cities/towns: The building sector in small cities/towns is characterized by more non-air conditioned buildings, often designed by nonarchitects. Such cities and towns also have lesser number of trained professionals. Their ULBs have smaller budgets, and their capacity to bring changes at one go is restricted. Under such circumstances, the following recommendations are, therefore, suggested. To make necessary changes in the bye-laws incorporating the principles of green buildings (by the concerned development authority), which should be very simple and implementable. Priorities could be energy efficiency, SWH, water conservation, and disaster preparedness, depending on the city/towns specific requirements. Minimum prescriptive energy performance of the building should not be introduced in the first stage of implementation. After a span of five/ten years in stage two, it can be introduced. A small cell of trained green building professionals (one of them necessarily being an architect) is suggested to be appointed at the ULB level. This cell will give free advice and guidance to people attempting to make green buildings.
Framework for broad guidelines/bye-laws amendments at ULBs

The broad guidelines for framing the sustainable building bye-laws based on the analysis of the existing situation in Indian cities and conclusions drawn from implementable international and national best practices are discussed as under.
Water, sewerage and storm water

Water P Implement designs to use water more efficiently through improved indoor fixtures. Minimum efficiency regulations to be introduced as part of building regulations Efficiency labelling of water fixtures, could be taken at the national level. In the absence of this, a database of common products with their efficiency can be maintained by the local government (implementing agency). P Encourage independent provision of water resources, including rainwater harvesting and grey water reuse. Water recycling and reuse regulations Mandatory rainwater capture and storage, wherever applicable based on the geological strata and hydrological conditions of the city Box 2 Energy advice services in Austria
Austria offers energy advice services to private households that are on the point of making a decision about an investment. This, combined with financial incentives, has been very effective in raising the overall energy-efficiency achievements.
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For mandatory rainwater capture and storage, supporting instructions, and guidelines of best practices and maintenance should be provided. P Develop programmes to minimize sedimentation and improve run-off water quality from construction waste disposal. Mandatory design for waste-water disposal during construction before building permits are issued. Sewerage P Encourage decentralized sewage collection and treatment (This should be made mandatory in all towns and cities with inadequate centralized sewage treatment systems for townships, gated developments, and larger buildings generating sewage greater than 10 kilolitres per day. Standards for onsite STPs (sewage treatment plants) should be set. P Reuse of grey water for irrigation or flushing should be increased, so as to reduce the total volume of waste-water reaching the citys sewage system; this could be incentivized. P Recommend minimum gradients and pipe sizes for connections to the main sewers. P Increase simplicity of the layout of the drainage system. P For townships and neighbourhood-level development where sewage is not available, mandatory provision of decentralized sewage management system by the developers. P For buildings with septic tank system, mandator y guidelines for the specifications, layout, and management of the generated water are needed. Storm water P Encourage infiltration devices to allow water to soak into the ground, which can include individual soak ways and communal facilities. Storm water fees could be introduced, which could be reduced for permeable surfaces like green roofs or soak ways. P Increase provisions for filter strips and swales, which are vegetated features that hold and drain water downhill mimicking natural drainage patterns P Include filter drains and porous pavements to allow rainwater and run-off to infiltrate into permeable material below ground and provide storage if needed. P Decrease impervious surfaces as much as possible through innovative material choices and designing landscaping appropriately, for example, reduce property taxes for buildings with green roofs. Total paved area should not exceed 25% of the site area.
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P Site layout and surface water drainage systems should cope with events that exceed the design capacity of the system, so that excess water can be safely stored on or conveyed from the site without adverse impacts. P Through waste-water-related bye-laws, increase capacity of treatment onsite, so as to reduce the enormous burden on municipal STPs during storm surges. P Through waste-related bye-laws, reduce improperly disposed waste, so as to reduce blockage of storm-water drains.
Waste
P Include space within commercial and domestic buildings and communities for waste segregation at the building and community level. Mandate provision of waste segregation facilities P Reducing the amount of construction rubble dumped onto private and public lands. Mandate for storage, collection, and disposal of construction waste. Encourage reuse of concrete and masonry materials in non-structural applications P Encourage large and mid-scale developments to treat their own waste, including sewage waste, biodegradable, and tie up with recycling agencies/informal waste recycling sector.
Energy
P Develop the local building bye-laws based on the climatic parameters of the city, as well as existing building guidelines from ECBC, NBC, and the national GRIHA design tool. P Incorporate traditional/vernacular architectural practices with latest technology and design (this could be incentivized and/or adequately propagated). P Reduce the dependence on the existing electricity grid by onsite and building integrated renewables. Provide incentives direct subsidies, feed-in tariffs or tax reductions for integration of solar or other renewables. P Increase energy efficiency of new construction through design measures and efficient installed appliances. P Building rating systems (such as GRIHA) could be incentivized for commercial and high-rise buildings (energy guzzlers such as hotels, shopping malls, and large institutions could be mandated to go for rating systems). P Increase adoption of proven technologies, especially SWH through implementation measures proven in India and internationally. P Reduce heat absorption through cool roofing materials Provide incentives for green roofs, reflective paints or other cool roofing methods. P Encourage energy analysis before building approval is given for large constructions (construction greater than 500 m2 of built-up area.
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Pollution
P Preservation of existing landscape and protecting it from degradation during the process of construction by following sedimentation and erosion control measures P Use of physical barriers/ dust screens (bamboo framework with reused gunny bags) to reduce air pollution outside the construction site P Preservation of topsoil and reapplication after construction P Providing air pollution shelterbelts to protect sensitive land uses from air pollution P Reducing indoor air pollution by regulating material usage Limit specific ozone-depleting chemicals or substances with high GWP (global warming potential). Limit use of paints and sealants with high VOCs (volatile organic compounds) Encourage alternatives to PVCs in siding and piping. P Reducing noise pollution Mandate acoustic insulation for external and/or internal surfaces.
Materials
P Use of materials locally available / climatologically appropriate / renewable/ recyclables/ low embodied energy building materials need to be incorporated in the bye-laws (could be a set of mandatory and voluntary guidelines or appropriately incentivized) and the following parameters need to be considered. Composed of renewable rather than non-renewable resources; Should be environmentally responsible because impacts are considered over the life of the material; Climatologically more appropriate; Efficiency and durability on par or greater than conventional building materials
Disaster preparedness
Based on the vulnerability of the city/urban centre to natural disasters such as earthquake, landslide or flood, the bye-laws should have appropriate components on design considerations. For instance, all cities and towns falling under Zone V to Zone III of earthquake vulnerability (very high damage risk to moderate damage risk areas) bye-laws should mandate the following. P IS: 1893-2002 Criteria for Earthquake Resistant Design of Structures (Fifth Revision) P IS:13920-1993 Ductile Detailing of Reinforced Concrete Structures subjected to Seismic Forces - Code of Practice P IS:4326-1993 Earthquake Resistant Design and Construction of Buildings - Code of Practice (Second Revision) P IS:13828-1993 Improving Earthquake Resistance of Low Strength Masonry Buildings -Guidelines
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P IS:13827-1993 Improving Earthquake Resistance of Earthen Buildings Guidelines P IS:13935-1993 Repair and Seismic Strengthening of Buildings Guidelines P Where new structures are proposed for improvement of civic facilities, all such structures should be designed to be earthquake resistant as per the above BIS (Bureau of Indian Standards) codes.
Neighbourhood-level regulations
P Besides the above amendments, certain regulations need to be put in place for new gated developments, townships, and so on, such as the following. The layout of roads should be based on the micro-climatic conditions and facilitate solar passive buildings. Provision of basic local amenities as per the UDPFI (Urban Development Plan Formulation and Implementation) guidelines to minimize private vehicle use Promotion of pedestrian pathways, bicycles, electric vehicles through planning interventions Zero discharge of sewerage Micro-level watershed management and storm water management through SUDS (Sustainable Urban Drainage System) Site for solid waste communal storage, processing of organic waste, and segregation of recyclables Appropriate plantations to check noise and air pollution Integration of renewable if possible Provisions for rainwater harvesting and SWH for the entire layout
Financing
To accelerate the process of green building movement, all ULBs need enough financing apart from various policy instruments to incentivize, build capacity and popularize the movement. Some of the existing mechanisms that could be roped in to get finances are briefly mentioned below. Besides these, ULBs also need to have out-of-box solutions such as a cor pus fund to have self-dependence in furthering the green building movement in their domain areas. Schemes like the JNNURM (Jawaharlal Nehru National Urban Renewal Mission) should have a component on buildings, as this is a ver y basic infrastructure and has strong interlinkages with other basic services (already covered under the programme). Cities can then apply for green-buildings-related projects (meeting a set of criteria) under the JNNURM.
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Solar city project This is an MNRE scheme targeting 60 cities in the Eleventh Five-year Plan, with each applying city getting a maximum grant of Rs 5 million. Some funding could be taken from this project by ULBs. MNRE incentives The MNRE provides various incentives to promote the use of renewable energy in buildings. These incentives are presented in Table 1. These need to be popularized at the ULB level. The proposed sustainability cell at ULB level could advise consumers on possible ways to avail of such schemes. Carbon trading The effectiveness of carbon trading in the building sector is much lower than expected (Novikova, Urge-Vorsatz, and Liang 2006), because of the high transaction costs for demand-side projects, which are mostly small and fragmented in this sector. Knowledge gap of carbon trading is also there. To overcome these barriers, there is a need to increase awareness about the potential for CDM benefits and to bundle CDM building efficiency programmes. Sustainable Habitat Mission (National Action Plan for Climate Change, 2008), which is under preparation, will also have funds that can be availed of by the respective organizations (For more details of this mission, refer to section Analysis of sustainability parameters). Fiscal and financial incentives could be given by various financial institutions. The state government should regularly update the city governments on various incentives given by ministries at central level for green buildings and products/ technology. Corpus fund A corpus fund should be attempted to put up at each urban local body. Large MNCs (multinational corporations) and industries in and around the cities could be encouraged to give the initial fund through their CSR (corporate social responsibility) policies. The penalties for non-compliance of various green building norms should also go to this fund. The fund will be mainly targeted to incentivize the green buildings programme. Differential property tax system Property tax, which is one of the main sources of municipal income, could be changed to differential property tax system, wherein users who incorporate green buildings features could be offered some rebate in the property tax.
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Capacity building
Capacity building of the respective organizations at state and city level to implement the various policy measures needs to be strengthened. This will include appointment of more professionals with adequate expertise to check the compliance of the new building bye-laws and also regular training programmes for the evaluators and officials on the aspects of green buildings, various codes, including the ECBC.
Education and awareness

Lack of technical, economic, and general knowledge related to green buildings is one of the major obstacles observed in propagating the green building concept. Besides, it is also observed that once a demand for green buildings is created, it will also create a market system supportive of investing in green buildings, thereby overcoming a major barrier of finance (as green buildings have higher incremental costs to some extent). Demand creation of green buildings should be well supported by an adequate focused programme of education and awareness. State government websites and city government websites (in case of big cities) should be linked to a dedicated section on green buildings. The site should give relevant information on the benefits of green buildings, building codes, ECBC, bye-laws, technical guidance for designing and constructing green buildings, green products available in the market and their payback period, BEE-labelled products, list of certified auditors, designers and consultants giving such services and a brief of major demonstration projects in the state and country. A small checklist on the website showing the dos for making a green building, would be very helpful. The checklist will have sections on the following. P Site selection P Site planning P Envelope design (wall, roof, and fenestration) P Air conditioning and lighting P Renewables P Water and waste management P Materials One of the barriers in propagating green buildings is lack of adequate number of professionals, architects, engineers, plumbers, urban planners and contractors, educated and trained to build green buildings. To overcome this, there is a strong need to integrate courses with various college curricula. Institutions like IITs (Indian Institute of Technology), NITs (National Institute of Technology), Council of Architecture, Association of Engineers, and Institute of Town Planners could be involved to offer the new or redefined courses.
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Outreach programmes targeting schools are also a strong tool to reach young minds. An extensive consumer awareness programme focused on economic and environmental benefits from green buildings should be launched though various media like radio, television, hoardings, and print media. Green building awards The state urban development department can recognize the meritorious and exemplary work done by various types of energy users by giving green building awards (in various categories like building types and design team/construction team) in the public and private sectors. Annual green building conference The state urban development department can organize and conduct an annual green buildings conference; the forum will also showcase various green products, labelled appliances, and so on.
Awareness programme for government departments and undertakings

This should be taken up extensively by the state urban development department in association with the state nodal agency for new and renewable energy. It will educate and inform officials in various state government departments and development authorities. The outline of the activities could be as follows. P Preparing green building tips TIPS/captions and posters using a professional advertising agency P Advertising in the print media and in television in regional language/Hindi/English P Advertisements through state transport systems P Providing posters to all state offices and housing, electricity, water, and other revenue collection offices P Developing training material for different groups. P Training programme for all the municipal corporations, municipalities, and other local government bodies, which will be directly engaged in implementation of the green building programme P Promoting energy efficiency and green products/ equipment at major consumer exhibitions P Preparation and dissemination of case studies and success stories of green building projects in residential and commercial sectors
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Publicprivate alliances, corporates, and role of government bodies in capacity building and market transformation
Publicprivate alliances have a strong potential to strengthen the capacity building and transforming market for promoting green buildings. Industry associations and NGOs, in partnership with various government organizations, can become a catalyst in shifting the market towards sustainable buildings. Market transformation is a holistic, market-based approach designed to promote the manufacture, purchase, and use of sustainable/green products, services, and/or practices. At its core, it is an integrated and dynamic strategy that coordinates separate technology push and market pull policies and programmes to produce a permanent shift in the target market. Market-oriented approaches are aimed at the improvement of communications between players in the target market such as governments, manufacturers, retailers and consumers. It attempts to remove the five barriers to buying green by the consumers lack of awareness, negative perceptions, distrust, high prices, and low availability. The goal of market transformation is to create structural and behavioral changes in the marketplace that are self-sustaining over time and ultimately deliver the following. P Increased market share for energy-saving and resource-saving products, services, and practices P Accelerated deployment of the most efficient technologies P Reduced long-term dependence on public funds as a means to promote sustainability in buildings P Lower energy use, water use, material use, and GHG emissions. Development and implementation of a regulatory push, which establishes and enforces legal minimums, and a complementary pull from market-based, non-regulatory mechanism, which increases awareness and stimulates investment in performance beyond legal requirements, is the most efficient policy mix to guide sustainable/green building movement (ABC 2007). Such mix includes a policy mix of policy instruments as discussed in an earlier section (Table 2). P Besides the above measures, government organisations and other private organisations can also work in developing the required capacity building for mobilising green building movement. Organizations such as Construction Industry Development Council (CIDC), National Real Estate Development Council (NAREDCO), Builders Association of India, Confederation of Indian Industry, and TERI, have the potential and the required capacity to work towards this agenda of capacity building in their own ways. The efforts need to be streamlined and focused.
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The corporate players in the private sector can also find strategic business opportunities in promoting sustainability in the residential and commercial sector. Some of these are as follows. P Producers may manufacture and promote resource-efficient appliances such as bulbs and other lighting equipment, fans, coolers, ACs, refrigerators, and geysers, waterefficient fixtures, and materials with lower embodied energy. P Corporates can commit themselves to turn their offices and industries as green buildings. P Financial institutions can work out innovative financing packages for green buildings/ retrofits. P MNCs can work on technology transfer for efficient equipment. P Testing, certification, and labelling of various products as recommended under the ECBC could be taken up on priority by the private sector. P Training/capacity building, and awareness campaigns could be taken up for in-house employees, as well as CSR activities. P Operation and maintenance protocol for all equipment that consumes energy and water should be in place. P Regular energy and water audits and performance enhancement should be mandated P Purchase preference policy for labelled and green products (ACs, refrigerators, tube lights, water fixtures) should be incorporated.
GHG inventory programme of industries and corporates

The GHG inventory programme allows companies to consistently and credibly monitor their emissions. Emissions are related to the way these industries and buildings are built and operated. The Indian Industry launched a national-level GHG inventorization programme in Delhi, India, on 28 May 2008 and is a partnership between the CII (Confederation of Indian Industry), the US EPA, and the WRI (World Resources Box 3 Japan: the Top Runner Programme
The TRP (Top Runner Programme) was introduced in 1998 for the energy conservation standards for home/office appliances and the fuel economy standard of automotives. It searches for the most efficient model in the market and then stipulates that the efficiency of this top runner model should become the standard within a certain number of years. By the target year, each manufacturer must ensure that the weighted average of the efficiency of all its products in that particular category is at least equal to that of the Top Runner model. This approach eliminates the need to ban specific inefficient models from the market. At the same time, manufacturers are made accountable and most importantly, they are stimulated to voluntarily develop products with an even higher efficiency than the Top Runner model. From 2006, the standards under the TRP are applicable to 21 types of equipment and heavy duty vehicles as follows-air conditioners, electric refrigerators, electric freezers, electric rice cookers, microwave ovens, fluorescent lights, electric toilet seats, TV sets, VCRs, DVD recorders, computers, magnetic disk units, copying machines, space heaters, gas cooking appliances, gas water heaters, oil, water heaters, vending machines, transformers, and passenger/freight vehicles. Source http://www.eccj.or.jp/index_e.html)
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Institute). Currently, 45 member companies have joined the programme. If successful, the programme will be a crucial step in establishing a national model on emissions accounting, and in creating business and institutional capacity to undertake comprehensive GHG inventories and programmes that can serve multiple business objectives nationally as well as globally, besides indirectly propagating the green building movement. Efforts should be made to give a fillip to this programme and more industries and other establishments should be made a part of this programme. It is, therefore, recommended to enforce appropriate combination of policy tools and streamline the existing organizations public and private towards the broader objective of market transformation to enable green buildings programme and also to build association with industry, private organizations and government to promote green buildings. Corporates can also play a strong role in pushing the market towards sustainability.
R&D in new construction technologies and materials and establishment of testing laboratories
For the successful implementation of various bye-laws and building codes targeted at making buildings more sustainable and energy efficient, it is essential that green building materials, equipment, and systems are available, tested, and reasonably priced. This requires significant investment in research and development, coupled with various government and non-government programmes to push the market forward at a faster pace. Some of the areas which could be taken up for R&D are as follows. P Development of simulation software to predict the energy used in buildingsa simpler version for residential, and a more detailed and complex one for commercial and apartment buildings (The software should also cater to the retrofit part.) P Energy-efficient technologies like hybrid and low-energy systems, innovative HVAC technologies, and so on P Building integrated renewable energy systems P Development of energy-efficient appliances and products P Low-cost water efficient fixtures and faucets, sewage treatment plants of varying capacities, biodegradable waste management, and so on P LCC (life-cycle cost) analysis of various materials, equipment, and appliances Organizations that could be engaged in taking up such projects are educational institutions like IITs, NITs, private engineering colleges, TERI University, building centres, BMTPC (Building Materials and Technology Promotion Council), and the central research institutes. Besides meeting the R&D requirements, there is also an urgent need for more testing labs for testing the performance of various materials, window systems, roofing systems, envelope performance, and HVAC systems in the country. It is, therefore, proposed to set up such labs at the above-named organizations
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(supported by the Government of India). The labs shall provide testing facilities for various applications such as P provide direct comparative performance of alternative window systems; P determine effective U-values and solar heat gain factors under realistic conditions of fenestrations, envelope, and so on; P measure energy performance of new window technology for which calculations are unavailable or unreliable; and P measure COP (co-efficient of performance) of HVAC systems under Indian conditions.
Enforcement and monitoring

Once, prescriptive requirements for making green buildings become a part of general building standards/bye-laws, enforcement and monitoring of these become the next big challenge. A strong enforcement system for making the bye-laws effective need to have the following. P An institutional framework with clearly defined authority and well-trained officials. To train the various government authorities and their officials, extensive training programmes need to be held (with regular updates as required) by organizations such as TERI, CII- GBC (Confederation of Indian Industry-Green Building Council). P Detailed compliance requirements P An appropriate combination of incentive and penalty mechanisms P Effective monitoring and verification systems P Effective education and awareness programme Above all, it requires a strong political will to enable the enforcement and monitoring mechanism.
Baseline development
Before setting any targets and to effectively implement the green buildings programme, development of a baseline and benchmarking for various typologies of buildings, both air-conditioned and non-air-conditioned and mixed types in each city/town are prerequisites. A building bye-law has to make some mandatory compliance of minimum benchmarks for building performance. To achieve the same, the following are recommended. Phase 1: In Phase 1, all cities and towns could link their built-up area (property tax data) and electricity consumed (utility) and develop a certain benchmark/baseline for various building typologies. Main typologies suggested are P Commercial buildings (AC) P Commercial buildings (non-AC)
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P P P P P P
Shopping malls Markets (mix of AC and non-AC space) Residences (AC) Residences (non-AC) Apartments Schools, colleges, and educational institutes
Phase 2: In Phase 2, each city based on its size and capacity to fund this exercise should go for a baseline development of various building types and uses based on a detailed survey. Adequate sample size should be selected and actual field measurements should be taken for this exercise (Jain, Gaba, and Srivastava 2007). If a city has or proposes to build GIS (geographical information system) maps for various service provisions, a layer could also be created stating building typology and link it with the achieved EPI (Energy Performance Index). This will give spatial information, as well as information by ward and by area, which will be very helpful for various policy decisions. Targets suggested for Class I cities P To reduce the EPI4 of at least 50% of all newly built commercial buildings by at least 25% from the base casePhase I (5 years) P To reduce the EPI of at least 25% of all newly built residential buildings by at least 20% from the base casePhase I (5 years) P All commercial buildings to have 100% water conserving fixtures and faucets (Phase I and II) P All public buildings (new) to be green buildings P 1% of the connected load, if coming from renewables, to be incentivized (target: at least 15 buildings in the first 5 years) P Energy and water audit of the prominent existing public buildings P Implementation of the retrofit program based on the above (target 25% buildings in the first 5 years)
Targets suggested for Class II cities and below

P To reduce the EPI of at least 25% of all newly built commercial buildings by at least 25% from the base casePhase I (five years) P To reduce the EPI of at least 15% of all newly built residential buildings by at least 20% from the base casePhase I (five years) P 25% of new commercial buildings to have water conserving fixtures (Phase I)
EPI gives a measure of the total electricity consumed per m2 by a building annually and measured in kWh (kilowatthour)/ m2 /annum.
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P All new public buildings to be green buildings and should also have some renewable energy system P Retrofit of 5% of the existing public buildings (first five years)
Indicators
Indicators are the first, most basic tools for analysing change in society. They are a good measure for assessment of any service delivery, including analysing the progress made in building green buildings. Currently, there is no attempt at ULB level to gauge the progress in the greening of buildings. Having this need for indicators, an attempt has, therefore, been made to develop a set of basic indicators. The indicators for buildings are different from the rest of the services such as water supply, solid waste management, storm-water drainage, and urban transport, as this sector is completely dependent on market forces. Table 3 lists the suggested indicators and their potential to integrate with the existing institutional setup.
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Table 3 Indicators in the context of sustainable buildings

Frequency of Lead data collection agency Decadal Annual Annual Annual Annual Every five years Every five years Annual Annual Ministry of Home Affairs ULB/development authority ULB/development authority ULB/development authority Existing status Can it be integrated with the existing set up?
Indicator No. of houses vs households Percentage of new residences Percentage of new non-residential buildings Percentage of retrofitted residences Percentage of retrofitted non-residential buildings EPI of new residences EPI of new nonbuildings Percentage of GRIHAcertified buildings Percentage of LEEDcertified buildings
Yes (Census) Yes Yes Yes, if retrofit programmes are incentivized Yes, if retrofit programmes are incentivized Has to be done for the particular city depending on the climatic zone. Has to be done for the residential particular city depending on the climatic zone. Yes Yes Yes Yes
Urban local body/ development authority ULB/development authority ULB/development authority Development authority Development authority ULB/development authority ULB/development authority
Percentage of green public Annual buildings and their average EPI Percentage of buildings employing RETs Annual
EPI Energy Performance Index; LEED Leadership in Energy Environment Design; GRIHA Green rating for Integrated Habitat Assessment; RET renewable energy technology Note Details of these indicators are given in Annexure 1.
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Annexure 1
Indicator No. of houses vs households Unit Number Definition Total number of households having individual house available in the ULB
This parameter primarily is an indicator of the housing shortage and demand in the urban centre. Ideally, this ratio should be one. The more it is less than 1, graver is the situation with respect to housing and is indicative of the potential growth in new residential construction Data requirements a) Total number of households in the ULB limits b) Total number of houses in the ULB limits No. of houses vs households Percentage of new residences Number Number Number %
=(b/a) Total built-up area of new residences as percentage of the total built-up area in the ULB limits
This parameter when measured annually will show the trend of built-up residential area being added annually in the ULB limits and is an indicator to track the trend of building construction in residential sector Data requirements a) Total built-up area in the ULB limits b) Total built-up new residential area in the ULB limits Area of new residences vs total built-up area in the ULB Percentage of new non-residential buildings m2 m2 Number %
=(b/a)*100 Total built-up area of new nonresidential buildings as percentage of the total built-up area in the ULB limits
This parameter when measured annually will show the trend of built-up non residential area being added annually in the ULB limits and is an indicator to track the trend of building construction in non-residential sector Data requirements a) Total built-up area in the ULB limits b) Total built-up new non-residential area in the ULB limits
m2 m2 =(b/a)*100 Number of residences retrofitted for energy efficiency and water efficiency in the ULB limits as percentage of the total number of existing residences
Area of new non-residential area vs total built-up area in the ULB Number Percentage of retrofitted residences %
This parameter when measured annually will show the trend of retrofits on the lines of green buildings in the existing residences. Higher the percentage the better is the situation.
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Indicator Data requirements a) Number of existing residences b) Number of retrofit residences Percentage of retrofitted residences Percentage of retrofitted non-residences
Unit
Definition
Number Number % %
=(b/a)*100 Ratio of the number of nonresidences retrofitted for energy efficiency and water efficiency and the total number of existing nonresidences in the ULB limits
This parameter when measured annually will show the trend of retrofits on the lines of green buildings in the existing non-residences. Higher the percentage the better is the situation Data requirements a) Number of existing non-residences b) Number of retrofit non-residences Percentage of retrofitted non-residences EPI of new residences Number Number % kWh/ m2
=(b/a)*100 It is a measure of the total electricity consumed per sq. metre by a building annually. An average EPI will be calculated for all the new residential buildings under two categories of air-conditioned and non air-conditioned
This parameter will indicate whether the EPI is reducing or not. Lower the EPI than the baseline EPI of residences, better it is. EPI for air-conditioned and non air-conditioned buildings will be different. Data requirements a) Electricity used by each new residence annually b) Built-up area of the residence EPI of residence (E) EPI of new residences EPI of new non-residential buildings kWh m2 kWh/ m2 kWh/ m2 kWh/ m2
=a/b =average of all the Es It is a measure of the total electricity consumed per sq. metre by a building annually. An average EPI will be calculated for all the new non-residential buildings under two categories of air-conditioned and non air-conditioned
This parameter will indicate whether the EPI is reducing or not. Lower the EPI than the baseline EPI of nonresidential buildings, better it is. EPI for air-conditioned and non air-conditioned buildings will be different.
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Indicator Data requirements a) Electricity used by each new non-residential building annually b) Built-up area of the building EPI of building (E) EPI of new non-residences Percentage of GRIHA certified buildings
Unit
Definition
kWh m2 kWh/ m2 kWh/ m2 %
=a/b =average of all the Es It is a measure of the total number of GRIHA certified buildings as percentage of the total number of buildings
This parameter will give an indication of the number of environmentally rated buildings. Higher percentage will show a healthy trend of green buildings Data requirements a) Total number of buildings within the ULB limits Number b) Total number of GRIHA certified buildings within the ULB limits Number Percentage of GRIHA certified buildings % Percentage of LEED certified buildings %
=(b/a)*100 It is a measure of the total number of LEED certified buildings as percentage of the total number of buildings
This parameter will give an indication of the number of environmentally rated buildings. Higher percentage will show a healthy trend of green buildings Data requirements a) Total number of buildings within the ULB limits Number b) Total number of LEED certified buildings within the ULB limits Number Percentage of LEED certified buildings % Percentage of green public buildings and their average EPI
=(b/a)*100
%, kWh/ m2 It is a measure of the total number of green public buildings (existing and new) as percentage of the total number of public buildings in the ULB limits
This parameter will reflect the extent to which public buildings are constructed and retrofitted on the principles of green buildings Data requirements a) Total number of public buildings within the ULB limits b) Total number of green public buildings (new and retrofitted) c) Electricity used by public building d) Built-up area of public building Number Number kWh m2
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Indicator Percentage of green public buildings EPI of public buildings Percentage of buildings employing RETs
Unit % kWh/ m2 %
Definition =(b/a)*100 = average of EPI of all public buildings It is a measure of the number of buildings employing RETs such as solar water heating, photovoltaics, etc. as percentage of the total number of buildings within the ULB limits
This parameter will help in assessing the spread of RETs. Higher percentage shows a healthier trend Data requirements a) Total number of buildings within ULB limits b) Total number of buildings using RETs Percentage of buildings employing RETs Number Number %
=(b/a)*100
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Annexure 2
Appliance standards are the most commonly used instruments for increasing energy efficiency of appliances used in commercial and residential buildings. Examples include the Top Runner programme in Japan and Appliance Standards in China. Building codes are standards that address the energy use of an entire building or buildings systems such as heating or air conditioning. These are of two kinds: 1. Prescriptive codes that set separate performance levels for major envelope and equipment components, such as minimum thermal resistance of walls. 2. Overall performance-based codes prescribing only an annual energy consumption level or energy cost budget, for example, the ECBC, 2007; EU Energy Performance of Buildings Directive Procurement regulations are provisions for energy efficiency in the public procurement process. Such regulations are in place in countries like Germany, France, Italy, US, China, and Thailand. Energy efficiency obligations and quotas are legal obligation for electricity and gas suppliers to save energy in their customers premises. Mandatory audit programmes for industrial and large commercial buildings are one of the most common policy instruments in many European and other countries. Residential buildings are, however, rarely included in such programmes. Mandatory certification and labelling programmes are defined as the mandatory provision of information to end-users about the energy-using performance of products Utility demand-side management programmes are programmes undertaken by utilities to achieve energy efficiency; there are various types of DSM (demand side management) programmes like individual advice and counselling, energy management and auditing, advice regarding new installations, informative electricity bills, show and display rooms, articles, advertisements, magazines, education of school children, street lighting, lending out meters, and low-energy bulbs. Energy performance contracting means that a contractor, typically an energy service company, guarantees certain savings for a location over a specified period; implements the appropriate energy-efficiency improvements and in return gets the payment from the estimated energy cost reductions achieved through the energy savings. Cooperative/technology procurement is a voluntary tool whereby customers from the private or public sector who procure large quantities of energy-using appliances and equipment cooperate in order to influence the market by creating demand for more efficient products.
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Energy efficiency certificate schemes give tradable certificates for energy savings, often called white certificates. They are issued by independent certifying bodies confirming the claims of market actors for savings of energy, as a result of energy saving measures. Kyoto flexibility mechanisms (Joint Implementation and Clean Development Mechanisms) are instruments for delivering financing, know-how, sustainability benefits as well as capacity building for GHG mitigation projects in developing countries and economies in transition. Carbon/energy taxes are imposed by the government at some point in the energy supply chain, either as CO2 tax or energy tax. Such taxes are imposed in many countries, including Denmark, Finland, Norway, the Netherlands, Sweden, and Germany. Tax exemptions are granted in the form of income tax credits or VAT (value-added tax) exemptions and are used to provide signals to promote investment in energy efficiency to end-use customers. Public benefit charges are used to raise funds from the operation of the energy market, which can then be directed into DSM and energy efficiency activities. Capital subsidies, grants, subsidized loans, rebates are one of the most frequently used instruments and provide financial support for the purchase of green appliances or buildings. Voluntary certification and labelling programmes are meant to provide information to end-users about the energy-using performance of products such as electrical appliances, equipments, and even buildings. Public leadership programmes are energy-efficiency programmes in public administrations, demonstration projects to demonstrate new technologies, and potential savings to the private sector. Awareness raising, education, information campaigns are policy instruments designed by government agencies to change individual behaviour, attitudes, values or knowledge and are usually very effective when combined with other policy instruments.
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References
ABC (Asia Business Council). 2007 Building energy efficiency: why green buildings are key to Asias future Details available at <http://www.asiabusinesscouncil.org/docs/BEE/BEEBook.pdf> last accessed on 25 February 2008 Cole R. 2007 Energy use and urban buildings In Handbook on Urban Sustainability, edited by N Munier The Netherlands: Springer Frej A B (ed.). 2005 Green Office Buildings: a practical guide to development Washington DC: ULI (Urban Land Institute) ICAEN (Institut Catal dEnergia). 2004 Sustainable Building Design Manual Vol. I New Delhi: TERI IEA (International Energy Agency). 2005 Evaluating Energy Efficiency Policy Measures & DSM Programmes, Volume I Evaluation Guidebook Paris: IEA Kamiya T. 2003 The Guide to the Architecture of the Indian Subcontinent Goa: Architecture Autonomous MNRE (Ministry of New and Renewable Energy) and TERI (The Energy and Resources Institute). 2008 National Rating System: GRIHA (Green rating for Integrated Habitat Assessment) New Delhi: TERI Novikova A, Urge-Vorsatz D, and Liang Ch. 2006 The magic of the Kyoto Mechanisms: will it work for buildings? In Proceedings of the ACEEE (American Council for an Energy Efficient Economy) Summer Study 2006 California: ACEEE Oliver P. 1987 Dwellings: The house across the world Oxford: Phaidon Oliver P. 2006 Built to Meet Needs: Cultural issues in vernacular architecture New York: Architectural Press Roodman, D M and Lessen N.1995 A Building Revolution: how ecology and health concerns are transforming construction Washington DC: Worldwatch Institute [Worldwatch paper 124]
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Jain M, Gaba V, and Srivastava L. 2007 Managing Power Demand: a case study of the residential sector in Delhi New Delhi: TERI (The Energy and Resources Institute) [Project funded by the British High Commission UNEP-SBCI. 2007 Assessment of Policy Instruments for Reducing Greenhouse Gas Emissions from Buildings Budapest: Central European University USEIA (US Energy Information Administration). 2003 USEIA statistics Metropolis Magazine (October) USGBC (US Green Building Council). 2005 LEED-NC: Green building rating system for new construction and major renovations (Ver 2.2) US: USGBC
Bibliography
Anton Maas Dr.-Ing. 2006 Outline of the German Energy Conservation Regulation 2006 Munich: Technical University of Munich: Department of Civil Engineering, Institute for Building Physics Department of Sustainability and the Environment. 2007 The sustainable household challenge Details available at <http://www.dse.vic.gov.au/thesustainables/> last accessed on 25 October 2007 Energy Saving Trust. 2007 Home information packs and energy performance certificates Details available at <http://www.energysavingtrust.org.uk/home_improvements/home_information_packs> last accessed 24 October 2007 Government of Australia. 2006 Scoping Study to Investigate Measures for Improving the Environmental Sustainability of Building Materials Australia: Australian Greenhouse Office, Department of Environment and Heritage, Government of Australia Government of Singapore. 2006 The Singapore Green Plan 2012 Singapore: Ministry of Environment and Water resources, Government of Singapore IEA (International Energy Agency). 2006 Solar Energy Activities in IEA Countries 2005: a report of the IEA Solar Heating and Cooling Programme Paris: IEA London Development Authority. 2007 Mayors zero-carbon development to set standard Details available at <http://www.lda.gov.uk/server/show/ConWebDoc.1776> last accessed on 25 October 2007
Buildings The Climate Group. 2003 Case Studies: Melbourne Details available at <http://www.theclimategroup.org/reducing_emissions/case_study/melbourne/> last accessed on 26 October 2007 The Energy Conservation Center. 2008 Promotion and Dissemination of EE&C & Sustainable Buildings in Japan - Yoshitaka Ushio Japan: The Energy Conservation Center WWI (WorldWatch Institute). 2007 State of the World 2007: our urban future 2007 London: WW Norton & Company
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Websites
http://www.hudahyd.org http://www.bis.org.in/sf/nbc.htm http://www.windpowerindia.com/statstate.html http://mnes.nic.in/annualreport/2006_2007_English/HTML/ch5_pg10.htm http://www.thehindubusinessline.com/2004/06/04/stories/2004060402471900.htm http://www.eia.doe.gov/ http://www.ci.berkeley.ca.us/sustainable/residents/ResSidebar/RECO.html http://www.nycclimatesummit.com/casestudies/building/bldg_berkeley.html http://www.nycclimatesummit.com/casestudies/building/bldg_seattle.html http://www.nycclimatesummit.com/casestudies/energy/energy_barcelona.html http://www.iclei.org/index.php?id=1179 http://www.nycclimatesummit.com/casestudies/building/bldg_austin.html http://www.ci.austin.tx.us/news/2007/downloads/zeh_final_report.pdf>, p.6-8 http://www.arup.com/eastasia/project.cfm?pageid=7047 http://www.aib.org.au http://www.environment.gov.au http://www.aela.org.au http://www.thegreendirectory.com.au/ http://www.geca.org.au/ http://www.ata.org.au/ http://www.environment.gov.au/ http://www.greenhouse.gov.au http://stats.oecd.org http://greenpower.gov.au http://www.greenlabelspurchase.net http://www.mlit.go.jp http://www.eccj.or.jp http://www.meti.go.jp http://www.env.go.jp/en/ http://www.metro.tokyo.jp/ENGLISH http://www.pref.osaka.jp/en http://www.jwwa.or.jp/ http://www.greenmark.sg http://www.bca.gov.sg http://www.sec.org.sg http://www.nea.gov.sg http://www.mewr.gov.sg/sgp2012
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http://www.nccc.gov.sg/energylabel http://www.pub.gov.sg/NEWater_files http://www.corenet.gov.sg http://www.esv.or.at http://www.ibo.at/produktpruefung.htm http://www.umweltzeichen.at http://www.oekostromag.at http://waste.eionet.europa.eu/factsheets/Austria http://www.clarinet.at/ http://www.energielabel.at/energielabel http://www.energyagency.at/projekte/energieausweis http://www.greenlabelspurchase.net http://www.energiesparverband.or.at/_oec http://www.eva.ac.at/projekte/ren-in-a01.htm http://www.pickapro.ie/surveyor/building-energy-rating.php http://www.sei.ie/ http://www.environ.ie/ http://www.wowenergy.ie http://www.euromonitor.com http://www.ine.es http://www.eukn.org/spain http://www.ec.europa.eu/environment/etap http://www.planetark.com http://www.renewableenergyworld.com/rea http://www.isis-it.com/mure/ http://naredco.org/aboutus.html http://www.wasteonline.org.uk/resources/InformationSheets/HistoryofWaste.htm http://www.vcacarfueldata.org.uk/index.asp http://www.defra.gov.uk http://www.lowcarbonbuildings.org.uk/home/ http://envirostats.info/reports/ http://www.eia.doe.gov/ http://earthtrends.wri.org/searchable_db/index.php?theme=10 http://www.novatlantis.ch/index.php?id=26&L=1 http://www.buildingsplatform.org/cms/
CHAPTER
Governance
Literature review
In this section, the study discusses select best practices with respect to the principles of good governance, which have emerged from extensive study of national and international literature on good urban governance.
National review
Most states and policy-makers in India do recognize that many Indian cities have expanded beyond their capacity, and the agencies responsible for urban service delivery are in poor condition, especially the municipal bodies. Cities are trying to examine the impediments in efficient service delivery and are working towards improvement. However, both the efficacy of the reform efforts and extent of initiatives differ from city to city. Cities are increasingly including citizens in the governance aspects through various programmes, largely with the support of NGOs. The Delhi government, for instance, launched a scheme in 2000 called Bhagidari, which essentially means joint ownership. The purpose of the programme is to inculcate a sense of responsibility and ownerships amongst citizens and include them in the governance process. Established forum such as RWAs (residents welfare associations), traders organizations and NGOs are considered the voice of the people. More and more civic concerns are been resolved through interaction with these groups. This process of integrating the community into the governance process has been replicated in a number of states, but mostly for specific process and functions. It is necessary to make this community participation an integrated approach across all activities in local governance. As a first step, most states need to launch massive awareness campaigns to educate citizens on their role in the governance process. Information technology is a promising and cost effective tool for enhancing accountability and providing timely resolution of consumer issues. States like Karnataka and Andhra Pradesh have been pioneers in the use of IT (information technology)
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in effective governance and other states need to replicate the same in their cities. There are a few cities, which have also attempted to directly address environmental concerns in the functioning of local authorities. The Guntur Municipality in Andhra Pradesh, is one such example, and is perhaps the only corporation in the country to have started the concept of an ecological budget. It aims to conserve the environment by improving the quality of water it supplies to its citizens, the way it handles solid waste, and also by improving the air quality. The review of best practices in India has also brought out the fact that while some of these practices might have begun on a voluntary and informal basis; cities are now trying to institutionalize some of these practices into the formal governance structure. The BMPs (Bangalore Mahangar Palikes) successful initiative on public disclosure of its finances under PROOF (Public Record of Operations and Finance) was undertaken in collaboration with Bangalores prominent NGOs. Subsequently, based on the experiences of PROOF, the Government of Karnataka passed the Local Fund Fiscal Responsibility Act 2003. The World Bank has suggested PROOF as a concept, which should be extended to the state governments. The subsequent section lists out in detail select case studies that emerge from the national review. It documents the experience of municipal bodies that have taken measures to improve service delivery. The case-studies detail the reforms carried out by municipal bodies in order to bring greater decentralization, transparency and accountability, public participation, and equity in the delivery of services. The first four case studies are on overall reform measures taken by municipal bodies in Surat, Ludhiana, Hyderabad, and Guntur, while the subsequent case studies discuss initiatives by various municipal bodies with respect to specific parameters of good governance. It is to be noted that while most case studies draw from literature review, the case studies of Surat and Hyderabad also draw from discussions and inputs received from stakeholders during the city visits.
Surat Municipal Corporation

The good governance initiative in Surat is known to have set benchmarks in the practice of good governance at the level of local bodies in India.
Decentralization
To ensure decentralization in the working of the corporation, the entire region of the SMC (Surat Municipal Corporation) has been divided into seven zones, each of which is headed by a zonal chief delegated with complete financial powers of the municipal commissioner. Each zone is further divided into small wards and a ward officer, with a team at the ward office, is appointed to attend to the functions of the ward. To further decentralize the system, financial powers of up to Rs 200 000 have been delegated to the zonal in-charge.
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Transparency and accountability

The SMC started an e-governance project through 16 city civic centres, in order to facilitate single-point/ single-visit solution to citizens queries. The civic centres are distributed within the city such that at least two civic centres fall in each ward. E-governance has also helped in establishing an effective consumer grievance redressal system. The public complaints made through the system are monitored at multiple levels. The complaints are further bifurcated into engineering, health, and sanitation categories. The public grievance redressal system of the corporation has been recognized to be very effective and the corporation was awarded a bronze medal by the CMAG (City Managers Association of Gujarat) and FIRE(D) for outstanding performance in citizen-centric service delivery in 2007.
More than 300 employees provided email accounts for internal communications. The need for computer literacy in the middle and lower rank and that of awareness in the higher ranks was foreseen and a massive drive for training the employees was taken up. There is an in-house MIS (management information system) that updates and apprises the municipal commissioner of the activities of the civic centre. In fact, all activities running at various city civic centres can be viewed online on the municipal commissioners desktop. All zones, civic centres, and ward offices are connected through LAN and WAN.
Financial reforms
The following financial reforms have been introduced within the municipal corporation. P The finance and accounts department has been fully computerized. P The traditional receipt and payment accounting system has been changed to double entry commercial accounting system. P Octroi has been abolished in the state. Attempts are now being made to tap alternative sources of revenue such as property tax and user charges. P There has been rationalization of property tax and the assessment has been shifted from annual letting value to the area-based property tax. P Water supply tariff and user charges have been revised upwards. As a result of the some of the above-mentioned initiatives, the tax per property increased from Rs 513 in 1994/95 to Rs 877 in 1997/98 (71%). Due to these successful initiatives, the SMC was rated as AA (SO) by CRISIL and ICRA.
Pubic participation
The civil society has been actively involved in the decision-making process of the local bodies in Surat. People, including women, are involved in the audits of the annual
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budgets of the SMC. The corporation has also initiated Lok Bhagidari Projects with 49% stakeholders and 51% local bodys involvement. This initiative is similar to the Bhagidari programme initiated in Delhi and seeks to involve citizens in facilitating improvements in civic services.
Ludhiana Municipal Corporation

The city of Ludhiana, with a population of 14 lakh, is the industrial hub of the state of Punjab. The MCL (Municipal Corporation of Ludhiana) faced several challenges, including rapid urbanization, haphazard development, political interference, poor work culture, eroding accountability, and a declining public image due to the increasing gap between service delivery and public expectation. To reform such a system, the MCL took up various initiatives, some of which are listed below.
Community participation
To reduce problems of shortstaffing, the MCL promoted the concept of Manage your Neighbourhood and handed over the management of 427 out of the 830 parks to neighbourhood park management committees. The role of these committees included hiring of gardeners, supervision of gardening, and the overall upkeep of gardens. This enabled the MCL to overcome the constraint of staff shortage, while improving the maintenance of parks, along with substantial savings.
Financial capacity
Asset management: With the help of consultants and through reconciliation of old land/ revenue records, the MCL unearthed 800 properties, valued at Rs 190 crore, which were earlier not known to exist. The MCL is now in a position to develop or dispose of these properties. Financial management: In order to improve its financial management, the MCL switched over from a cash-based system to an accrual system of accounting. It also raised Rs 17 crore from the market through municipal bonds.
Monthly performance appraisal for employees: Employee performance-reporting system based on the system of recording annual confidential repor ts was dysfunctional and used only as the basis for promotions and not for performance appraisal. This system was changed to a system of monthly performance appraisal, with the assignment of monthly performance scores, which added up to the annual performance score. Staff optimization: The MCLs organizational structure was obsolete, and redeployment of staff at appropriate places had become a necessity. Consequently, after billing-related operations were privatized, the MCL redeployed employees working in
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the billing department as tax collectors. This helped improve tax collection without adding to the salary bill. Computerization: Systems were computerized in order to redress complaints associated with incorrect billing and public complaints about billing for water/ sewerage services and house taxes. This resulted in detection of arrears worth Rs 40 crore. Single window inspectorate: The taxation department comprised seven inspectors handling seven different portfolioshouse tax, water and sewerage, license, tehbazri, advertisement, building and sanitation within the same area. The system was inconvenient as the public had to deal with seven different inspectors. To improve the efficiency in the functioning of the taxation department, a single window system was introduced, where only one inspector was made responsible for all the seven activities in a particular area.
Decentralization
As it was difficult to manage a large city like Ludhiana from a central office, it was decided to decentralize its operations by setting up four zones. Redressals of complaints, tax collections, and most other functions were decentralized to the zonal level.
Municipal Corporation of Hyderabad

Some of the key innovations introduced by the MCH (Municipal Corporation of Hyderabad) in recent years are described below.
Privatization of sanitation services: The MCH is the first municipal corporation in the country to introduce the unit system, in which the city is divided into units of sweeping and garbage lifting, and a unit cost is determined for such a service. Each unit is then allotted to different contractors on the same unit cost. About 60% of the garbage sweeping / lifting is privatized. The municipal corporation has also modernized its sanitation operations by using latest available machines and equipments. Using waste to produce energy: The MCH commissioned a private company, SELCO International, to set up a garbage-processing plant where 700 MT of municipal solid wastes is used to generate about 10 MW (megawatt) of electric power. More such initiatives are being examined for power generation from waste.
Voluntary garbage collection scheme: The MCH also introduced a voluntary garbage collection scheme where the corporation provides a tricycle, costing Rs 4500 free of cost to a colony/ group of 100150 houses, which engages a ragpicker to collect garbage from door to door. The ragpicker is paid Rs 10 per
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household for this. This scheme helped people have a garbage-free locality with the added advantage of providing a gainful employment opportunity to ragpickers.
Equity
Clean Slum initiative: Each slum had been envisaged as a mini-municipality, with the community discharging some basic civic functions such as sanitation, preschool education, adult education, preventive health care, immunization, pre- and ante- natal care, thrift and credit, and income generation. It was also envisaged to have residential tax collectors in the slum areas, who could collect property taxes and user charges and make the funds collected available for local development. An NGO was identified for each slum to mobilize slum dwellers, train them, and act as an interface between the community and the municipality.
Financial capacity
Resource mobilization: This included property tax reforms, (including introduction of the scheme of self-assessment of property tax), revamping of advertisement tax, and trade license fee system. The emphasis was on self-declaration and self-filing of returns and use of land resources and adoption of polluters-pay principle. The benefits of such an approach resulted in considerable increase in municipal revenue. Property tax increased by more than 70% during 1999/2000. The period 19982000 witnessed a hike in advertisement fee collection by more than 230%. Trade licensing fee went up by 63% during 1999/2000. Town planning related charges registered more than 100% growth during 1999/2000. Improving cost recovery in sanitation: Traditionally, the conservancy tax was a part of property tax in Hyderabad. This led to very low tax collection because small and large generators of trash were treated alike. The MCH then introduced bulk garbage collection charges from bulk generators of garbage. It also introduced collection of administrative charges from people committing sanitation offences like littering and spitting. In the financial year 2002/03, the corporation collected about Rs 420 000 through these enforcement measures.
Transparency and accountability

E-governance initiatives for increased transparency and accountability to the public: Hyderabad has also taken a number of IT-enabled initiatives to increase transparency and accountability. One such initiative is the e-Seva (e-governance) initiative, under which the state offers citizens a wide range of services under one roof. There are about 43 e-Seva centres in Hyderabad and Secundrabad, serving an average of about 35 000 citizens every day.
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Other initiatives
Coordinated metropolitan development: To facilitate coordination and collaboration within and amongst various departments, the Government of Andhra Pradesh constituted a city-level coordination committee, with the commissioner of MCH acting as the nodal officer/coordinator. The members of the committee, constituted of senior officials from the police, state electricity board, urban development authority, revenue department, Metropolitan Development Authority, Metropolitan Water Supply and Sewerage Board, State Transport Corporation, traffic police, telecom, and so on. The committee meets once every week to sort out coordination problems and has been functioning successfully in solving many vexing problems.
Guntur Municipal Corporation1

Guntur, one of the fastest developing tier - III cities in Andhra Pradesh, has achieved remarkable progress in augmenting basic services like drinking water, sanitation, street lighting, and solid waste management. It has an efficient public grievance redressal system. The corporation saw a turnaround in its finances with near 100% tax collection and non-tax revenue from individuals and commercial establishments. The corporation has also made efforts for the upliftment of the poor and is the first of its kind to secure maximum grants under the states APUSP (Andhra Pradesh Urban Services for the Poor Programme). As part of the administrative reforms, the Citizens charter was introduced with the aim to make the system more transparent, efficient, and effective. Various departments under the GMC (Guntur Municipal Corporation) have also been computerized to ensure efficiency. The GMC is perhaps the only corporation in the country to have started an ecological budget where it targets at conserving its environment by improving the quality of water it supplies to its citizens, the way it handles solid waste, greening the city or improving the air quality.
Case studies of best practices addressing specific good governance parameters

Financial capacity 1. Internal resource mobilization Ahmedabad Municipal Corporation
The Ahmedabad Municipal Corporation was in severe financial crisis before 1993, with a deficit in the range of Rs 35 crore and bank overdraft of Rs 22 crore. By improving the base of octroi and through intensified property tax collection, the municipal corporation was able to generate considerable surplus within a limited time period. The major steps taken to improve octroi included the following.
1
Guntur Municipal Corporation: a development story, Frontline, 29 February 2008
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P Establishment of market research cell for the preparation of valuation books on the basis of prevailing market prices to eliminate under-invoicing by importers P Creation and updation of octroi valuation records with the help of professionals like chartered accountants and cost accountants P Systematically undertaking measures to tackle tax defaulters, including the use of police force P Introduction of a system of random checks by senior officers of the corporation at multiple points and inspection of trucks carrying goods to deal with the issue of bogus billing P Deployment of additional vigilance squads for round-the-clock duty to intercept vehicles entering the city and making on-the-spot physical verification The major steps taken by the Ahmedabad Municipal Corporation to improve property tax collection included the following. P Hiring reputed lawyers to handle some of the important court cases at the Gujarat High Court and the Supreme Court of India P Disconnection of water supply and drainage services for properties whose owners defaulted in the payment of property tax. P Issue of warrants for confiscation of movable properties and attachment of immovable properties
Levy of development charges on land use in Andhra Pradesh

Section 28 of the Andhra Pradesh Urban Areas (development) Act 1975, prescribes for the imposition of development charges on persons instituting or changing any land use, and undertaking or carrying any development. In spite of the legal provisions, the state government did not have systematic procedures for the determination of development charges. The Government of Andhra Pradesh then took some important initiatives in the use of urban land as a resource by streamlining the levy of development charges in the large cities of the state. The rates were increased significantly to bring in some balance between the value gains due to planning permission and the development charges paid. The concept of betterment due to planning permission is well grounded in the town planning acts of many countries, and there is a strong case for tapping a part of the unearned increments in land values due to planning gains and using the same for decongestion programmes. The Hyderabad Urban Development Authority was able to mobilize Rs 15 crore per annum from development charges made possible on account of the government order issued in 1996.
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Citizens participation Bhagidari: citizen-government partnership, Delhi2

The Government of NCT (National Capital Territory) of Delhi took an initiative in the year 2000 to involve its citizens in facilitating citywide changes in Delhi, by utilizing processes and principles of multi stakeholders collaboration through large group dynamics and joint ownership with citizens and civic agency officials. The Government of NCT of Delhi put into place a participatory and interactive framework of governance, called Bhagidari, meaning co-sharing or partnership. It is a good governance initiative that has facilitated a process of dialogue between the citizens and the government for the discovery of joint solutions aimed at improving the quality of life in the city. The methodology of large group interactive events has been used to train the citizen groups and government officials to develop consensus on civic issues pertaining to water, power, sanitation, community services, security and environment. Bhagidari has been expanded of late to include public education, care for senior citizens, womens empowerment, and the functioning of government schools. Active involvement of the citizens in Bhagidari has increased accountability in government and civic authorities and instilled in the citizens a sense of ownership and public responsibility.
Citizens report card: Bangalore

The CRC (citizens report card) was an initiative by the Public Affairs Centre, Bangalore. They surveyed the citizens for feedback on the state of public services and developmental programmes. The CRC system was initially an attempt to understand users aspirations and needs with respect to service delivery. A questionnaire was prepared in consultation with experts and in 1994, the first CRC survey was carried out. The questionnaire administered to 480 middle income and 330 slum households across six localities in Bangalore. The findings were shared with public service agencies, senior politicians, and bureaucrats and were widely publicized by the media. Subsequently, two more CRCs one in 1999 and the third in 2003 were conducted. The contents of the CRC questionnaire included access, usage, quality, reliability, problem incidence and responsiveness of the concerned agency, and service and opportunity costs borne by the users due to poor services. This information gathered from the survey was then used to design and lobby improvements. While CRCs do not trigger service improvements by themselves, they are tools to activate public interest and awareness and facilitate changes at the level of the government to improve service delivery. The concept is used widely by variety of governments, donors, and civil society groups in India and overseas.
2
GoI (2006)
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User contribution to infrastructure development in Tamil Nadu

In Tamil Nadu, the state government has encouraged ULBs (urban local bodies) to work together with citizens to expand sewerage infrastructure in a number of urban areas throughout the state. A highlight of this initiative is that it relies on capital contributions and user fees from citizens and involves close collaboration between them, their elected representatives, municipal officials and the states water and sanitation utilities. The programme has been widely accepted and has been extended to more urban areas in the state in the past few years.
Transparency and accountability Bangalore Mahanagar Palikes initiative: promoting transparency of operational and financial performance through partnerships3
The BMP initiative is a pioneering effort towards greater transparency in public accounts and more efficient governance through full and accurate disclosure of its finances. The initiative, entitled Public Record Of Operations and Finance, or PROOF, was undertaken in collaboration with Bangalores prominent NGOs. The dissemination of information is facilitated through public discussions, where BMP officials present the financial performance to a gathering of citizens. Under this initiative qualified volunteers analyse the information provided by the BMP. This is discussed at public forums and submitted to the PROOF office. Queries of citizens are collated and presented to the corporation. All unanswered issues/ unsatisfactory answers are put forward in the open forum, and are replied by the Commissioner and the additional commissioner of the BMP. The process followed under this initiative is fairly comprehensive. After the release of the quarterly statements by the BMP, partner NGOs take up the task of review and analysis with citizens groups in well-organized and structured workshops. Average attendance in each of these workshops is 20 people, and the workshops last for about half a day. Queries arising out of several rounds of such workshops are compiled, and submitted to the BMP for preparation of answers and explanations. A date for the public discussion is scheduled, and invitations are sent out to BMP officials, officers of the state government, prominent citizens and the press. In the public discussions, BMP representatives take the lead in presenting the financial performance to a public gathering of about 200250 citizens. The NGO partners then share their experiences and progress followed by an interactive session with the people. PROOF discussions conducted so far have raised the government-citizen interaction levels. Based on the experiences of PROOF over the previous two years, the Local Fund Fiscal Responsibility Act, 2003 was passed by the Government of Karnataka. The CAG (Comptroller and Auditor General) of India is preparing a note on
3
NIUA (2007)
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disclosure, which is based on PROOF. The World Bank has suggested PROOF as a concept, which should be extended to the state governments. Cities like Chennai, Hyderabad, Nagpur, Mumbai, and Pune have shown interest in replicating this initiative.
Public grievance redressal system, Karnataka4

In order to streamline the municipal systems, a new mechanism for public grievance redressal was introduced in 2005 in 57 large cities of Karnataka. This PGR (public grievance redressal) was web-enabled, which the citizens could access anywhere anytime. The PGR module works as a citizen-friendly complaint registration and tracking system that function over the Internet, phones, and in paper form. Citizens can register their grievances and can then track progress of its redressal in a structured and efficient manner. Upon registration, the computer system generates a complaint tracking number, using which the status and progress of the complaint can be checked by the citizen over Internet 24x7. Complaints are categorized and allocated a timeline for resolving. These complaints are then assigned to the appropriate official/ department based on the complaint type and categorization. Complaints are auto-routed to the appropriate redressal officer. The system is developed in such a manner that if complaints are not redressed within the allotted time they automatically get escalated to the higher-level officer. The Directorate of Municipal Administration office constantly monitors the status and generates weekly report of the PGR system across the 57 cities. The efficiency of the redressal of grievances is also measured and accordingly, cities are ranked. The benefits of the PGR system have been that it has introduced transparency and accountability of the municipal staff. This system is not only useful to redress individual citizens complaints but also useful to understand what kind of problems occur at which parts of the city at what time of the year. Since much of this information is freely available online, citizens and other city stakeholders can understand the citys problems and constructively participate in the governance.
E-governance Bangalore One Initiative, GoK5

In order to provide integrated services to citizens using ICT (information and communications technology) tools, the GoK (Government of Karnataka) set up onestop-shop facilities. It implemented an e-governance project called the Bangalore One or B1 Project. The vision of the B1 Project is to provide to the citizens of Karnataka, all G2C and G2B one-stop services and information of departments and agencies of central, state and local governments in an efficient, reliable, transparent, and integrated manner on a sustained basis through easy access to a chain of computerized ICSCs
4 5
NIUA (2007) http://www.bangaloreone.gov.in/public/aboutbone.aspx
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(integrated citizen service centres) and through multiple delivery channels like Electronic Kiosks, mobile phones and the Internet. Various government departments like BESCOM (Bangalore Electricity Supply Company), BMP (Bangalore Mahanagar Palike), BSNL (Bharat Sanchar Nigam Ltd), RTO (Regional Transport Office), RPO (Regional Passport Office), the Department of Labour, BWSSB (Bangalore Water Supply and Sewerage Board) have integrated their citizen-specific services with Bangalore One. Earlier, for availing same services, citizens had to go to different offices in different parts of the city. B1 services help citizens to avail all these services either from their homes or nearest citizen centre.
Equity A case of Bangalore Water Boards services to slums

The BWSSB (Bangalore Water Supply and Sewerage Board) instituted a programme to connect city slums to the utilitys water and sanitation network. The programme launched in 2002, provided the newly added wards of the city with supply, feeder and distribution pipes, so that every house could have a domestic connection. Some of the important aspects of this case study are discussed below. P Initially, the BWSSB made it mandatory for slum dwellers to produce the land title documents and recent property tax receipts to qualify for individual water and sanitation connection. On the intercession of the main funding and mobilizing agency of the programme, AUS-AID, the BWSSB decided to permit other proofs like ration cards, electricity bills, and election ID cards for anybody to apply for the connection. For very poor and congested slums, shared connection among 812 households were given. Connection fees were lowered for all slums. The state-level Urban Development Department granted permission for a new tariff structure, which considerably lowered the minimum monthly bill. The BWSSB also created a social development unit with a mandate to continue working in slums. By 2005, the Social Development Unit had started working in 46 slums, out of which 30 were receiving regular water by mid 2006. Over 46 poor communities have been mobilized so far, representing about 10% of the citys slums. This was a first of its kind initiative in which the poor were treated as a customer segment both in terms of documentation requirements for connection and in terms of user charges structure.
International review
It is being recognized by cities across the globe that effective urban governance requires not only a decentralized institutional structure but also one that can be held
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accountable by people that it governs. Most countries are, therefore, introducing mechanisms whereby more transparency and accountability can be introduced in the working of the local authorities. Bangladesh, for instance, has initiated committees of concerned citizens, wherein well-trusted and respected individuals from the local community assess the activities of the local service providers. This initiative is similar to the Bangalore Citizens Report Card and can be replicated in other Indian cities as well. An important learning from this initiative is that the members of the committee need to be chosen with care so as to ensure that they are motivated principally by the desire to better their communities. IT application tools and the Internet are being used effectively in a number of countries to improve services and reduce the scope for corruption. E-procurement has been found an effective way for reducing corruption in public procurement in Finland. Similarly, in Seoul, under the OPEN system, all services requesting for and provided by the local authorities are tracked online. This provides instant access to information to users on the status of their applications and the reasons wherever any request is denied. Such IT-enabled systems are being introduced in India both for procurement and for consumer grievance redressal, especially in the southern states and need to be replicated in other states as well. The importance of public participation in the governance process is being recognized and cities are making efforts to include planning and budgeting under the realm of public participation. A major initiative pioneered in Brazil and one that is now being attempted in a number of countries, including India (Kerala conducts such exercises), is the concept of participatory budgeting. Here, citizens are involved in the citys capital budget planning, that is, deciding and prioritizing projects to be undertaken and also overseeing their implementation. This kind of initiative requires a lot of commitment on part of the local authorities and awareness on part of citizens to make informed decisions. In another interesting initiative in Jordan, public participation was used as an effective mechanism for settling disputes relating to the rehabilitation of inhabitants in a particular region. This case study brings out the need to involve the affected people in the decision-making process such that they understand the need for change and are also satisfied with the rehabilitation programme charted out. Resettlement is a major issue in city planning in India and a cause of much resentment. Such public participation could prove to be effective in settling these resettlement disputes in India. In Canada, a number of cities have appointed officials who would guide members of parliament and senior public officials on ethical issues, especially issues relating to conflict of interest. This mechanism may be difficult to replicate in India. First, there may be opposition from the public officials themselves to such an external authority to guide them. Second, it would only lead to multiplicity in the governance process and, therefore, greater avenues for corruption.
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Citizens participation Score card surveys through committees of concerned citizens in Bangladesh
Transparency International in Bangladesh has set up six locally based CCCs (committees of concerned citizens) in different regions of Bangladesh, which conduct scorecard surveys about the services being provided by local governments. An elaborate process is followed for selecting the areas to host the CCCs and for selecting the local residents who would be its members. For selection of the districts to host the CCCs, the specified requirements included minimal distance from the capital city of Dhaka, the location to be a full parliamentary constituency with access to a range of amenities and facilities (especially communications), availability of suitable persons, existing networks of NGOs and professional organizations, and so on. For selection of CCC members, there is a lengthy list of requirements, as well as desired qualifications, all of which emphasize the importance of obtaining well respected and trusted individual having a broad range and diversity of individuals, and having people who were active in the community. The CCCs have now begun to assess the activities of the local providers of services in their areas. Though this initiative is relatively new and it is difficult to comment on its success, the process of establishing such a committee has brought out certain learnings. The first important learning is that any such process will take time to be assimilated within the community. It is also important that there be a demonstrated demand from the community for this kind of organization and that it should not be perceived as something only fostered from outside. The choice of members is crucial. It is important to ensure that individuals accepting to serve are motivated principally by a desire to better their communities.
Participatory budgeting in Brazil

The city of Porto Alegre in Brazil pioneered the concept of participatory budgeting in the country. It was a conscious effort by a new political administration in 1989 to incorporate citizens directly into the decision-making process and to break away from the old way of doing things. It was intended to be a comprehensive management practice that brought the population directly into the formulation and execution of the citys capital projects budget. The process of participatory budgeting relied heavily on the involvement of local neighbourhood associations, NGOs, and labour unions, and it also required the city administration to dedicate human and financial resources to ensure that it would work. The essence of the practice involves the establishment of citizens commissions or forums that help formulate budget priorities and then continue to help oversee the works that are being carried out. Initially, the city had relatively little money for capital projects, so the system started slowly. However, once the neighbourhoods could notice the tangible benefits of participation, more and more citizens and neighbourhoods became involved. From
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an initial 1500 participants, there are now more than 45 000 residents who take part in this process on an annual basis. Furthermore, the concept of participation has now been extended from budgetary matters to many more aspects of local government management, including policy planning. In Porto Alegre, 100% of the budget is regarded as participatory. The Participatory Budget Council made up of delegates elected in the process examine and influence the overall budget before it is sent to the Cmara de Vereadores (City Council). The portion discussed in assemblies in which all citizens can participate corresponds to 100% of the resources for investment, which vary every year and represents more than 10% of the overall budget. Numerous other towns in Brazil have adopted some form of participatory budgeting. There appears to be two important requirements for the process to succeeda real and sustained commitment by the city management to transparency and changing the ways in which things are done, and continuous publicity and education of the citizens who are being asked to participate.
City consultation as a conflict resolution tool in Petra, Jordan

The experience of Petra, Jordan, is a good example of using the city consultation methodology as a tool for the resolution of conflicts. In the early eighties, the Bdoul tribe was relocated from the Petra Archaeological Park, where they had been living for generations, to Oum Sayoum, a site near the entrance of the park where they were provided with housing and land. In 1995, a regional master plan aimed at reconciling urban expansion with the need to preserve the archaeological site of Petra was adopted, but without consulting the population. The plan strictly limited the expansion of Oum Sayhum, and the Bdoul tribe claimed this did not allow room for the needed growth of their settlement. There was also an acute sense that the government was reneging on promises made when the tribe was relocated. The conflict was made worse by the social and political marginalization of the tribe and its exclusion from all decisionmaking structures After documenting the issues through a participatory research approach, a series of separate meetings were organized with the actors in the conflict. A rough draft action plan was developed, identifying areas of possible understanding and compromise. A formal consultation, gathering all parties in the conflict, was held with two working groups discussing issues of governance and land. As a first step, the Petra Regional Council requested that a comprehensive land use study be carried out to incorporate the views of all concerned. This study was used as a basis for revising current planning regulations and resolving existing land conflicts. A working team was constituted to follow up on the implementation of the action plan. Ultimately, land was redistributed to the Bdoul tribe for the expansion of the village, and tribal representatives are now members of local advisory committees. At the same time, village upgrading and road paving are being
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carried out. The Petra Regional Authority has created committees of local representatives to discuss community problems, as a first step in institutionalizing city consultations. The consultation successfully contributed to the resolution of long standing disputes and laid down the basis for the continuation of the consultative process.
Transparency and accountability Open System in Korea

The city of Seoul, South Korea, has instituted a system in which applications for licenses and other authorizations by the city can be tracked online. The OPEN (Online Procedures Enhancement for civil applications) system was developed to achieve transparency in the citys administration by preventing unnecessary delays or unjust handling of civil affairs on the part of civil servants. Among many of the civil transactions handled by the Seoul Metropolitan Government, this Web-based system allows citizens to monitor applications for permits or approvals where corruption is most likely to occur and to raise questions in case any irregularities are detected. As soon as a citizen files an application for a building permit, for example, government staff in charge will post the details of the received application on the OPEN site. The citizen can learn at real time whether the application has been received properly, who is currently handling and reviewing the case, when the permit is expected to be granted, and if it is returned, then for what reasons. The unique features of the OPEN system are the following. P Easy access: Without making telephone calls or visits, citizens can monitor procedures of handling civil applications through the Internet whenever they want and wherever they are. P Transparency: Access to real-time information on the details of handling civil applications, procedure of approval, document review, schedule for process ahead, and so on. P Increased credibility: Offering access to information to all citizens, fairness, and objectivity are secured in city administration, thereby removing public distrust.
Transparency in tendering procedures through the use of IT Pori, Finland

In the Finnish city of Pori and in fact, across Finland, Finnish national legislation and the directives of the European Union form the basis for public procurement. The principle in choosing the least-cost tender is still valid. The city of Pori has successfully introduced the use of Internet to enhance transparency in procurement procedures. Anyone can bid after finding the call for tender. For all known potential bidders, the procurement unit sends an email about ongoing calls for the tender. Paper versions are not used at all except for some faxes that companies without Internet might need. This e-tendering process has been designed in close cooperation with the potential bidding companies.
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The city of Pori started calling for tenders on the Internet in 1997. The policy became national in 2001, when the Ministry of Trade and Industry initiated a model of e-tendering called Public Markets. This Web page is a meeting point for purchasers and suppliers concerning procurements under the thresholds set by the European Union. This innovation supports the standards set by the city of Pori, and the city now announces its call for tenders on both pages. The city has also introduced a specially designed Web-based purchasing system for certain product groups. Guaranteed transparency is not the only benefit of the use of new technologies. All stakeholders in the tendering procedure (procurement department, suppliers, invoicing department, and so on) benefit, since the process is managed more efficiently. The city of Pori not only organizes its own procurements but also procurement services for nine other local authorities. This has been possible only because of the effective use of new technologies.
Capacity building and training Ethics guidance in Canadian legislation

In Canada, a number of provinces and the federal government have introduced posts to provide guidance on ethical issues to parliamentarians and senior public officials. These positions are variously titled ethics commissioner (Alberta), integrity commissioner (Ontario), conflict of interest commissioner (British Columbia, Saskatchewan, Nova Scotia, New Brunswick, Northwest Territories and Yukon), commissioner of members interests (New Foundland), or ethics counsellor (federal government). These offices all recognize that in the area of ethics, there are two major risks when relying wholly on a strictly legalistic system. First, public office holders can often forget what truly ethical conduct actually is in the real world of public life, and instead defend themselves by dwelling on what they understand to be the legal technicalities of words and concepts. Secondly, rules are often extremely detailed about matters that should be self-evident to anyone with sound moral judgment, leaving the average citizen with the impression that those appointed to public life have no moral sense whatsoever. When this happens, it can do more to corrode public confidence than enhance it. Canadas federal government has taken an approach that assumes that public office holders do want to take ethical actions. It assumes they do want to earn a higher level of respect among citizens. For this reason, it has chosen not to take the other major approach to ethics, that is, rigidly codifying ethical behaviour, usually through a series of thou shall nots. The Canadian approach to building and managing an ethics structure turns on avoiding possibilities for conflict of interest well before the fact. It focuses on working with people, based on the assumption that they do want to do the right thing. The Federal Ethics Counsellors Office deals with potential conflicts of interest and other ethical issues for those most likely to be able to influence critical decisions in
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the federal government. This covers all members of the federal cabinet, including the Prime Minister. It covers their spouses and dependent children; members of ministers political staff; and senior officials in the Federal Public Service. The office handles the monitoring of the assets, incomes, and liabilities of those it oversees. The office is also responsible for the Lobbyists Registration Act and the Lobbyists Code of Conduct. These are designed to bring a level of openness to lobbying activities and ensure strong professional standards for the people involved in that work. The office, of course, does not replace the role of the police, prosecutors, and judges when it comes to suspected breaches of the criminal law. Rather it deals with the grey areas of situations that could realistically appear wrong to citizens, without ever being illegal. Its role is designed to provide advice and counsel to those in government, not to act as a prosecutor, judge or jury. In practice, the office works closely with those covered by the Code. They come with questions about how a given asset or interest should be treated, and the office offers advice. The Prime Minister is also asked to investigate and comment on specific issues as and when these arise.
Defining good governance and parameters of good governance

Various definitions and studies on the concept of good governance were referred to in order to arrive at the basic framework of governance. The World Bank defines good governance with special relevance for the developing world as Good governance is epitomized by predictable, open and enlightened policymaking, a bureaucracy imbued with a professional ethos acting in furtherance of the public good, the rule of law, transparent processes, and a strong civil society participating in public affairs. The UN Global Campaign on Urban Governance has proposed that good urban governance is characterized by sustainability, subsidiarity, equity, efficiency, transparency, and accountability, civic engagement and citizenship, and security, and that these norms are interdependent and mutually reinforcing. The UNESCAP (United Nations Economic and Social Commission for Asia and the Pacific) looks at good governance as one that is participatory, consensus oriented, accountable, transparent, responsive, effective and efficient, equitable and inclusive and follows the rule of law. The ADBs (Asian Development Banks) approach to governance, established as a Core Strategic Area of Intervention under its Long-term Strategic Framework (2001 15), recognizes the importance of capacity development and identifies four key interrelated elements that are considered necessary to sustain efforts and ensure results. These are accountability, predictability, participation and transparency. As per the ADB, Good governance ensures transparent use of public funds, strengthens anti-corruption, encourages growth of the private sector and corporate governance, promotes effective
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delivery of public services, and helps to establish the rule of law. Good governance involves the poor and NGOs in the planning and implementation of programmes. It is closely linked to institutional and organizational capacity building and network relations. The definition given by AusAID says Good governance depends on transparency, accountability and equality in ways that are responsive to the needs of people. It is composed of the mechanisms, processes and institutions through which citizens and groups can articulate their interests, exercise their legal rights, meet their obligations and mediate their differences. According the OECD (Organization for Economic Cooperation and Development) definition, Good Governance incorporates eight major characteristics, which are participation, consensus oriented, accountable, transparent, responsive, effective and efficient, equitable and inclusive, and that which follows the rule of law. It ensures that the corruption is minimized, and the views of the minority and the aspirations of the most vulnerable masses are taken into account while decision-making (OECD 2001). The OECD document provides a comprehensive understanding of various parameters of good governance. These are discussed below. Participation means freedom of association and expression on the one hand and an organized civil society on the other hand and needs to be informed and organized. It could be either direct or through legitimate intermediate institutions or representatives. Transparency means that decisions taken and their enforcement are done in a manner that follows rules and regulations. It also means that information is freely available and directly accessible to those who will be affected by such decisions and their enforcement and that information is provided in easily understandable forms and media. Effectiveness and efficiency in good governance means that processes and institutions produce results that meet the needs of society while making the best use of resources at their disposal. The concept of efficiency also includes the sustainable use of natural resources and the protection of the environment. Responsiveness in good governance requires that institutions and processes try to serve all stakeholders within a reasonable time-frame. Accountability is a key requirement of good governance. In general, an organization or an institution is accountable to those who will be affected by its decisions or actions. Accountability always essentially encompasses transparency and the rule of law.
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Consensus in good governance is that which intercepts different interests in society to reach a broad consensus on what is in the best interest of the whole community and how this can be achieved. It also requires a broad and long-term perspective on what is needed for sustainable human development and how to achieve the goals of such development. Equity and inclusiveness ensure that no one is excluded from the mainstream of society. This requires that the most vulnerable particularly have the opportunities to well being. Rule of law in good governance requires fair legal frameworks that are enforced impartially and ensure full protection of human rights, particularly those of minorities.
Research framework
Good governance is a prerequisite for achieving sustainability. Governance for sustainability involves integrating the three pillars of sustainability; environmental, social and economic, within the framework of governance processes and to administer the same to achieve sustainable societies. It is difficult to arrive at an ideal definition of good governance that would comprehensively define the essence of good governance in the context of this study. The UNESCAP definition for good governance comes closest to a comprehensive understanding of governance issues in the Indian context. It defines good governance as one that is participatory, consensus-oriented, accountable, transparent, responsive, effective and efficient, equitable and inclusive and follows the rule of law. A review of the parameters of good governance identified by various developmental institutions, including UNESCAP, helped us in shortlisting parameters of good governance that are most relevant in the Indian context and given the challenges faced in urban governance in the country. These identified parameters of good governance are decentralization, transparency and accountability, public participation, capacity of the municipal bodies, and equity. These parameters are discussed in detail in Table 1. These parameters have been used to analyse the deficiencies in the current city governance structure. Literature review was also centred on identifying best practices in urban governance and delivery of services with respect to these parameters. The recommendations also delve around improving the institutional setup around these parameters.
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Table 1 Parameters of good governance most relevant in the Indian context

Parameter Context Detailing the parameter Responsibility for service provision should be allocated on the basis of the principle of subsidiarity, that is, at the closest appropriate level consistent with efficient and cost-effective delivery of services.
Decentralization Legal/ institutional mechanism for devolution of powers and extent of devolution, extent of decentralization within the municipal body Transparency Process accountability and accountability citizen-centric decisions
Transparency and accountability are essential to enable stakeholder to understand the local government and examine who benefits from decisions and actions. Access to information is fundamental for empowering stakeholders. Laws and public policies should be applied in a predictable manner and this can happen only if there is transparency and accountability in the urban governance process. Diverse and meaningful public input helps decision-makers to consider different issues, perspectives, and options when defining a problem; to gather new knowledge; to integrate public concerns into decision-making; and to manage social conflicts by bringing different stakeholders together at an early stage. Women are most affected and are generally more familiar with issues of basic services and hence their participation is vital for improved governance. Attributes include the capacity of local government and local institutions to act autonomously and independently; the availability of resources (both human and financial) to provide access; and the ability in them to let other stakeholders and civil society (media and NGOs) to participate in governance processes and analyse issues. Ensuring access to services to the urban poor and addressing concerns of the poor.
Civil society participation
Public opinion Womens participation
Capacity
Financial,operational (including private participation)
Equity
Access to basic services (quality and quantity)
Analysing the existing situation: governance

Analysis of the legal provisions relating to municipal governance 74th Constitutional Amendment Act
The most important initiative undertaken for decentralization was the enactment of the 74th Constitutional Amendment Bill in 1992. This Act sought to give a new lease of life to municipal bodies by identifying them as the third tier of urban governance.
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Box 1 Important provisions of the 74th Constitutional Amendment Act

The Twelfth Schedule of the Constitution has listed 18 functions of the urban local bodies. In order that the urban local bodies can perform the functions assigned to them, the Legislature of a State shall assign them specific taxes, duties, tolls and levies and authorize them to impose, collect, and appropriate the same. Each State shall also constitute a Finance Commission, which shall review the financial position of the urban local bodies and recommend the principles, which should govern the devolution of resources, including grant-in-aid from the Consolidated Fund of the State of these bodies. In each district a District Planning Committee shall be constituted to consolidate the plan prepared by the urban and rural local bodies. Similarly, for each metropolitan area, a Metropolitan Planning Committee shall be constituted to prepare a development plan for the metropolitan area a whole.
The Amendment Act focused on devolving additional functions to the municipal bodies and urging the state governments to assign them more taxation powers commensurate to their additional responsibilities. The 74th CAA (Constitutional Amendment Act) made provisions for various aspects of urban governance. This study limits itself to an assessment of the provisions with respect to our identified parameters of good governance. The following box lists the provisions of the 74th Constitutional Amendment Act that have a bearing on decentralization, accountability, public participation, and capacity of the municipal bodies. In this section, the study examines the extent of implementation of the abovementioned provisions of the 74th Constitutional Amendment Act across the country. Extent of implementation of 74th CAA in various states The provisions have been implemented to various extents in different states and are discussed below. The provisions of the Act, however, do not apply to certain scheduled and tribal areas of India, namely, Meghalaya, Mizoram and Nagaland. Municipal elections and functioning of ward committees As per a study conducted by the NIUA (National Institute of Urban Affairs), municipal elections have been held by most of the states. Nine states have constituted ward committees to ensure representation from each ward in the decision-making process. However, ward committees are functional only in Tamil Nadu and Kerala. In fact, Kerala is the only state where the ward committees are functioning successfully in each and every ward and in towns having population above 1 lakh (Mathur 2007). Transferring of functional responsibilities Most of the states have incorporated provision in the Municipal Acts for the devolution of power to the municipal bodies. However, the extent of functions devolved differs
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from state to state. The states of Kerala, West Bengal, and Tamil Nadu have in fact assigned some additional responsibilities apart from those mentioned in the 12th Schedule. State finance commission and financial reforms The finance commissions constituted in various states of India have attempted a detailed review of the financial position of the municipal bodies. Most states have constituted two SFCs (state finance commissions) so far. A review of available information on the status of ATRs reveals that in respect of the first SFC reports, the ATRs have been submitted and approved by the state government/legislature in almost all states. Regarding the status of ATRs with respect to the second SFC reports, it is observed that these reports have been submitted and approved only in a few states (Mathur 2007). Constitution and functioning of DPCs and MPCs The DPCs (district planning committees) were constituted with a view to achieving integrated regional planning. It was envisaged that the DPCs would prepare draft development plans, including spatial plan for the district, and would integrate the common interest of the rural and urban areas within the district. Their role would also be advisory to the local bodies in preparation of development plans and their effective implementation. Coordination and monitoring of implementation of district development plans and allocation of resources to local bodies for planning and implementation of local-level projects contained in the district development plans would be another area of intervention by the DPCs. The DPCs have been constituted in about 10 states of India but are functional only in the states of Karnataka, Kerala, and Tamil Nadu. Others constituted are either non-functional or lack executive powers. For instance, DPCs in Madhya Pradesh have no executive powers. MPCs (metropolitan planning committees) were to be constituted in every metropolitan area. The purpose was to accord constitutional recognition to metroregional planning with a view to augmenting investment in economic activities and infrastructure, by putting in spatial planning inputs. MPCs would be responsible for functions such as preparation of draft development plan for the metropolitan areas, spatial coordination of plans prepared by the municipalities and panchayats in the metro area, and recommending modifications in the local area plan. The MPCs would also advise local bodies in preparation of development plans and, thereafter, monitor effective implementation of approved development plan of the region. The implementation of the provision for MPC has been poor. It is only in the state of West Bengal that the MPC has been created (Mathur 2007). In fact, a major gap in the implementation of the 74th Constitutional Amendment has been insufficient progress in establishing MPCs and DPCs.
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Observations and analysis on the implementation of the provisions of the 74th Constitutional Amendment Act A review of the status of implementation of the provisions of the 74th CAA relevant to our parameters revealed that states have incorporated provisions in their municipal acts for transferring additional functions to the municipal body, but the extent of functions transferred differs from state to state. Further, the performance of municipal bodies in undertaking these functions varies from city to city even in the same state. Discussions with the stakeholders revealed that capacity and resource constraints of the municipal body are among the main reasons for this difference in the performance of municipal bodies. While the larger municipal corporations still have access to funds, the smaller municipal councils are financially very weak. Further, the devolution of functions to the municipal bodies is also affected by the fact that in some cities the parastatals, which traditionally delivered certain basic functions, have not been dismantled. As a result, they continue to perform certain functions, which may have been passed on to the municipal bodies through an amendment to the Municipal Act. Amongst municipalities in Gujarat, Surat stands out as an example of good municipal governance. Over the years, the Surat Municipal Corporation has taken a number of initiatives to improve its internal working, which reflects finally in the quality of services provided to the public. Citizens in Surat are fairly satisfied with the quality of basic service and have a strong sense of pride in the city. Discussion with stakeholders in Surat and in other two cities visited as part of this study brought out that the case of Surat is unique and the success in municipal reforms was largely an individuals initiative (the executive head). It was also forced upon the administrative machinery by the outbreak of plague in the early 1990s and the subsequent public discontent with the city administration. The visit to Shillong provided an extremely useful understanding of the predicament of the north-eastern states like Meghalaya. Being a predominantly tribal area, most parts of the state do not even come under the purview of the 74th Constitutional Amendment. The state has its own structure of local governance called the Dorbars, which is an extension of the rural structure into the urban areas. It comprises traditional elected representatives who work along with the locals for the provision of basic services. The municipal body has control over a very limited area. An important learning from this state is that the urban reforms mandated under the JNNURM (Jawaharlal Nehru National Urban Renewal Mission), may not be implementable in a few of the north-eastern states. Therefore, development projects in these cities will have to funded through other schemes or through modifications in the requirement for mandatory governance reforms under the JNNURM. Certain other recommendations of the 74th Constitutional Amendment, which provide for greater public participation and inclusion of municipal bodies in planning,
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have not been realized in many cities. Ward committees, which provide space for citizen participation in urban governance, have been constituted in only nine states and are functional in even fewer states. For instance, in Andhra Pradesh and Karnataka, the ward committees are practically non-functional except in Hyderabad and in Bangalore. Kerala is a unique example where ward committees have been constituted in every ward and in towns with a population of over one lakh . The DPCs, which were to enable consolidated planning and which envisaged a larger role for municipal bodies in planning have been constituted in only ten states. Of these states, DPCs are not functioning in at least three states. The provision for constituting an MPC (metropolitan planning committee) has been implemented by a single stateWest Bengal (Mathur 2007).
Community Participation Law

It is acknowledged by policy-makers that there is a need for greater community participation in urban governance in order to improve the state of urban services. The Community Participation Law seeks to empower citizens and to make local governments accountable. This law has been built into the JNNURM and made a mandatory reform measure in order for states to avail funding under the JNNURM. The area sabha under the Community Participation Law is an urban counterpart of the gram sabha. Gram sabhas have proven to be effective in improving information levels, providing opportunity for marginalized sections, and have positive outcomes for the poor. The same benefits were expected to emerge through the establishment of area sabhas in urban areas. Currently, the community initiatives addressing the poor are the self-help groups and the user groups supported by the NGOs. Also, neighbourhood-level concerns are Box 2 Provisions of the Community Participation Law
The Bill prescribes the area sabha as the last platform for representation in the hierarchy, where ward committees and municipal corporations are immediate levels that follow. Every polling station, the smallest unit, defines the boundaries of the area sabha. The Bill prescribes the structure, rights, powers, and functions of the area sabha. The bill also prescribes, detailed provisions regarding constitution and governance of Ward Committees. The law enables constitution of area sabhas, which are essentially entities governed by an area representative. The election of the office of area sabha representative in the various areas in any municipality shall be conducted under the aegis of the State Election Commission. The area sabha representative of any area shall be a member of the ward committee of his own ward. The area sabha representatives would constitute not less than two-third of the total members of the ward committee. The aim behind constituting area sabhas under the law was to increase representation from the grass roots. This would be made possible by allowing for the representatives from each polling booth, that is, each area sabha to become members of the ward committee. Thus, the number of area sabhas within a ward would equal the number of members within the ward committee of that ward. Therefore, the larger the municipality, the greater the number of wards and greater representation from area sabhas. Also this would imply increased and active participation of the citizens in the decisionmaking process.
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usually taken care by the RWAs. However, these have no formal links to the municipal systems. The area sabha system can prove beneficial at this stage to formalize community participation within the local governance mechanism. Mumbai has successfully adopted the model of the area sabhas. Overall, the implementation of the Community Participation Law is poor. So far, only three states, namely, Andhra Pradesh, Assam, and Gujarat have enacted the law.6
Public Disclosure Law

The Public Disclosure Law (on the lines of the Right to Information Act) seeks to empower citizens and make local governments accountable and transparent in their functioning. The implementation of public disclosure law is also far from satisfactory. So far, only six states Andhra Pradesh, Assam, Gujarat, Maharashtra, Tripura, and Uttar Pradesh have enacted the Public Disclosure Law.7 Discussions with stakeholders brought out that municipal bodies generally provide for public disclosure through the RTI (Right to Information) Act or through their public grievance mechanism.
Analysis of the urban reform initiatives

The GoI (Government of India) initiated fiscal and infrastructure reforms to face the challenges of meeting ever-increasing urban infrastructure demands.
Resource mobilization (fiscal reforms)

In order to further strengthen the ULBs, reforms were suggested in 2002/03 with the prime focus on improving the governance and management of cities. These reforms focused on new concepts and tools to meet the urban infrastructure challenges. Some of the new approaches that were adopted to improve the urban infrastructure status included the following. P Developing commercially viable urban infrastructure projects P Financing by accessing capital market Box 3 Provisions of the Public Disclosure Law
The states, under the JNNURM, are required to enact a Public Disclosure Law, which mandates local bodies to periodically disclose information to its citizens. This law is meant to provide transparency and accountability in the functioning of municipalities wherein every municipality enacting this law shall have to maintain and publish all its records duly catalogued and indexed. The disclosure law shall include disclosure of information relating to service levels, capacity, expenditure and income, municipal deliberations, planning, and budget.
6
http://www.transport.vic.gov.au/doi/internet/transport.nsf/AllDocs/FE45C4AFFB575E49CA256E7C00208161? OpenDocument#survey; last accessed on 28.10.08 http://www.jnnurm.nic.in/nurmudweb/cityuser/reform_data /overall_status.pdf
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P Credit rating of municipal and urban infrastructure entities P Forging publicprivate partnership in the provision of urban infrastructure In addition to these new approaches, the role of IT in improving urban governance and management was also recognized. Three instruments URIF (Urban Reform Incentive Fund), CCF (City Challenge Fund), and PFDS (Pooled Finance Development Scheme) were initiated to catalyse urban sector reforms. In order to provide financial support for reforms, the URIF, with an initial allocation of Rs 500 crore, was announced in the Union Budget of 2002/ 03. The fund was set up to provide reform-linked assistance to the states by entering into an MoA (memorandum of agreement) with the central ministry to implement the following reforms. P Repeal of Urban Land Ceiling and Regulation Act P Rationalization of stamp duty P Reform of rent control P Introduction of computerized process of registration P Reform of property tax P Levy of reasonable user charges P Introduction of double entry system of accounting in ULBs By 2005, 24 states had signed an MoA under URIF but only a few of them had implemented the reforms. URIF was discontinued as a separate scheme in the same year and subsumed when the 2005/06 budget called for setting it up again as a part of the JNNURM. The GoI, in an effort to push forward and strengthen the reform agenda, merged all the ongoing improvement schemes into three schemes, namely, the JNNURM, the UIDSSMT (Urban Infrastructure Development Scheme for Small and Medium Towns); and IHSDP (Integrated Housing and Slum Development Programme). These schemes are discussed in detail in the following sections. Jawaharlal Nehru National Urban Renewal Mission In 2004/05, it was realized that the financial support provided to the state governments for urban infrastructure development through centrally sponsored schemes were meagre. It was then that the GoI launched the JNNURM in December 2005, a programme for providing central assistance to the ULBs for urban infrastructure development, linked to their commitment to implement the prescribed reforms. Cities with million-plus population, state capitals, and cities of cultural and tourist importance have been included with an estimated allocation of 50 000 crore, which included investment for basic infrastructure and services for a period of seven years (200512).
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The Mission was launched to integrate the various reform initiatives and pace up the efforts to overcome fiscal stress faced by the ULBs for the development of the urban infrastructure in cities. The JNNURM as envisaged aimed at creating economically productive, efficient, equitable and responsive cities. The centrepiece of the approach was urban reforms and in order to achieve the desired outcomes, a reform agenda was formulated. The major components of the reform agenda linked to the JNNURM include the following. P Strengthening ULBs by devolving functions and financial powers as envisaged in the 74th CAA P Changing existing legislations and enacting new ones to facilitate reforms, improving the financial management and accounting systems and other capabilities P Reforming property tax administration and assessment to increase coverage and compliance P Rationalizing the rates of user charges, duties, fees, and so on P Improving governance and service delivery through ICT applications, and improving access to basic services by the urban poor and providing them security of tenure at affordable prices The main goals of the JNNURM are improving and augmenting the economic and social infrastructure of the cities, ensuring basic services to the urban poor, including security of tenure at affordable prices, initiating wide-ranging urban sector reforms, strengthening municipal governments and their functioning, and increased public participation and improved governance. While 63 selected cities have been brought under the purview of the JNNURM, ULBs of remaining cities are proposed to be covered under the UIDSSMT and IHSDP. Urban Integrated Development Scheme for Small and Medium Towns The scheme applies to all cities/towns as per the 2001 census, except cities/towns covered under the JNNURM. The allocation of funds among states will be on the basis of the states urban population to total urban population in the country, and states may allocate funds to towns/cities based on similar formula. However, funds would be provided to only those towns and cities where elections to local bodies have been held. The state governments may prioritize towns and cities on the basis of their felt need. The objectives of this scheme are to improve infrastructure facilities and help create durable public assets and quality-oriented services, to enhance PPP (publicprivate partnership) in infrastructure development, and to promote planned integrated development in the towns and cities. The sharing of funds would be in the ratio of 80:10 between the central and state government and the balance 10% could be raised by the nodal/implementing agencies from the financial institutions.
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P P P P
Higher priority would be given to the following projects under the project. Water supply (including desalination plants) and sanitation Sewerage and solid waste management Road network Construction and improvement of drains/storm-water drains.
Cities/towns/parastatals will be sanctioned project-based grants/loans that in turn would leverage, to the extent feasible, additional resources from financial institutions/ private sector/capital market. 3. Integrated Housing and Slum Development Programme The IHSDP focuses on improvement of slums in cities and towns not covered under the JNNURM. The target group under the scheme is slum dwellers from all sections of the community through a cluster approach. Allocation of funds among states will be on the basis of the states urban slum population to total urban slum population in the country. The programme aims at ameliorating the conditions of urban slum dwellers, who do not possess adequate shelter, lack provision of basic services, and reside in unhygienic conditions. The scheme seeks to enhance public and private investments in housing and infrastructure development in urban areas. The components of the scheme will include all slum improvement/upgradation/relocation projects, including up gradation/new construction of houses and infrastructure facilities.
Observations on the JNNRUM programme

The JNNURM reform agenda calls for a number of measures to improve urban governance, and states have to undertake reforms at the state and city level in order to access JNNURM funds. However, as implementation gets under way, it comes out that while all state governments have committed to undertake governance reforms as stipulated under the JNNRUM within a specific time-frame, most have not provided any detail plan of action on how the reforms would be implemented. Already, a number of states have missed deadlines for key governance reforms.8 Interaction with statelevel and municipal officials brought out a number of issues related to the JNNURM. The part funding, which has to be organized by ULBs, has been a major impediment for accessing funds under the JNNURM. Most municipal bodies are not in a position to organize these funds either internally or from the market. Capacity constraints of the municipality are a major reason why municipal bodies cannot undertake even the mandatory accounting reforms recommended by the JNNURM.
8
Based on review of data on city-wise reforms under JNNURM available at http://jnnurm.nic.in/nurmudweb/cityuser/ reform_agenda.aspx
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The experience so far also shows that while the JNNURM is essentially directed towards urban reforms, the response to it has been more in the form of demand for project-specific funding and cities have not developed a vision. Literature review also brings out that the stakeholder consultation during the preparation of the CDPs (City Development Plan) was inadequate and that lack of reliable and updated databases will affect the monitoring and evaluation of the programme (Chamaraj 2006).
Impediments in improved urban governance

Urban governance and management have predominantly been the constitutional domain of state government. The municipal bodies have been functioning under the state governments, which have been delegating authority, powers, and functions to them through state legislative enactment. These local institutions of urban government have become weak over the years due to a host of factors, including encroachment on traditional and legitimate municipal functions by creating parastatals and urban development authorities, weak executive system, fragile fiscal health, and inadequate staffing and expertise in municipal management (Tewari 2004).
Issues in decentralization
As discussed in the earlier section on implementation of the 74th Constitutional Amendment, states have incorporated provisions in their Municipal Acts for transferring additional functions to the municipal body, but the extent of functions transferred differs from state to state. Further, the performance of Municipal Bodies in undertaking these functions varies from city to city even in the same state. Discussions with stakeholders brought out that capacity and resource constraints of municipal bodies are the major reasons for this difference in their performance. While the larger municipal corporations still have access to funds, the smaller municipal councils are financially very weak. Further, the devolution of functions to the municipal bodies is also affected by the fact that in some cities, the parastatals, which traditionally delivered certain basic functions, have not been dismantled. As a result, they continue to perform certain functions that may have legally been passed on to the municipal bodies. The continued existence of the parastatals has led to overlaps and often conflicts in the roles and responsibilities of each agency involved in municipal governance. In such a scenario it becomes difficult for the citizens to hold any particular agency responsible for inadequate service delivery.
Financial impediments
The ULBs are financially weak, and while there is provision to levy and collect adequate user charges, such provisions are not fully utilized, mainly due to populist considerations. The administration and collection of taxes, fees, and user charges are highly inefficient.
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Many municipal bodies are running into deficits and are heavily dependant on government grants. The state budgetary allocations have, however, been drying up for most states, and it is being realized that the traditional system of funding based on plan and budgetary allocations will only reduce in the future.
Operational capacity issues

Most ULBs face problems due to lack of capacity, improper staffing patterns, and lack of standardization. They do not have the institutional, operational, educational, and legal capability to develop commercially viable infrastructure projects, mobilize resources for the projects, and implement them. A case in point was the Shillong Municipal Corporation, where discussions with officials brought out the fact that not a single training programme had been conducted for the municipal officials since the corporation was set up. Even in case of Surat, stakeholders opined that though training programmes for municipal officials were held at regular intervals, they were far from sufficient. Capacity building needs are far greater for the lower levels of staff in the municipal bodies. Lack of adequate training is the main impediment in introducing new technologies and management styles in the working of the municipal corporations. E-governance initiatives, accounting reforms, and in fact, even private participation all require a certain level of training of the staff on IT systems, accounting norms, and so on. Discussions in Surat brought out that attracting private investment in service delivery was difficult because the SMC lacked professionalism.
Insufficient public participation

The urban governance system lacks peoples involvement in the decision-making process. While there is little effort on part of the municipal bodies to include people in the process, the problem gets compounded by the fact that there is very little awareness amongst citizens themselves on their role in the governance process. The Shillong experience brought out that even community-based traditional forms of governance are inadequate, given that they do not provide for womens say in civic matters.
Issues in transparency and accountability

The lack of transparency and accountability in the working of urban local bodies has already been brought out in the earlier discussions on the Municipal Disclosure Law. The main impediment towards achieving transparency and accountability is not the lack of understanding on the need for the same but the lack of means to achieve the same. Most ULBs are severely capacity constrained both in terms of funds and manpower. In such a scenario, it becomes difficult to put in places systems that would enhance accountability. In fact, the root cause of the problem of inefficient service delivery is the capacity constraints of ULBs.
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Issues in equity
Service delivery to the urban poor is inadequate. Even where services are provided, the quality, quantity, and point of access are all areas of concern. The major impediment in providing services to the poor is the problem of land tenure. Municipal bodies demand proof of residence for giving out water connections, something that slum dwellers cannot provide. As a result, slum dwellers depend on informal agents for basic services. In fact, contrary to the assumption that the poor cannot pay, the slum dwellers end up paying higher charges for services provided by informal agents. Lack of equitable distribution, insufficient access to basic services, and lack of inclusive planning were common issues observed in all cities visited, though the extent varied from city to city. It was learnt that the slums notified within the city were provided with basic services. However, illegally occupied areas by the poor were left out of the schemes. Discussions with stakeholders brought out that in Hyderabad, when the development authorities relocated slum dwellers in order to provide them housing, issues emerged regarding the increased distance to work and the resulting impact on livelihood. Identification of the urban poor is itself an issue. There is need for better targeting and proper identification of the urban poor. Lack of adequate data often leads to exclusion of the poor from development plans.
Recommendations for governance

A review of governance issues in the provision of urban basic services clearly reveals that the biggest challenge in urban reforms is the weak capacity of the municipal bodies. Devolving additional responsibilities to these bodies as mandated under the 74th Constitutional Amendment Act would remain a futile exercise for state governments if these additional functions are not simultaneously accompanied by additional resources and powers for these bodies. Similarly, enhanced accountability, transparency, and public participation in the working of municipal bodies would only be possible if the municipal bodies have adequate capacities to put in place systems that would support greater transparency, accountability, and participation. The most immediate requirement is, therefore, to focus on the capacity building of the municipal bodies. Since the capacities vary widely from city to city, it is necessary for all municipal bodies to assess their existing capacities in terms of their personnel, operational, administrative and resource generation capability. As a first step, all municipal bodies need to assess the sufficiency of their manpower in terms of their mandate. Municipal bodies would need to assess their existing skill sets with respect to the additional responsibilities that have been devolved to them under the 74th Constitutional Amendment. They should consider adding experts/ specialists such as chartered accountants and environmentalist on their payrolls.
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As a second step, the municipal bodies should identify the areas where they are not sufficiently equipped and where it would be useful to invite private participation through subcontracting, PPP, and other arrangements. As a third step, municipal bodies, need to take stock of their administrative process, identify those areas where delays occur, and consider introducing IT-enabled procedures to minimize delays. The fourth step is to undertake a comprehensive accounting of the expenditure incurred on each service against revenue realized from the service. Such a comprehensive assessment will give each municipality a fair assessment of its problems, as well as specific needs. In this section, this study suggests recommendations that would be applicable to almost all municipalities, as it focuses on issues common to all. The recommendations have been discussed under the identified parameters of good governance. Some of these recommendations will have to be implemented simultaneously while others can be prioritized. For instance, devolution of power has to be accompanied by capacity building of municipal bodies. However, while implementing measures to improve the financial health of the municipal bodies, recommendations for improved financial management (double accounting, and so on) will need to be undertaken before the municipal body can explore alternate sources of funding.
Decentralization Identifying core functions for all municipal bodies

The role of municipal bodies9 is not uniformly defined and varies from state to state. This institutional arrangement arises because the 74th Amendment leaves it to the respective states to determine which of the 18 functions defined in the XIIth Schedule they would devolve to the municipal bodies. Further, in most states, besides the local bodies, there are a number of parastatal involved in the delivery of services. Water supply for instance is a function provided by government departments/parastatals in some cities and is shared between the parastal and municipal body in some cities. Often, the municipal bodies manage the O&M (operation and maintenance) works relating to water supply while the parastatal/ government department manages the capital works. There are also overlaps in the responsibilities of the parastals and the municipal bodies, and often, it becomes difficult for citizens to hold any particular agency responsible for a service. Moreover, the parastatals are accountable to the state government and, therefore, consider themselves totally above and superior to the municipal body. This study recommends identifying a set of core functions as mandatory functions for all municipal bodies across the country. These functions are the following.
9
Unless specified, municipal bodies include all the three forms of local governance (municipal corporation, council, and nagar panchayat
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P P P P P P P P P P P
Water Supply Drainage and sewerage Solid waste management Preparation of plans for economic development and social justice Communication systems (such as construction and maintenance of roads) Transport system accessories (street lights, parking areas) Community health and protection of environment Markets and slaughterhouse Promotion of educational, sports and cultural activities Aesthetic Environment City Planning
All these functions, with the exception of city planning, have been identified as core municipal functions under Chapter 6, Section 47(1) of the Model Municipal Law.10 Also, most Municipal bodies are mandated to perform these functions under their respective State Municipalities Acts. In addition, municipal bodies should also be involved, especially in planning-related activities in transpor t, power, and building. As par t of this study, specific recommendations have been made on the role of the municipal bodies in power, transport, and buildings and are discussed in the respective chapters on power, transport, and building of this study. In the Stakeholder Workshop organized by TERI on 12 December 2008, a few urban sectors experts opined that a set of core functions cannot be assigned en mass to all municipal bodies. Instead, core functions should be assigned to municipal bodies based on the size of the city and its geographical characteristics. This study acknowledges the fact that the municipal bodies in small and transitional cities (municipal councils and nagar panchayat) may not be equipped to handle certain functions. However, assigning functions based on the size of city would be inappropriate because this would inevitability imply assuming that all municipal bodies in smaller cities are ill equipped or less equipped than their counterparts in metros and larger cities. Further, given that the devolution of additional functions is a constitutional mandate, a more studied approach would be to assign the responsibility of these functions to the municipal bodies and leave it to the respective municipal body to evaluate whether it has the requisite capacity to undertake these responsibilities. Wherever a municipal body does not have adequate capability, it can assign a parastatal to undertake a specific function on its behalf. The parastatal should then be made accountable to the municipal corporation rather than the state government. Experts present in the Stakeholder Workshop agreed that the main issue with parastatal was
10
http://urbanindia.nic.in/moud/legislations/li_by_min/ Model_Municipal_Law/indexmml.html
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concerned with design, wherein instead of municipal bodies, parastatals report to the state government. Specifically on the function of water supply, this study recommends that water supply should remain a responsibility of the municipal body. However, given the capacity constraints of some of the municipal bodies and given that in a number of cities the government department provides this service, it is recommended that municipal bodies should manage the O&M functions to begin with and gradually also take over the capital works. This study also recommends that urban agglomerations should be brought under the purview of the nearest municipal body within a fix time-frame. Meanwhile, there should be a coordination mechanism between the municipal body and the service provider to ensure that the service provided in these areas is at least equivalent to that of services provide in the municipal areas.
Delegation of power within the municipal body

A review of the reform initiatives undertaken by the Surat Municipal Corporation and the Ludhiana Municipal Corporation brings out that increased decentralization in the working of municipal bodies is a key factor in improving service delivery. In Surat, the officials at the zonal level were given sufficient financial powers that allowed them to take important implementation decisions for resolving consumer issues. These implementation initiatives would have otherwise been lost in the rigmarole of approvals at the higher levels of the municipal bodies. Similarly, in Ludhiana, redressal of complaints, tax collection, and many other functions were decentralized to the zonal level. This improved operations, collection of taxes, and consumer satisfaction. This study, therefore, recommends that officials at the zonal level should be given more financial authority/autonomy, and more issues should be resolved at the zonal level.
Capacity
Since it is well acknowledged that the municipal bodies are capacity constrained, the prime focus should be on capacity building. Municipalities need to strengthen their personnel, operational, financial, and technical capabilities.
Personnel capacity
As a first step, each municipal body should formulate a detailed human resource policy, spelling out the guidelines on recruitment, remuneration, career progression, and training. This policy should be followed on a continuous basis, irrespective of any changes in management of the municipal bodies. Municipal bodies should endeavour to link promotions to the productivity of employees. This has successfully been implemented in the Ludhiana Municipal Corporation.
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As a second step, municipal bodies should provide for additional staff in areas requiring specialized expertise, such as accountancy and environmental issues. As a third step, municipal bodies should regularly organize training programmes to upgrade the skills of its employees. The basic training programmes should pertain to training on IT-enabled systems and training to familiarize with new accounting norms and systems. Further, and as was rightly brought up in the Stakeholder Workshop, capacity building programmes should be demand driven rather than the current approach based on availability. Employees of the municipal bodies will also need to be made aware of sustainability issues.
Municipal bodies should focus more on the management of service delivery and should involve themselves in the delivery of those services where alternative options of service delivery are not available or are not cost effective. The possibility of private participation should be explored in areas where it would be cost effective to involve private players and in areas where municipal bodies lack capabilities. It is recognized that private participation may not be viable in specific municipal functions. A pragmatic approach would be to invite participation in areas where it can help improve efficiencies, but where not much investment is expected from the private player. These could be areas such as billing and collection of user charges. In areas where private participation is necessary and where private investors are not forthcoming, the state government should explore options for viability gap funding. Further, once private participation is sought, it is important to ensure that private participation is governed by well defined concession agreements/contracts.
Technical capacity
The processes followed by municipal bodies are often outdated and cumbersome. There is an urgent need to introduce modern technologies in the management and delivery of services by the municipal bodies. As a first step, there is need to increase awareness on the technology options available for municipal functioning and thereafter provide access to these technologies as per the requirements of the municipal bodies. National and regional institutions of excellence should be given the responsibility of conducting regular training programmes to educate municipal officials on adopting new technologies. The basic technological requirements would be IT-enabled systems (for e-governance) and GIS (geographical information system). As part of this exercise, municipal bodies, should review their current procurement rules and adopt practices such as online tendering in order to bring in transparency in the award of contract.
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Financial capacity
Financial capacity of municipal bodies is an area of urgent concern. Municipal bodies have access to limited number of taxes and most of the remunerative taxes remain with the state government. However, to begin with, instead of giving additional taxation powers to the municipal bodies, it would be more fruitful to improve the tax administration and weed out inefficiencies in assessment and collection of taxes. Financial reforms will have to be implemented in three phases. 1 As a first step, all municipal bodies should adopt double entry accrual-based accounting and improved financial management practices. 2 As a second step, there should be focus on improved billing and collection of user charges. 3 At a later stage, the focus should shift towards exploring alternative sources of income, primarily through market-based instruments. These recommendations on financial capacity are discussed in detail in the following sections.
Accounting reforms
P Accrual-based system of accounting should be followed rather than cash based P Auditing of accounts by independent authority of municipal body should be mandatory
Recovery of user charge

P User charges should be rationalized and revised periodically. Public consultations should be held while revising tariffs, on the lines of consultations in the electricity and telecom sector. P Municipal bodies, to begin with, should recover the O&M charges for services provided. Gradually, part of the capital cost should also be covered. The state government should provide subsidy, if any, from its budget either to the municipal body (as in case of the electricity sector) or through a voucher system for the urban poor. P Stiff penalties should be imposed for non-payment of user charges, including disconnection of services. P Billing and collection should be strengthened. P Municipal bodies should install customer-friendly payment mechanisms. In Delhi, the privatized electricity companies have introduced online billing and payment systems. Some municipal bodies are now tying up with banks and with shopkeepers to provide outlets closer to the citizens for depositing payments.
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Effective tax administration

P Loopholes in effective tax administration need to be identified and remedial measures taken. P Incentives can be built into the system for improving tax collection. Some municipal bodies have introduced rebates for early payment of taxes. Initiatives such as property tax self-assessment have worked well in cities like Hyderabad. P The billing and collection systems need to be strengthened. These systems should be made IT-enabled as far as possible. P Incentives and penalties should be imposed on municipal staff responsible for billing and collection.
New and innovate means of financing

In the long run, as discussed earlier, the emphasis has to be on improving the health of institutions through better asset and exploring alternate sources of funding. There are several ways of earning additional income from the assets of the municipalities. Property is a major asset, and municipalities have vast tracts of land in prime areas, which can be developed for commercial purposes and revenues can be earned. In Ludhiana, reconciliation of old land/revenue records alone led to unearthing of 800 properties valued at Rs 190 crore. The Model Municipal Law has recommended a provision to be included in the Municipal Act, which requires that the municipality shall prepare an inventory of properties of municipality and, each year, present a report on changes made in the holdings of its immovable properties, along with the budget estimate. This provision should be incorporated in all municipal acts. Municipal bodies can hand over the management of their assets to private parties for a consideration. Municipal bodies should consider imposing development charges on developmental activities such as building of flyovers. The Hyderabad Urban Development Authority has started levying this kind of development charge and has successfully improved its financial position. Municipal bodies will inevitably need to move towards market-based funding alternatives such as bonds and institutional finance. Resorting to the market will also compel the municipal bodies to improve their performance.
Accountability and transparency

Under the JNNURM guidelines, all state governments need to enact the Municipal Disclosure Law, as a precondition for availing funds under the JNNURM. This law is meant to provide transparency and accountability in the functioning of municipalities, wherein every municipality enacting this law will have to maintain and publish all its records and disclose information on a quarterly basis through newspapers, Internet, and notice boards of the municipality and through the ward offices. This law needs to be enacted by all states and implemented by the
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municipal bodies. The following information should necessarily be provided by all municipal bodies. P Audited financial statements on at least an annual basis P Information on service levels P Planned and actual expenditure P Details on subsidy received from the government P Details of master plans P Annual budget allocated to each ward The state governments should strengthen this mandatory disclosure by organizing independent audits and surprise checks. E-governance initiatives need to be greatly encouraged as it is an extremely effective and in the long run, a cost-effective tool in increasing information availability. Increase flow of information between citizens and the municipal body would improve accountability. In a few cities such as Bangalore and Hyderabad, citizens are provided facility to submit their grievances online. Thereafter, they can track the status of the submission and in case of delays, track the municipal functionary responsible for delays in redressal. A similar facility is provided to citizens for applying for new service connections. Municipal bodies should be accountable for the services they provide. An assessment of the quality of service will also indirectly provide an assessment of the quality of urban governance. The MoUD (Ministry of Urban Development) has recently issued the SSLB (Standardized Service Level Benchmark) for benchmarking urban services (water supply, sewerage, solid waste management, and storm-water drainage) on select indicators. The MoUD has also suggested a mechanism for regular collection, collation, and analysis of performance data at various levels of governance and broadly defined the role of each agency in compliance and monitoring. It has further suggested that this performance data should be included in the set of information disseminated under the mandatory public disclosure law and that performance reports should be generated based on these indicators. TERI in this report has suggested additional indicators for water and solid waste, as well as set of indicators for building and power. These SSLB indicators should be operationalized by all states, and municipal bodies should be required to periodically submit reports on their performance under these benchmarks. In order to further enhance accountability, citizens should also be involved in the examination of the performance reports through the area sabha, RWAs, and NGOs. Based on these SSLB benchmarks, an annual performance rating of the municipal body should also be undertaken. The rating should be undertaken for three sets of municipal bodies within a statethe corporation, council, and nagar panchayat. To begin with, rating can be undertaken for all municipal corporations in a state. This initiative will have to be spearheaded by the state government and
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coordinated by the Urban Development Department. The latter would ensure that the municipal corporation submit the performance report card at regular intervals. The purpose of such a rating would be to create competition between the municipal corporations within a state to improve performance. Such a rating can then be linked to disbursal of funds by the state finance commissions, that is, the better rated corporation would receive more funds. A more fundamental requirement is for a change in mindset, from looking at the consumer as a beneficiary of the state services to a consumer who pays for the service he receives. While this change in mindset would have to come about by creating awareness amongst both the service provider and the consumer, systems will have to be put in place to resolve consumer grievances. It is recommended that a nodal officer be appointed for each department within the municipal body who is responsible for redresssal of consumer issues. Further an independent authority should be appointed to resolve dispute between consumers and between municipal body and the consumer. The 2nd Administrative Reforms Commission in its report on Local Governance has recommended setting up an ombudsman at the municipal level but its role has been restricted to addressing issues of corruption and maladministration. Such an ombudsman has been already set up in Kerala under an amendment to the Kerala Panchayat Raj Amendment Act, 2001. This ombudsman, an independent quasi-judicial authority, is mandated to investigate complaints against local governments (both urban and rural) and their functionaries. This study instead suggests establishing an ombudsman on the lines of the ombudsman in the electricity sector that would resolve consumer disputes and issues. The Electricity Act, 2003, has made provision for an ombudsmans under Section 42. This ombudsman is appointed by the state electricity regulatory commission, which also provides for financial support for the ombudsman. This ombudsman is required to submit annual reports of their functioning to the SERCs. This proposed ombudsman for addressing consumer issues with respect to municipal services should be appointed by the state government and should directly report to the state government. Provision for appointment of ombudsman will have to be made through appropriate amendment to the Municipalities Act of the states.
Recognizing the need for participation and planning from below, the JNNURM has made it mandatory for states to enact the Community Participation Bill. The Community Participation Bill has listed important functions of the area sabhas and the ward committees. Area sabhas are required to prepare proposals and schemes for development programmes, verify the beneficiaries of the state support, identify deficiencies in water supply and street lighting, and provide support in tax mapping. Similarly, the Ward Committees are required to assist in supervision of solid waste management in the ward, prepare development schemes, mobilize labour for social
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welfare schemes, assist in timely collection of taxes, and preparation of ward budget. All these are core functions of municipal bodies and public participation in these processes is expected to strengthen these services. This law, therefore, should be enacted by all state governments and implemented by the municipal bodies. It is essential to involve citizens in the actual delivery of services. This would not only help in understanding the concerns and needs of citizens but will also make citizens more aware of the need for conservation at the user level. Citizens should be involved at least in the following activities. P Citizens should be involved in planning and budgeting of municipal activities as done in Kerala and in a number of countries worldwide. P Citizens should be involved in the maintenance of community halls/parks, and so on. This will not only improve the quality of urban life but will also inculcate a sense of responsibility and ownership amongst citizens. P It is important to include industry associations or individual companies in the maintenance of community assets such as parks, and so on. In a number of cities, maintenance of parks is given out to companies/financial institutions. In return, these companies are given advertisement space. P Citizens should also be involved in initiatives like water and electricity conservation. This involvement of citizens would also reduce demand for municipal services. P Above all, it is important to raise civic awareness amongst citizens so that they cooperate with the municipal bodies in improving the cities.
Equity
P The foremost requirement is to organize and maintain a strong database on the urban poor. GIS tools should be used in developing databases. P Technologies such as smart cards need to be introduced, which would do away with the need for tenural security in the provision of municipal services in unauthorized areas, including slums. This recommendation on smart cards has been delved into in detail in the paper on Sustainable Service Delivery in Slums, included as part of this study. P Inclusion of integrated housing projects for the urban poor in the larger development projects in a city or a region should be encouraged. Policies that provide incentives to the private developers to invest in affordable housing for the poor are recommended. More importantly, these schemes need to be made time-bound in order to ensure that private developers keep their commitments. P The government can provide differential pricing for the poor through subsidy, but this subsidy should be well targeted through the use of smart cards or vouchers that are given to the identified urban poor for a minimum level of consumption.
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Sustainability cell
To achieve the sustainability goals within a municipal organization, it is recommended that a sustainability cell be established within each municipal body, which would work towards achieving the sustainability goals of the city. The set-up could be a state-level sustainability committee having senior level planners, researchers, academicians, and NGOs as members. This committee would act as an advisory committee, which will guide and coordinate with the municipallevel sustainability cells. The sustainability cell at the municipal level would develop a mandate and sustainability indicators as per the city-specific needs and demands and pressure on the resources. One of the major areas for interventions would be in planning. The sustainability cell with the municipal body would ensure that every development plan or master plan that comes to the management team meets the sustainability criteria. All the initiatives of sustainability with respect to use of energy, water, and construction of buildings (which have been suggested in the individual sector reports) should be made the mandate of the municipal level sustainability cell. This cell should carry out studies to assess the carrying capacity of cities. It would also work on capacity building and raising awareness of municipal staff and the public on climate change and sustainability.
Provision of basic services by municipal bodies in case of transitioning cities

The 74th Constitutional Amendment Act on decentralization provides for the constitution of nagar panchayats for urban peripheral areas or transitioning areas. Most Indian states, however, have not been able to constitute nagar panchayats for these transitioning areas. This has led to many such areas being governed by the gram panchayats, which in turn have limited functional purview, which is insufficient for the development of the city in transition. As a result, the governance of transitioning areas is left at the mercy of the central and state government. For such areas, this study recommends that the nagar panchayats be constituted as soon as possible and the necessary functions be delegated to them. The nagar panchayat can take the assistance of the state agencies/parastatals in the actual delivery of service.
City planning
In most states, planning is undertaken under the development plans and master plans, which are either prepared by the town planning departments or the development authorities. Municipal bodies are not involved in preparation of the development and master plans and are generally only involved in implementing the plans. The multiplicity of agencies also results in conflicts and overlap in the actual role of each.
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A major impediment in the development planning process has been the master plan approach that is followed. The master plans address issues that are long term but fail to earmark short- or medium-term action plans to achieve them. Second, usually the agency preparing the plan is different from the agency responsible for implementing them; hence, there is often misinterpretation in the actual implementation. The master plans have been criticized on the ground that they have been unrealistic, as they do not delve into the capital budgets required for the purpose of the development. The urban planning process is devoid of an integrated approach. The spatial and functional linkages at state region and local levels are explored. The third impediment in development planning for urban areas has been the inadequate implementation of the master plan and subsequent monitoring. This has made the Master plans mere policy documents.
Recommendations on planning
There is an urgent need to address the following issues pertaining to the mandate, powers, and functions of the agencies involved in planning. P It needs to be decided as to who should prepare the development/master plans for the urban area. Should the master plan be prepared by the parastatal, which has been hitherto doing it or should the ULB prepare it considering that now planning function has been devolved to the ULB? P Further, if the ULB were to prepare the development plans for their area, are they well equipped (in terms of skills, manpower, expertise, and technical know-how) to do so? (This was a concern specially raised at the Stakeholder Workshop.) P What would be the role of the parastatals if the urban local body take up the job of preparing the development plans? These were some of the issues that emerged during the city visits. In Surat, for example, an MPA (Metropolitan Planning Authority) is in the process of being set up. However, most officials of the SMC were of the view that formation of an MPA would not be of much help. Since the SMC and SUDA (Surat Urban Development Authority) are responsible for planning and infrastructure in city, formation of another authority would not only lead to multiplicity of organizations but also overlapping mandates. In case of Hyderabad, the town planning department under the GHMC (Greater Hyderabad Municipal Corporation) is only responsible for approval of building plans and regularization of structures in its jurisdiction. It is not responsible for any planning functions, which are undertaken by a separate agency (Hyderabad Urban Development Authority). This is unlike the case of Surat, where the planning process is coordinated between the Town Planning Department and the Town Development Department, both of which come under the SMC. The Town Planning Department in Hyderabd deals
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with the planning functions (such as preparation of master plans) whereas the Town Development Department gives permission for construction, regularization of illegal constructions, , and so on. A similar situation exists in many cities across the country and a strong decentralized local governance system is yet to emerge. It is recommended that it should be the responsibility of the municipal body to prepare the city plan. The development authority or the town-planning department should be merged with the respective municipal bodies and should act as a technical wing of the municipal body. Within this governance structure the development authority for the urban development department, should prepare the master plan for the municipal body. In case of non-metro cities, these plans should not be considered as stand-alone plans but should be integrated into the district and regional plans by strict planning. The MPC can take care of the metropolitan area and the urban agglomerations falling in the purview of the metro. The recommended arrangement is shown in Figure 1. It is recommended that the DPC take up the regional role in development planning and coordinate and consolidate the individual development needs of the urban local bodies falling in their district to assess district-level investment and planning decisions. Coordination between the MPC and DPC is also recommended to ensure how much of the investment would be directed towards the metropolitan region and that the interests of other regions /municipal areas are not compromised. The master plans should be designed and prepared in such a manner that the long-term vision is broken up into short- and medium-term actions, which are
Figure 1 Proposed structure for coordinated planning
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monitored regularly for consistency of implementation and investments. The master plan should be reinforced with a strong information base, which is lacking at present. The database should be updated and maintained regularly to help monitoring and planning for future. Also, there is a need to change the manner in which public participation is sought during the preparation of the master plan. Instead of presenting the draft document for public comments, it would be better to hold public consultation before updating or preparing the master plans. Besides this, the content of the master plan needs to be reviewed so that it addresses not only the spatial context of planning but also equally addresses the socio-economic objectives of development process.
Triggering reforms
Exper ts have been calling for urban sector refor ms for almost a decade. Implementation of urban reforms has, however, been very slow and piecemeal and generally compelled by extreme circumstances, such as the plague in the early 1990s in Surat. Reforms can be triggered by creating external pressure on the municipal bodies and the city administration. This pressure should come from the following. P Informed and tax-paying citizens demanding better ser vices and greater accountability. P Creating competitive pressure by comparing performance of municipal bodies P Linking all government and multilateral funding to reforms Well-informed citizens should collectively demand better services. This would require, first, educating citizens on their rights and responsibilities in urban governance. Thereafter, periodic performance review of municipal bodies should be undertaken and published by the state government. The Bangalore Citizens charter was an attempt towards improving accountability of the municipal bodies by involving citizens in the performance assessment of municipal bodies. In addition, municipal bodies should be required to publish a citizens charter. A provision for the same should be made in the state Municipal Act. Municipalities can be made to deliver by creating competitive pressure. The performance rating of municipal bodies at the state level, as discussed earlier, should be used effectively to create competition between municipal bodies to perform, especially if this performance is linked to incentives/additional disbursal of funds. Fur ther, all state and central gover nment funding should be linked to performance of the municipal bodies on the MoUDs SSLB indicators. The state finance commission should also take into account the extent of internal revenue generation by the municipal bodies while allocating funds.
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Addressing interlinkages with other sectors

Intersectoral linkages
At this juncture, where we are talking about sustainability in the provision of services within cities and the role of local government in doing so, an equally important question emerges on the interlinkages and integration in the provision of these services at the planning level. Urban problems are magnified because physical development supersedes planning concerns. The present spatial framework is in compartments and grossly lacks the much needed integrated approach. Sustainability in service provisions can only be targeted when the synergies between various sectors like building roads, supplying water, bringing up sanitation and waste management mechanism, electricity and transport provision are captured. Further, investment in one sector cannot be completely disconnected with other sectors, and hence, when a piece of land is developed, it must be planned and provided with all the necessary basic services. At the municipal level, this would mean identification of a coherent macro-level view of the urban area and integrate this with land use and development. The perspective needs to be expanded beyond sectoral upgradation towards a holistic urban development approach. This means that if an area has to be developed, then the necessary infrastructure should not follow this development but be integrated in the process of development of this area. For example, if a residential colony is developed, it should be made sure that roads connecting the colony to major arterial roads of the city are built; and access to markets, educational centres, and hospitals is provided; besides making sure that water supply is introduced and waste management system is put to place. An integrated approach to service delivery can promote cost efficiency and service-delivery-efficiency in more ways than one. Each sector addressed in this study depends or interacts with another in several ways and inefficiency or unavailability of one might hamper the delivery of the other. Thus, all these subsystems work in tandem and complex dynamic relationship to keep an urban system living. The study has attempted looking at one of the sectors, buildings, in detail and tried to bring out the advantage and need for sectoral integration and interlinkages in planning.
Buildings
Buildings form the most basic element of a cityscape/any settlement. They have interlinkages with all other infrastructure such as water, sewerage, waste management, power, transport, communication, land use, economy, climate change, and governance (Anexure).
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Water
A building needs constant supply of water during construction and operation (when occupied). The water supply to all the buildings together forms an urban systems water supply system. This water supply, in turn, is dependent on the surface and ground water available in the area. Ideally, the amount withdrawn should, after necessary treatment, replenish the sources of supply. However, in urban systems, there is a constant drawl from the water sources, but the rate of replenishment is very less. This leads to a water crisis in due course of time. Green buildings use lesser amount of water both during construction and operation. This is achieved by use of water conserving fixtures and faucets and intelligent landscaping (which needs less amount of water for maintenance). Besides, the introduction of rainwater harvesting augments the water supply directly or indirectly (by replenishing the groundwater).
Storm water
The building and its surroundings have a major role to play in deciding the stormwater management system of an urban system. The storm-water drainage system is designed to drain excess rain- and groundwater from paved streets, roads, parking, and roofs. Storm water that does not soak into the ground becomes surface run-off and has to be channelled into storm sewers. Earlier settlements were planned to follow the natural drainage pattern and all efforts were made not to obstruct the pattern in any way. This is ignored by most of the modern urban centres leading to problems such as frequent flooding. The reasons are twofoldfirst, the natural drainage pattern is ignored while planning and second, there is no control on the extent of impervious surfaces like parking lots, roads, and buildings, which do not allow rain to infiltrate into the ground causing more run-off than in the undeveloped condition of natural foliage covered soil surfaces. This additional run-off also erodes watercourses (streams and rivers) and also carries heavy loads of pollutants during its course. Green buildings help in this condition by allowing only a limited use of permeable surfaces to allow natural penetration of water into the ground. They also check the pollutants level by having installed filters at various levels before the water finally enters the ground. Taking adequate steps such as maintaining the natural water drainage patterns both at building and neighbourhood level further improves the storm water management system.
Sewerage
Buildings generate waste water (often called sewerage). This waste water is conveyed to a treatment plant or disposal point through a system of sewers and termed as sewerage. The Indian urban system is plagued by poor, ill-equipped and insufficient
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sewerage system with small coverage area. In small towns, it often does not exist at all. All the waste water is conveyed with or without treatment to water bodies available in and around a settlement, causing lot of health and environment impacts. Water bodies, often sources of water supply, therefore, get further polluted, accentuating the problem of clean water supply. This puts tremendous pressure on the water supply treatment systems, which are usually very expensive. Green buildings reduce the demand on sewerage system by using efficient fixtures and faucets. They promote the reuse of storm water and grey water for landscaping and flushing of toilets and other such uses. They also promote the treatment of waste water to certain standards for disposal of waste before it connects to the main sewerage system.

Buildings generate solid waste during construction (construction and demolition waste) and operation. This generated waste ideally needs to be managed in a systematic scientific way. Local governments are burdened by the increasing load of solid waste generated by urban centres, which is continuously increasing due to increasing consumerism. Construction waste is not managed at all by the formal regularized system, whereas municipal waste is partly managed (collected, transported and dumped) by the local bodies (formal system). The rest of the waste finds its ways into open lands, plots, drains, illegally burned or recycled by the informal waste recycling sector. A large portion of the generated waste is biodegradable and recyclable, but in the absence of any segregation at source, it gets contaminated and it becomes difficult and costlier to treat the commingled waste. Green buildings first promote measures to generate lesser amount of waste during construction; whatever is generated has to be segregated into hazardous, inert, and others. Recycling and reuse of such waste onsite and/or offsite is also promoted. Waste generated during the operation of a building is segregated in a green building. Attempts are also made to treat the organic (kitchen and garden) waste onsite and give the recyclables to the recyclers. Thus, green buildings attempt to reduce the load on centralized solid waste management system and also reduce the GHG (greenhouse gas) emissions caused by organic waste and transportation of waste to dumpsites/landfills.
Power/energy
Buildings consume 30%40% of all primary energy in the world. Energy is used during the construction, manufacture, and transport of building materials. Besides this, most of the energy consumption occurs during the buildings operational phasefor heating, cooling, and lighting purposes. This pattern of energy use in buildings is strongly linked to the building type, climatic zone, and the level of development. Urban buildings are many times more energy consuming than their rural counterparts. Traditional buildings (vernacular buildings) were often built to be climate-responsive and in tune with nature,
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contrary to the modern energy-guzzlers of today. In India, there has been a near consistent 8% rise in annual energy consumption in the residential and commercial sectors. The country already has a high growth rate in the construction sector, with a 10% increase in the net built-up area annually. Most of this growth is taking place in urban centres. Thus, there is a huge potential to reduce this demand on energy by taking appropriate measures. One of these measures is by building the new stock on the concept of green buildings (which advocate energy-efficiency and conservation) and retrofitting the existing stock as far as possible. Besides resulting in energy savings, energy can also be generated through buildings by using renewable such as solar thermal, PV, and so on. An estimated 30%40% energy savings can be achieved through green buildings. This in turn would reduce the load on the existing power supply system. Buildings are related to other forms of energy (diesel, petrol, natural gas). When buildings are planned on the concept of neighbourhood planning and within close range of basic amenities and workplace, they tend to reduce the commuting time and distance, thereby saving on energy and pollution (GHG emissions caused by merchandized vehicles). This is achieved by proper planning and further, green buildings promote this. Thus, green buildings coupled with appropriate planning have a strong linkage with energy.
Climate change
Buildings are directly or indirectly responsible for 30%40% of the worlds total carbon emissions. Thus, they are among the biggest contributors to climate change. With climate change, the weather conditions will be more extreme and thereby, the buildings energy consumption will further increase to maintain comfort levels in more extreme conditions. However, if the green buildings concept is adopted on a larger scale, these emissions could be controlled to some extent. Reduced energy consumption in buildings without compromising the comfort levels (as practised in a green building) can help to reduce the carbon emissions caused by buildings to a large extent. Besides direct consumption of energy by buildings and the resultant carbon emissions, their surroundings play a major role in causing the heat island effect, which in turn, has a direct implication on climate change. A UHI (urban heat island) is a metropolitan area that is significantly warmer than its surrounding rural areas (Figure 2). The temperature difference usually is larger at night than during the day and larger in winter than in summer, and is most apparent when winds are weak. As UHIs are characterized by increased temperature, they can potentially increase the magnitude and duration of heatwaves within cities. Another consequence of urban heat islands is the increased energy required for air conditioning and refrigeration in cities that are in comparatively hot climates. Aside from the obvious effect on temperature, heat islands can also cause secondary effects on local meteorology,
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Figure 2 Profile of an urban heat island Source http://eetd.lbl.gov/HeatIsland/HighTemps/ including the altering of local wind patterns, the development of clouds and fog, the humidity, and the rates of precipitation. There are many causes of urban heat islands. Some of them include the following. P Buildings and pavement made of dark materials absorb the suns rays instead of reflecting them, causing the temperature of the surfaces and the air around them to rise. P Lack of vegetation in urban areas, which inhibits cooling by evapotranspiration. Green buildings help in mitigating some of the causes leading to heat island effects such as the use of porous materials for paving and the use of reflective surfaces in the building envelope. Thus, buildings are strongly connected to climate change and, therefore, can be used to rectify and amend some of the ill effects causing climate change.
Transport
The key trip attractors and generators in any location workplaces, residences, recreational hubs, hospitals, schools, and so on all constitute nothing but buildings. Buildings are connected by a network of transport infrastructure in the form of main arterial and local access roads. The interface of buildings and transport and how well they are planned around each other is a critical one, which is commonly referred to as land-use and transport planning. If a city is planned and developed so that the homes and workplaces are not located in reasonable proximity of each other, this leads to increased travel time, travel cost , energy use and emissions. In fact, lack of properly integrated land use and transportation planning is what has caused most of our Indian cities to adopt a low-density sprawling structure, thereby leading to an increase in the use of motorized transportation. If cities continue to grow and buildings continue to
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develop in such a sprawling fashion, and if this decentralized growth is not accompanied by supporting public transport networks to meet travel needs, this will have tremendous implications for the environment as transport energy use and its resultant emissions will continue to grow. Thus, buildings should be planned and located keeping in mind the overall mobility objectives of a city. In many developed countries, there is a concept of self-sustaining cities or towns, where the built environment ensures that all travel needs of the residents living in a particular area are met within reasonable time and distance and clean and efficient modes of transport like walking, cycling, and public transport are readily available options. This is a model we should also strive for. This will require bringing in urban planners, builders, and transportation experts to work out a total paradigm shift in the way our cities are planned and managed today.
Economy
Buildings have interlinkages with the economy as well. It is in buildings of various types that economic activities take place. Ill-designed and badly located buildings tend to increase the stress level of the employees. They have a direct impact on the productivity and health of the inhabitants. A green building improves the productivity of the employees due to better indoor comfort conditions, use of eco-friendly materials, use of low-VOC (volatile organic compound) products in the interiors, integration of daylighting, and so on.
Governance
Governance and buildings are strongly linked, as buildings are directly governed by the ULBs. Various infrastructure facilities such as solid waste management, power, water, sewerage, and transport that serve these buildings are provided by the utility and ULBs. The first steps towards sustainability need to be taken at the building stage itself. Appropriate measures at building level such as reduced water demand, efficient use of water, management of storm water run-off, reuse and recycling of storm and grey water, segregation of solid waste, processing of biodegradable waste, separate storage of hazardous and toxic waste, efficient use of energy through various ways, energy conservation, pollution control during construction, and reduced dependence on mechanized transport by appropriate site selection could be easily managed and checked during construction and post-construction by the urban local bodies through appropriate measures such as bye-laws and building guidelines. These could then be scaled up to appropriate measures at higher levels (neighbourhood and city level). Thus, buildings, governance, and various infrastructure are strongly linked and could be effectively guided towards the path of sustainability. Having seen these interlinkages, it is observed that if the bye-laws are appropriately modified as suggested in the earlier section on Framework for broad guidelines/byelaws amendments, most of these issues could be addressed and worked upon to achieve the desired objective of sustainable habitat in real sense.
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Annexure
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References
Chamaraj K. 2006 Nehru National Urban renewal Mission (JNNURM) a critique Details available at <http://www.civicspace.in/files/JJNURM%20-%20a%20critique.pdf> last accessed on 25 February 2007 GoI (Government of India). 2006 Breakthrough with Bhagidari In Delhi Human Development Report 2006 New Delhi: Planning Commission, GoI Mathur M P. 2007 Impact of the Constitution (74th) Amendment Act on the urban local bodies: a review NIUA WP 07-02 NUIA (National Institute of Urban Affairs). 2007 Documentation of Best Practices Delhi: NIUA [Compiled by the NIUA for the Ministry of Urban Development, Government of India] OECD (Organization for Economic Co-operation and Development. 2001 Citizens as Partners information, consultation and public participation in policy-making France: OECD Publication Services Tewari V. 2004 Municipal reforms for sustainable urban infrastructure development in India Paper presented at the United Nations Asia Pacific Leadership Forum: Sustainable Development for Cities, Hong Kong, 2527 February 2004
Bibliography
Aijaz R. 2007 Challenges for Urban Local Governments in India Asia Research Centre, London School of Economics and Political Science Chaubey P K. 2006 Urban Local Bodies in India: quest for making them self-reliant New Delhi: Indian Institute of Public Administration Jha G. 1993 Seventy-Fourth Constitution Amendment and the empowerment of municipal government: a critique Urban India Xlll (June-December) Jha G. 2003 Municipal Financial Resource Mobilisation Status, Concerns and Issues New Delhi: Infrastructure Professionals Enterprise (P) Ltd Jha G. 2006 Urban Governance: municipal finance imperatives Pune: State Institute of Urban Development, YASHADA [Prepared for the Urban Management Programme] Mathur O P. 2006 Urban Finance, India Infrastructure Report Delhi: Oxford University Press
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NIUA (National Institute of Urban Affairs). 2005 Impact of the Constitution (74th Amendment) Act On the Working of Urban Local Bodies, Vol.1, Final Report New Delhi: NIUA Ravindra A. 2004 An Assessment of the Impact of Bangalore Citizen Report Cards on the Performance of Public Agencies Washington DC: World Bank [ECD Working Paper Series 12] Sarkar A, Bandyopadhyay A, and Roy A. 2007 Participatory Planning Process: the Kusp Model of West Bengal Institute of Town Planners of India 4: 4 Savage D and Dasgupta S. 2006 Governance framework for delivery of urban services In India Infrastructure Report 2006 Delhi: Oxford University Press Swanson D and Pintr L. 2006 Governance Structures for National Sustainable Development Strategies Study of Good Practice Examples Canada: IISD (International Institute for Sustainable Development) [Prepared for Organization for Economic Co-operation and Development] Transparency International and United Nations Human Settlements Programme. 2004 Tools to support transparency in local governance [Urban Governance Toolkit Series] Venkatchalam P. 2005 Innovative Approaches to Municipal Infrastructure Financing: case study of Tamil Nadu Development Studies Institute, London School of Economics and Political Science [LSE Working Paper] Wood J. year Development of urban and regional planning in India Land Economics 34 (4): 310315 USA: University of Wisconsin Press Stable [http://www.jstor.org/stable/3144542] World Bank. 2007 Engaging with Citizens to Improve Services: case studies New Delhi: World Bank [Water & Sanitation Programme]
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Sustainable services in slums: need for an alternative approach Informal markets for basic urban services
Contents
Paper 1
Sustainable services in slums: need for an alternative approach
The pattern of urbanization in India favours steady growth of migrant population, who reside in poor housing conditions without any provision for basic amenities. This has largely happened due to inadequate policy initiatives that focus on providing tenural security to the people staying in the informal settlements for years to earn a livelihood. Basic amenities such as electricity, water, sanitation and transportation facilities are the right of every city dweller. In facilitating electricity and water supply services in the slums, the service providers confront issues of misuse and corruption. Corrupt practices like pilferage are adopted by slum residents, because they have very little access to basic services, a result of their non-permanent residential status. Given the circumstances prevailing in the cities in India, it is vital to introduce new technology solutions to address the problem of basic amenities to the people living in the slums. Another important basic service is transportation, in which the city governments are seen taking several measures. However, these services have largely catered to the interest of better off citizens. Having discussed the importance of tenural security and persisting discrimination in giving access to basic services, it is vital to identify solutions to the problems that hinder the efforts of the government in planning and spending resources for urban services. One possible approach could be exploring alternative service delivery models properly addressing the necessities of the slum dwellers. One of them could be innovative partnership models like multistakeholder partnership, which are costeffective and participatory in nature. This would balance both social and economic concerns and could result in proper service delivery in an equitable manner. This type of partnership would ensure greater social inclusion and increased efficiency in the delivery of services.
Introduction
The Constitution of India under Article 19 Clause (d), (e), and (g) guarantees right to free movement and residence in any part of India and to practise or carry on any profession and occupation, trade or business. This right to freedom of movement along
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with better scope of remunerative employment in the growing cities (the mega cities and the state capitals) has attracted a large number of rural migrants to the growing cities. It has resulted in large chunks of unutilized lands within the cities used for temporary settlements or slums. This growth in population impacts the distribution of civic services, in which the slum dwellers have been seen to be the worst sufferers. The city governments, excepting a few, have little resources to manage civic services equitably for all. The city governments do not give adequate importance to basic services in slums, for two reasons (1) lack of planning and (2) lack of financial resources. In most cases, the urban authorities in India have not succeeded in providing regular basic services in legal settlements, hence talk of equitable service delivery in the slums would be a mere rhetoric. It is always expected that basic minimum services like water, electricity, sanitation, soild waste management and safe transportation service is provided in the slums as the slum dwellers equally contribute to the GDP (gross domestic product) of the cities. To enable the civic authorities to give equal attention to all the city dwellers, change in policy framework is the priority. Policies to allow use of new technological options such as facilitating prepaid water and electricity services along with introduction and facilitation of alternative service delivery models for sanitation and solid waste management services would change the living standards of slum dwellers in the cities.
Context
The influx of migrants to the cities has compounded the problems of civic authorities as they are unable to provide equitable service to the population residing in the city. It has worsened the situation of the slum dwellers, because per capita water and electricity use in the slums has plummeted to a bare minimum. The city governments have neglected the slum dwellers on the pretext of their illegal residentship. Illegality of residence brings manifold problems for the slum dwellers as they remain out of the benefits provided by the government. Hence, delinking access to basic services from the condition of permanent residence is the most critical aspect to ensure service delivery in an equitable manner. There are examples internationally, including in African countries, where efforts have been made to provide access to basic amenities using prepaid cards, but none of them have become successful owing to different reasons. (Details on this are given in following paragraphs.)
Access to services using SMART card technology

The SMART card technology has been primarily used to provide service to the poor and it has become an effective tool to minimize corruption and malpractices in the provision of services. The first step in utilizing this technology is allotting the household or family an identification code, which is a powerful tool for security, identification
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and authorization (Radd, Sallour, and Muhammad 2001). It has been used for a variety of purposesfinancial transactions, health and transportation services. It could also be utilized for prepaid electricity and water services that would help in financial transactions required for topping up the two services. The preparation and distribution, use and administration of the card can be regulated by the norms outlined by the concerned city governments. Although the purposes of using the SMART card have been different, the philosophy has been to provide basic services in an equitable manner, while discouraging malpractices and corruption. Similar to the features of a SMART card, here we propose a unique identification number, that is PIC (permanent identification code), to be used for accessing services in a specific city. The fundamental idea is to enable the temporary settlers getting access to basic services. Further, the use of this card for availing services in the slums would require detailed planning and execution mechanism, for which the city governments may be made responsible. For proper use of the card, community or consumer sensitization along with formation of neighbourhood or local area committees would be vital. Proper designing of the card, along with systematic planning to distribute and monitor the administration of the card, would help in making the initiative successful. The format, preparation and use of the card discussed in the succeeding sections can be referred to while initiating this practice.
Format of the card

The card will have a unique code number (present residence number/ward number/ identification code developed for the area), followed by surname, given name, sex, date of birth, place of birth and the code developed for the identifier. The identifier could either be a ward member or the officer managing civic functions in that area. The photograph and the thumb impression or signature of the card holder would be on the card. Every adult member of the family would be eligible for this code number; however a certification by the local authority would be required to issue more than two cards per family. The date of issue and expiry should also be mentioned on the card.
Preparation and use of the card

The preparation of the card would be the sole responsibility of the local government. A social survey in partnership with the local NGOs would help in identifying the right beneficiary and assessing the resource needs for providing the prepaid electricity and water services. The cost incurred for preparation of the card may be shared by the beneficiary. Local area committees will ensure proper service delivery system. In case of increase or decrease in the number of beneficiaries, steps will be taken by the civic authorities to ensure provision and maintenance of service
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through periodic financial contribution. The card may be issued for a period of ten years with the provision of yearly renewal. In case of discontinuation in its use for over three months, the card holder will pay a nominal charge to activate the card. The code number given to each card holder would be required to verify the residentship of the card-holder in the locality. The card would be required during registration and renewal of membership for availing the services provided by the civic authority or any private service provider, if involved in the service delivery system. The amount paid against the code number for availing electricity and water services would remain, unless the amount has been spent fully. The amount can be carried forward if the card-holder uses it after shifting to a different location within the city. The services meant to be delivered by using this card as an identity proof should be customized based on the local needs.
Prepaid electricity services

The basic reason for advocating prepaid electricity services in the slums is to discourage unnecessar y consumption, theft and other losses during power distribution. The prepaid meter using AMR (automated meter reading) technology offers advantages such as detection of counterfeiting, capability upgradation, use in extreme environment, and reliability in terms of its use (Rejikumar 2005). Among the Western countries that introduced prepaid electricity services, the UK was the frontrunner, as they introduced the prepaid electronic metering system during the 1980s. The organization responsible for producing and distributing electricity in South Africa, ESKOM, promoted the use of prepaid electricity cards. In 1988, ESKOM supplied electricity directly to the domestic customers, who had no access to electricity at that time. The vision of ESCOM was Electricity for All. After the development of the prepayment system in response to the problems like affordability, logistics, and so on, the South African Bureau of Standards provided a new specification of prepaid meters and replaced the old meters (Tewari and Shah 2003). The NDPL in Delhi had started prepaid electricity services in 2005. The NDPL has over 3000 prepaid meter consumers in its distribution network in Delhi. The prepaid meters come with SMART cards to hold information or units consumed on the equivalent value. When the card is inserted, the energy meter reads it, connects the supply to the consumer loads and debits the value.1 The prepaid meters have been designed and supplied by many companies at an affordable cost. The use of prepaid meters can be topped up with recharge coupons worth Rs 300 to Rs 1000, which could be recharged on the receipt of further amount from the card holder. Meters will have preset alarm, which can be set to go off when 25% value remains, as a reminder to recharge. Display systems give information on
1
NDPL announces rebate on prepaid power re-charge coupons, The Hindu, New Delhi, 19 October 2008
Theme Paper 1
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total electricity consumed and number of units (credit) left. It would also display details on number of units consumed on a particular day/week/month, besides average daily consumption. It would also help in customers better budget their electricity consumption (Gahlot 2008). In unorganized settlements like slums, a certain number of houses need to subscribe to the prepaid electricity services to make the service cost effective. The cost of electric wiring and installation of prepaid meters could be borne by the service providers, while the government can provide some subsidy to the service provider to meet the high capital costs. The maintenance of the service can be jointly done by the community and the service provider.
Prepaid water services

Community water services have been the general norm in slums in big cities, though they are often which is sometimes found to be inadequate for a large number of people. The uncertainty of water supply sometimes forces people to draw water from the main line, leading to leakages and ultimately, to the contamination of water in the cities. The prepaid water meters have generally been introduced in low-income communities with cost recovery being the main reason for the implementation of the technology (Kumwenda and Moses 2006). The technology has been implemented in some areas of South Africa to effectively administer free basic water supply. The prepaid water meter project implemented in Klipheuwel falls within the Cape Metropolitan area. The technology has been projected to be a panacea to the water management problems. Due to the negative social effects, prepaid water services in this location have been abandoned (Kumwenda and Moses 2006). The prepaid water meter experiment in Orange Farm, South Africa, in 2002/03 was meant for the poor residents. The provision of 6000 litres of free water per month could not ensure equity in access to water services (Paley 2003). The denial of access to water to the poor people is basically by-product of management failure in ensuring access to basic services in countries like South Africa. In order to systematize the water supply management to ensure equitable access to water in slums, new and innovative norms and facilitating installation of prepaid water meter may help in sustaining the water services. This will also help in checking the recurring losses and would make water available to all in the city. In this context, prepaid water services can be introduced in slums, which will be cost effective for the government or the service provider as well. The prepaid water meter is no different from ordinary ones in appearance and installation, but will have a special digital box with a keyboard attached to it.2 Users first have to pay their bill in advance, and then enter the code number provided to
2
Pre-paid water meters set up, China Daily, Shanghai, 24 January 2005
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them and a fixed account number into the keyboard to resume water supply. Families can choose to pay in advance for months or even a whole year by depositing estimated fees in their account instead of paying every two months. They can get their bill within the community or simply make a call to have it delivered to their home. The deposit will also free them from the risk of being charged extra for late payment of bills. The automatic supply cut will further prevent them recharging the prepaid card after the amount is fully utilized.
Kiosks to manage the prepaid services

Certain kiosks manned by the community and the service provider may jointly facilitate the prepaid services for the water and electricity services. In case of relocation of the card-holder of a particular area to another within the city, a centrally controlled unit would look into the transfer of the card and other services to enable him to get service. The service provider has to take the responsibility of maintenance and replacement of the meter. However, in case of tampering of the meter by the customer, the customer will be penalized as per the legal norms. Gradually, the management of such services could be transferred to the community so that the ownership of such services remains with them.
Multistakeholder partnerships
The focus of present generation policy-makers has been community centric service delivery, where multistakeholder partnership is regarded as a step ahead. Apart from addressing the ownership issues, it will empower the community to set accountability in service delivery. Ideally, an MSP (multistakeholder partnership) involves the government, service provider, local community and the academic institutions/ international bodies, which are supposed to provide voluntary services like social auditing of the development programmes and commissioning study to understand and replicate successful models. Using MSP to provide urban service has many advantages, because it allows for responsibility sharing and creates a sense of ownership and accountability among different players in the community. Multistakeholder partnerships help the public sector realize its full potential and ensure all stakeholders receive benefits in an equitable manner. This kind of partnerships help in establishing linkages between the recipients of services and those providing services. MSP could be adopted as the preferred option for delivering basic urban services like sanitation, solid waste management, and safe-transport services within the slums. To facilitate sanitation services in the slums, the partners could get involved in community sensitization, introduction of new from of sanitation services by the service provider and, above all, monitoring the sanitation services using some new norms. Similarly, to manage solid waste in slums, community leaders can do awareness
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generation, private service provider may contribute financially to purchase segregation technology, the government may get involved in day-to-day monitoring with the community, while the fourth partner (academic institutions) may build the capacity of the rag pickers and the supervisors. A study of some of the successfully implemented MSP projects from across the country and the types of arrangements used to deliver services would give an idea of the benefits of multistakeholder partnerships. The partnership models still need a formal shape for a systematic implementation by any civic authority. In Chennai, several slums are implementing water harvesting programme and in Patna, a project is implementing a sustainable solid waste disposal system through community involvement. Moreover, in Jharkhand, as part of a project, the community manages a solid waste programme and in another case in Chennai, the local has community formed an association to acquire basic amenities.3
Conclusion
In any informal setup such as the slums in big cities, the local goons remain responsible for enabling families to have access to water and electricity against payment of a specified amount. This has been largely possible due to the nexus between certain section of government officials and contractors of the private service providers. Although, the city governments have taken desirable steps to develop the slums, many of them have not worked on the expected lines. The ongoing JNNURM programme has an ambitious target of providing the basic services in the slums in some selected cities. Now it needs to be seen if the approaches adopted by the civic authorities to provide basic services are working or not. As discussed in this paper, the alternative approach could be to do with methodical planning and use of innovative technology like SMART Cards. Moreover, evolving institutional arrangements like MSPs to provide basic services would go a long way in this direction.
References
Gahlot M. 2008 To cut the dues, government depts get pre-paid power meters The Indian Express, New Delhi, 14 October 2008 Kumwenda and Moses K. 2006 Prepaid Water Metering: Social experiences and lessons learned from Klipheuwel pilot project Bellville, South Africa: Department of Integrated Water Resource Management, University of Western Cape
Publicprivate Partnership in Delivery of Urban Services, the Decentralization Community and WES-Net India, Solution Exchange, 12 May 2006, details available at <www.solutionexchange-un.net.in>, last accessed on 15 October 2007
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Paley D. 2003 Only the poor have pre-paid water meters Details available at <http://www.alternatives.ca/article975.html>, last accessed on 25 January 2004 Raad W, Sallour M, and Muhammad A. 2001 Smart Card based Pre-paid Electricity System Dhahran, Saudi Arabia: King Fahd University of Petroleum and Minerals Rejikumar R. 2005 Pre-paid electricity meters and issues related to implementation of pre-paid metering systems Details available at <http://topics.energycentral.com/centers/datamanage/view/detail.cfm?aid=1064 >, last accessed on 23 April 2006 Tewari D D and Shah T. 2003 An assessment of the South African Pre-paid Electricity Experiment: lessons learned and the policy implications for the developing countries Anand: International Water Management Institute
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Theme paper 2
Paper 2
Informal markets for basic urban services
Informal markets generally refer to the survival economy of the poor whose individual economic transactions do not ever rise to the taxable limit and who occupy a grey zone of commercial exchange, mainly by offering their labour, which allows mainstream (and audited) economic practice to subsidize itself through their relationship with them. While the informal economy is often characterized as unorganized, it has been argued that activities in the informal sector are often well organized with informal regulations and flexible to adapt to specific situations. Urban informal markets, viewed in this context, are generally considered to be a manifestation of ruralurban wage and employment differential, and the consequent migration. This migration, on one hand creates a demand for services and goods outside the formal urban markets, and on the other, a supply of cheap and convenient services and goods. These services often include basic urban infrastructure services such as water, energy, and transport that are generally supplied by municipal authorities or other parastatals in urban areas. For example, the informal sector collects 9%59% of total urban waste in India depending on which city, and employs about 1% of the total urban population (Chaturvedi 2008). There has been considerable research on incorporating sustainability and equity criteria in the delivery of basic services through the formal markets, and has been addressed, at least in part, in the policy process. There is, however, very little existing knowledge on the delivery of basic services through informal markets, either by way of documenting the market participants, or by way of assessing the effectiveness and efficiency of these markets. In particular, given the complete absence of any regulation in these markets, it is difficult to assess the performance of these markets on any sustainability or equity criteria. Hence, policy prescriptions for regulating these markets often lead to confusion and disorder unless formal rules are a suitable alternative to the informal market structure.
Characterizing informal markets

Firms and individuals, other than the parastatals and government owned entities, delivering basic urban services have come about largely to fill in the gap between the increasing demand driven by rapid urbanization, and the lack of capacity in organized markets, particularly infrastructure capacity, to increase supply. For instance, since the late 1980s, households in Chennai have depended on private venders to augment
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supplies from the CWWSB (Chennai Metropolitan Water Supply and Sewerage Board) to meet domestic water supply demand. Over time, the efficiency gains due to private operations, and inability of CWSSB to meet demand motivated the state government to encourage CWSSB to use these vendors to supply water to CWSSB customers (TERI 2001). Similar results have been reported for other cities such as Hyderabad (Dinar and Saleth 1997). In particular, these private vendors are able to supply areas where infrastructure inability constrains formal suppliers (Llorente and Zrah 2002). In sectors where the formal market generally consists of a monopoly with only one service provider, such as water supply and electricity, unorganized markets are often unregulated and comprise small, individual service providers, operating without any oversight. In the bottled water sector in Delhi until 2000, for instance, there was a preponderance of small operators with short-term profit goals who did not invest in quality control technologies (Llorente and Zrah 2002). Similarly, there are external costs due to unregulated operations, often in different sectors. Tankers supplying water using diesel vehicles, and the private operation of diesel generators contribute to urban air pollution as well (Chakravarti 1990). In addition, there is a dichotomy in the delivery of basic urban services (Llorente and Zrah 2002). In residential areas that are included in the formal urban planning process, the authorized areas, a formal service delivery organization is responsible for ensuring universal service access. Unplanned settlements such as slum clusters and unorganized bazaars, unregulated markets are used to meet basic infrastructure need. For instance, water supply in residential areas developed by urban development authorities is through a piped network supplying each household. Either community water pumps or water tankers, however, serve slum clusters. In some cases, such water supply is privately organized. The dichotomy also manifests itself in the kind of private enterprise that meets this gap in demand in supply. Large, affluent housing areas that are not covered by parastatals, or those where the quality of supply is poor, are often able to organize supplies at market rates and with contracts that guarantee quality and quantity of service. Newly constructed housing societies in the National Capital Region, for example, often have complete electricity backup systems installed to address gaps in supplies from the licensed electricity distribution companies. At the other end, private entrepreneurs step in to supply electricity in small grids of 50100 consumers using large diesel generator sets in commercial and slum settlements. While this supply too is at market rates, often quality and availability is not guaranteed, and only competition in the market between suppliers helps improve quality of service (Mitra 2006). In addition, it has been documented that slums often do end up paying market rates for services in the absence of an effective enforcement of the price regulation, particularly for water services (UNDP-World Bank 1999).
Theme Paper 2
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Directions for reforms

As is evidenced from the extensive operation of private operators in the supply of basic urban services, it is clear that there is sufficient market potential at financially viable prices to elicit a robust response from private entrepreneurs in urban India (Mitra 2006). Hence, it is important for policy-makers to recognize the role that informal market operators can play in meeting the demand for increasing and novel urban services. It is crucial here that such service providers are not excluded when private participation is sought to achieve higher efficiency and financial viability, since these vendors often are able to provide services with low capital intensity and high efficiency within the current environment. In the case of Delhi, the private firms formally appointed by the Municipal Corporation of Delhi are required to segregate only 20% of the waste in the final and eighth year of operation compared to 90% achieved by waste pickers, apart from leading to law and order concerns due to conflicts between the two (Chaturvedi 2008). Stronger partnerships between the parastatals, and private operators from the informal markets, could allow greater regulation of the informal sector. In particular, integrating private suppliers within the delivery mechanism of the formal sector, would subject private vendors to the same health and quality regulations as the formal market. For instance, once the private tankers supplying water in Chennai were brought in by the CWSSB in the formal market through service contracts, the water quality and delivery regulations were determined by the CWSSB. In par ticular for each of the sectors, the following strategies are recommended. P A set of detailed service quality requirements for tankers have been presented in the section on water. These could be included in the service quality contracts for private water vendors. P As recommended for solid waste collection, trained workers with appropriate equipment should be involved in a formal manner in the waste collection and segregation chain. P In the transport sector, it has been recommended that the regulator framework should be expanded to include taxis and three wheelers that operate as public transport without a stage carriage permit currently, to allow them to operate as legitimate public transport vehicles. In addition, it is important for regulatory agencies to track the evolution of consumer preferences and market structures. These are constantly reflected in the emergence of private enterprise meeting the demand for new service and commodities such as bottled drinking water, peak electricity demand met by privately owned generators, travel demand for school and offices met by private buses and taxes plying
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as public transport, and so on. Governments need to be alert and provide for these services within the regulatory framework such as was done by including packaged drinking water in the Prevention of Food Adulteration Act (1954) in 2000. Finally, following Rouse (2004), the following guidelines for policy-makers in developing and planning for urban services are suggested. P Understand the informal sector, quantify and cost its contribution to service delivery, and look at ways of legitimizing and regulating entrepreneurial activities. P When planning urban development projects, learn from existing service delivery mechanisms by informal-sector entrepreneurs and seek ways of working with, rather than against, existing individuals, businesses and structures. P Where businesses will be disrupted and displaced, resist making assumptions about those affected (for example, provide access to credit and/or training). At all stages ask entrepreneurs their opinion, their need and their benefit or otherwise.
References
Chakravarti A K. 1990 Non-industrial pollution problems in developing countries: an example of urban India a viewpoint International Journal of Environmental Studies, 33 (3): 205212 Chaturvedi B. 2008 Why waste a chance? Down to Earth, 16 (2008/01/15) Dinar A and Saleth R M. 1997. Satisfying Urban Thirst: water supply augmentation and pricing policy in Hyderabad City, India Washington, DC: World Bank [Technical Paper No 395] Llorente M and M-H Zrah. 2002 Urban Water Sector: Formal versus Informal Suppliers in India Urban India XXII (1): 3549 Mitra B. 2006 Grassroots Capitalism Thrives in India: 2006 index of economic freedom Washington DC: Heritage Foundation Rouse J. 2004 Absorbing informal-sector entrepreneurs into improved urban services Small Enterprise Development (15)2, June 2004 TERI (Tata Energy Research Institute). 2001 Regulatory Framework for Water Services in the State of Gujarat New Delhi: TERI, 228 pp. [TERI Project Report No. 2000ER61] UNDPWorld Bank. 1999 Willing to Pay but Unwilling to Charge do willingness to pay studies make a difference? New Delhi: UNDPWorld Bank
Conclusion
Many cities in the world have endeavoured to become sustainable. While some have attempted to look at all the parameters of sustainability and achieve them in an integrated manner, some others have sought to make a modest beginning by making one or more urban service sectors sustainable. This study, in a unique departure, has looked at parameters that will make the provision of five basic urban services sustainable in cities across India. It has also emphasized the need to recognize the interlinkages between these services. The study has, perhaps for the first time argued the case for involving local governments in the management of electricity demand and in making buildings green, as these sectors offer tremendous potential for reduction in energy consumption. Early in the study, it was recognized that there were no typical Indian cities and sustainability parameters would vary in their import and significance across cities. It was also recognized that recommendations to make the provision of urban services sustainable in the metropolitan cities and urban agglomerations with a population of half a million or more may not be within the reach of smaller cities. The study has, therefore, attempted to suggest how cities in transition should seek to achieve sustainability and move eventually towards implementing the recommendations made for the larger cities. With growing periurbanization, new developments are taking place around cities and outside municipal limits. The study also recommends how these outgrowths should be planned in order to ensure consistency in standards and regulations when they are merged into existing municipalities. Sustainability parameters for the different services were identified on the basis of detailed survey of relevant literature and research into international and national experiences and best practices. An attempt was made to test the relevance of these parameters and the recommendations through in-depth discussions with policymakers, service providers, civil society organizations, and other stakeholders in three very different Indian citiesSurat, Hyderabad, and Shillong. Although these three cities are not typical Indian cities, these discussions helped a great deal to fine-tune the recommendations and make them more relevant to the ground realities in India. These findings and recommendations were further revalidated through two dialogues held with a wide range of stakeholders and academics.
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C ONCLUSION
Conclusion
The study of each sector threw up some cross-cutting issues, notably, the need to look at cities in transition differently from the larger cities, the provision of urban services to slum dwellers who have no security of tenure, and the existence of informal markets for basic services that exist in most cities. The first issue, as stated earlier, has been addressed in each sector study. The two theme papers at the end of the report recognize the need to ensure universal access to urban services, in particular for the urban poor and slum dwellers, and to regulate the informal markets to ensure safety, quality, and reliability, while offering suggestions to make these happen. One important fact that emerged from the study was the lack of adequate data, and where available, the lack of good quality data pertaining to urban services such as availability, access, costs, revenues, distribution losses and wastage. Clearly, none of the recommendations contained in the report can be implemented or the indicators suggested to monitor performance put to use in the absence of reliable data. Collating reliable data and establishing a database to form the baseline for monitoring future improvements is of paramount importance. Perhaps, the one inadequacy in the study is the failure to connect each indicator with the data required to apply that indicator and design the data requirements and methodology for its collection. This merits a separate study. Understanding the parameters for sustainability and implementing the recommendations to achieve these parameters call for capacity building both at the state and local government level, as well as in political leaders and senior civil servants, who take decisions and in the staff at all levels responsible for the delivery of services. This capacity is woefully inadequate, and building this capacity calls for massive and urgent action. The recommendations in respect of each sector make an attempt to identify the capacity gaps and suggest programmes to address them. What is required is a separate exercise to assess capacity needs at all levels and development of training programmes to address these needs. Institutional arrangements also need to be made to train trainers, and take these programmes to cities or groups of cities so that the skills of all those involved in the provision of urban services, especially of those at the cutting edge of service delivery, are enhanced. Equally important is to initiate measures to build capacity in consumers and civil society to assess and monitor the performance of the service providers. Also, implementation of the recommendations contained in the report and improvements suggested in the provision of urban services cannot be achieved unless adequate financial resources become available to the local governments. State governments and local governments need to explore ways to augment resources to enable local governments to achieve the sustainability goals that have been suggested. The local governments also need to prioritize their interventions and ensure that they are adequately funded through careful budgeting and monitoring. The financial and accounting reforms suggested as part of the JNNURM (Jawaharlal Nehru National
Conclusion
335
C ONCLUSION
Urban Renewal Mission) need to be taken further and implemented in all cities over a period of time. The report has made an interesting recommendation to set up a sustainability cell at the state level to help city governments to identify and address sustainability issues in the provision of services and in city governments to ensure sustainability. The establishment of sustainability cells will provide an immediate impetus to recognizing and addressing sustainability concerns in a situation where the required capacity is not widely available. The recommendation merits serious consideration. Ultimately, any attempt to make the provision of urban services sustainable will call for political will and good governance. The study has, therefore, devoted an entire chapter to good governance and has spelt out the specific measures that need to be taken to empower local governments and make them responsible for the provision of basic urban services in a sustainable manner. In the consultation meetings with stakeholders, a view was expressed that local governments should only be empowered selectively. The team was, however, of the view that having regard to the 74th Amendment, it was not for any authority or body to select the local governments to be empowered, and that unless all local governments are empowered and citizens participation in governance encouraged, the move towards sustainability will be tardy. Empowering and strengthening local governments must become a national priority. The study does not claim to identify and address all the sustainability concerns. What, however, it has sought to do is to identify the major sustainability concerns in the provision of basic urban services and recommend as to how they can be best addressed in Indias growing cities. The study should be viewed not as a treatise on the subject but as a guide to the way forward.
Abbreviations
3Rs ADB AIL ALM ASRTU AT&C ATE BATF BAU BCA BEE BESCOM BIS BMP BMTC BOT BREEAM BRTS BSNL BWSSB C&D CAG CBD CBO CCA CCC CCF CCI CDC CDM CDP CEA Reduce, reuse and recycle Asian Development Bank American Institute for Learning Advance locality management The Association of State Road Transport Undertakings Aggregate technical and commercial Appellate Tribunal for Electricity Bangalore Action Task Force Business as usual Building and Construction Authority Bureau of Energy Efficiency Bangalore Electricity Supply Company Bureau of Indian Standards Bangalore Mahangar Palike Bangalore Metropolitan Transport Corporation Buildowntransfer Building research establishment environmental assessment method Bus Rapid Transit System Bharat Sanchar Nigam Ltd Bangalore Water Supply and Sewerage Board Construction and demolition Comptroller and Auditor General Central Business District Community-based organization Customer choice aggregation Committee of concerned citizens City challenge fund Clinton Climate Initiative Centre for Development Communication Clean Development Mechanism City development plan Central Electricity Authority
338
ABBREVIATIONS
Abbreviations
CFC CIDC CII CMWSSB CPCB CPHEEO CRC CSE CSR DAB DERC DF DMA DOSWAM DPC DPR DSM DT DTC EAC ECAC ECBC ECMT EE EFL EGAT EIA EoI EP EPC ESCO ESMO EST EU FERC FTL GDP GHG
Chlorofluorocarbon Construction Industry Development Council Confederation of Indian Industry Chennai Metropolitan Water Supply and Sewerage Board Central Pollution Control Board Central Public Health and Environmental Engineering Organization Citizens report card Conservancy and sanitation engineering Corporate social responsibility Double accident benefit Delhi Electricity Regulatory Commission Distribution franchisee District meter areas Decentralized on site waste management District planning committee Detailed project report Demand side management Distribution transformer Delhi Transport Corporation Environmental appraisal committee Electricity consumers advocacy committee Energy Conservation and Building Code European Council of Ministers of Transport Energy efficiency Efficient fluorescent lamp Electricity Generating Authority of Thailand Environmental impact assessment Expression of interest Electrical power Energy performance certificate Energy service company Environmental Sanitation and Management Office Environmentally sustainable transport European Union Federal Energy Regulatory Commission Fluorescent tube lamp Gross domestic product Greenhouse gas
Abbreviations
339
ABBREVIATIONS
GHMC GIS GMC GoI GoK GPS GRF GRIHA GWB GWh GWP HIA HIP HMC HOV HRD HUA HUDA HVAC HVDS HWSSB ICSC ICT ICTSL IECC IGBC IHSDP IIEC IIT IPES IPT ISWM IT JFM JI JNNURM JNTU KSRTC LA21 LCC
Greater Hyderabad Municipal Corporation Geographical information system Guntur Municipal Corporation Government of India Government of Karnataka Global positioning system Grievance redressal forum Green Rating for Integrated Habitat Assessment Ground Water Board Gigawatt-hour Global warming potential Housing Industry Association Home improvement packet Hyderabad Municipal Corporation High occupancy vehicle Human resource development Hyderabad Urban Agglomeration Hyderabad Urban Development Authority Heating, ventilation and air conditioning High voltage distribution system Hyderabad Water Supply and Sewerage Board Integrated citizen service centres Information and communication technologies Indore City Transport Services Ltd International Energy Conservation Code Indian Green Building Council Integrated Housing and Slum Development Programme International Institute for Energy Conservation Indian Institute of Technology Institute for Promotion of Social Economy Intermediate public transport Integrated solid waste management Information technology Joint forest management Joint Implementation Jawaharlal Nehru National Urban Renewal Mission Jawaharlal Nehru Technical University Karnataka State Road Transport Corporation Localizing Agenda 21 Life-cycle cost
340
ABBREVIATIONS
Abbreviations
LEED LPCD LTA MC MCD MCGM MCH MCL MELT MGD MIS MLD MNRE MoA MoEF MoU MoUD MPA MPC MSE MSEB MSEDCL MSW MT MUDA NABERS NAREDCO NBC NDPL NEP NGO NIT NMC NRDC NUTP OPEN OYRGTA PASI PFDS
Leadership in Energy and Environmental Design Litres per capita per day Land Transport Authority Municipal corporation Municipal Corporation of Delhi Municipal Corporation of Greater Mumbai Municipal Corporation of Hyderabad Municipal Corporation of Ludhiana Modelling economic leakage target Million gallons per day Management information system Million litres per day Ministry of New and Renewable Energy Memorandum of agreement Ministry of Environment and Forests Memorandum of understanding Ministry of urban development Metropolitan planning authority Metropolitan planning committee Micro and small enterprise Maharashtra State Electricity Board Maharashtra State Electricity Distribution Company Ltd Municipal solid waste Million tonnes Meghalaya Urban Development Agency National Australian Built Environment Rating System National Real Estate Development Council National Building Code North Delhi Power Ltd National Electricity Policy Non-governmental organization National Institute of Technology Nagpur Municipal Corporation Natural Resources Defence Council National Urban Transport Policy Online procedures enhancement for civil applications One-year renewable group term assurance Programme for Support of Informal Sector Pooled Finance Development Scheme
Abbreviations
341
ABBREVIATIONS
PG&E PGR PHED PIS PMC PPA PPP PROOF PSP PTC PUB QoSS R&D RDF RMT RPO RPO RTO RWA RWH S$ SAF SCADA SCE SCP SEAC SERC SFC SGCCI SMB SMC SOP SPCB SPV SSLB STP STU SUDA SUI SUTP
Pacific Gas & Electric Public grievance redressal Public Health and Engineering Department Passenger information system Pune Municipal Corporation Power purchase agreements Publicprivate partnership Public record of operations and finance Private sector participation Public Transport Council Public Utility Bodies Quality of Supply and Services Research and development Refuse-derived fuel Running metre Regional passport office Renewable purchase obligation Regional transport office Residents welfare association Rainwater harvesting Singapore dollar Sanitary appliance fee Supervisory control and data acquisition Southern California Edison Sustainable Cities Programme State environmental appraisal committee State Electricity Regulatory Commission State Finance Commission South Gujarat Chamber of Commerce & Industry Shillong Municipal Board Surat Municipal Corporation Standard of performance State pollution control board Special purpose vehicle Standardized service level benchmark Science and Technology Park State transport undertaking Surat Urban Development Authority Sustainable Urbanism International State urban transport policy
342
ABBREVIATIONS
Abbreviations
SWH SWHS SWM SWP T&D TDM TERB TERI TISCO TMG TP TPD TPL TRES UFW UHI UIDSSMT ULB UMTA UNESCO UNOPS URIF USAID USGBC UWEP VAT VOC W&WW WBF WBSEDCL WCT WDM WHO WSA WSP WTE ZED
Solar water heating Solar water heating system Solid waste management State water policy Transmission and distribution Travel demand management Transportation Research Board The Energy and Resources Institute Tata Iron and Steel Company Tokyo Metropolitan Government Town planning Tonnes per day Torrent Power Ltd Tokyo Renewable Energy Strategy Unaccounted for water Urban heat island Urban Infrastructure Development Scheme for Small and Medium Towns Urban local body Unified Metropolitan Transport Authority United Nations Educational Scientific and Cultural Organization United Nations Office for Project Services Urban Reform Incentive Fund United States Agency for International Development United States Green Building Council Urban Waste Expertise Programme Value added tax Volatile organic compound Water and waste water Water-borne fee West Bengal State Electricity Board Water conservation tax Water demand management World Health Organization Wilbur Smith Associates Water and Sanitation Programme Waste-to-energy Zero-emissions development

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An exploration of sustainability in the provision of basic urban services in Indian cities

The Energy and Resources Institute 2009

Printed in India by Batra Art Press, New Delhi.

Annexure 2: Training modules ............................................................................... 38 References ............................................................................................................. 40

Solid waste management

SUI (Sustainable Urbanism International)

(R K Pachauri) Director-General, TERI

A preamble to urban sustainability in India

A preamble to urban sustainability in India

Project objectives and scope

An exploration of sustainability in the provision of basic urban services in Indian cities

An exploration of sustainability in the provision of basic urban services in Indian cities

Defining sustainable water services

Parameters for analysing sustainable water management in urban India

An exploration of sustainability in the provision of basic urban services in Indian cities

The existing situation

An exploration of sustainability in the provision of basic urban services in Indian cities

Parameter 1: data procurement and management

An exploration of sustainability in the provision of basic urban services in Indian cities

Parameter 2: economics of water

An exploration of sustainability in the provision of basic urban services in Indian cities

Parameter 3: source development/protection Catchment protection and non-conventional water sources

An exploration of sustainability in the provision of basic urban services in Indian cities

Parameter 4: institutional mechanism

Recommendation for small and medium cities and urban slums

An exploration of sustainability in the provision of basic urban services in Indian cities

Summary: Solid waste management

Defining sustainability in solid waste management

Sustainability definition and parameters

An exploration of sustainability in the provision of basic urban services in Indian cities

Operationalization of sustainability parameters

MSW municipal solid waste; SWM solid waste management

An exploration of sustainability in the provision of basic urban services in Indian cities

Institutional aspects of sustainability in SWM

An exploration of sustainability in the provision of basic urban services in Indian cities

0% for larger cities; 2530% for smaller cities; to reach 0% progressively

Doorstep collection of biodegradable waste in segregated manner Privatization of waste processing,

An exploration of sustainability in the provision of basic urban services in Indian cities

An exploration of sustainability in the provision of basic urban services in Indian cities

An exploration of sustainability in the provision of basic urban services in Indian cities

Parameters for a sustainable public transport system

An exploration of sustainability in the provision of basic urban services in Indian cities

An exploration of sustainability in the provision of basic urban services in Indian cities

Constituting a transport cell in the ULB

An exploration of sustainability in the provision of basic urban services in Indian cities

Goals and indicators for sustainable public transport services

Goals for improving availability of public transport

An exploration of sustainability in the provision of basic urban services in Indian cities

Goals for improving accessibility

Goals for improving transport performance for customer convenience

An exploration of sustainability in the provision of basic urban services in Indian cities

Goals for improving operations and management

An exploration of sustainability in the provision of basic urban services in Indian cities

Specific recommendations for achieving the goals

An exploration of sustainability in the provision of basic urban services in Indian cities

Training and capacity building

An exploration of sustainability in the provision of basic urban services in Indian cities

Defining sustainable buildings

An exploration of sustainability in the provision of basic urban services in Indian cities

An exploration of sustainability in the provision of basic urban services in Indian cities

Education and awareness

An exploration of sustainability in the provision of basic urban services in Indian cities