Planning for UrbanLANNING FOR URBAN.pdf

8/13/2019 Planning for UrbanLANNING FOR URBAN.pdf

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PLANNING FOR URBAN

INFRASTRUCTURE

Olivier Toutain and S. Gopiprasad

objectives of town planning by recalling the basicprinciples on which it is based in the context of urbanspatial, economic and social issues;

tools of town planning and its ability to articulate the linkbetween urban development and infrastructure provision;

role of town planning in enabling the integration of urbaninfrastructure by various initiatives, including that of theprivate sector.

RENEWALOFTHEURBANPLANNINGAPPROACH

Planning as a Framework to Promote and Streamline

Urban DevelopmentWith nearly 300 million urban residents, India ranks secondin the world in terms of total urban population. Paradoxically,India also figures amongst the least urbanized countries world-wide. While the twenty-first century witnesses the transitioninto a world in which more or less 50 per cent of its inhabitantslive in the towns, India records a figure far below this average(27.78 per cent in 2001) even compared to the Asian figure of36.7 per cent. Despite the slowing down of urbanization at themacro level in India and the decline in ruralurban migrationhighlighted in Chapter 2, the pressure on the class I towns,metros and mega-cities is still crushing and the long-termstakes involved in putting good planning in place are high.

A panoramic overview of the present urban milieushows that 300 towns with a population of above 100,000inhabitants represent 65 per cent of the urban population,the remaining 35 per cent are spread over 3396 smallertowns (GOI 2001). From 32.5 per cent in the 1991 Census,the 35 million-plus cities in 2001 represented 38 per centof the urban population.

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URBANPLANNING: THEISSUESINVOLVED

Urban India today, faces serious challenges of growthand its management. Across geographies, the issuesof urbanization manifest in the form of over-

crowding, congestion, insufficient infrastructure, inadequateservice provisioningmainly in terms of drinking water,sanitation, energy, transport, solid waste management,environmental degradation, and pollution, etc. These, alongwith the poor management of rapid growth, affect thesocioeconomic development of the country.

At the core lies the question of urban planning and itscapacity to organize towns, manage their growth and make

them more efficient and sustainable. Like many other countrieswith high rate of urban development, India too acknowledgesinsufficient and inappropriate planning, which raises thequestions of its relevance while triggering scepticism. Large partsof cities today completely escape mainstream planning. Halfthe population of Delhi and Mumbai lives in unauthorizedareas. The considerable illegal development (illegal layouts,un-authorized constructions, slums) in many towns is afrightening reality that threatens the future of urban areasand the credibility of main plan documents and regulations.

While urban planning and its effectiveness are beingdebated, the need for planning is again revisited in a favourablemanner and its need acutely felt. In this chapter, we will deal

briefly with the question of how to initiate more effectiveand responsive urban planning by revisiting the conditionsindispensable to its implementation. The importance of planningin providing a framework and a set of regulations for urbandevelopment is highlighted through the examination of the:

Views expressed in the chapter are of the authors.


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60 India Infrastructure Report 2006

In economic terms, Indias cities, with nearly one-third ofthe total population, contribute to more than three-fourth ofthe GDP and account for more than 90 per cent of governmentrevenue. Agriculture, depending on climatic conditions and

vagaries of nature, represents between 20 and 25 per cent ofthe GDP. Growth of employment (mainly workers) in urbanIndia during 198191 was recorded at 38 per cent against16 per cent in rural areas and 26.1 per cent in the country asa whole. These statistics confirm the decisive contribution ofcities to the national economyparticularly the largest amongstthem with their considerable influence on economic activitiesat a time when India is in process of integrating with the globaleconomy. Future demographic and economic growth is likelyto concentrate in and around 60 to 70 large cities in thecountry with population of a million or more.

In spite of urbanization and cities being at the centre ofdebates and with a clear divide on pro-rural and pro-urban

positions in various professional and political milieus, thereis a wide consensus on the need for treating the urban centresas economic hubs for transactions and social change. This pre-supposes regulated urban growth and considerable investmentsin physical and social infrastructure, as one of the greatestchallenges for India in the next two decades. The consequenceof the growth in urban population even at a declining annualrate1, is that around 8 million people need to be provided foreach year, in terms of land, housing, roads, water, electricity,sewerage, etc. According to even the conservative forecasts ofthe World Populations Prospects, approximately 240 millioninhabitants will be added to the cities 20 years from now,that is, a little less than double the present urban population(UN 2005). The current urbanization rate is forecasted on a

conservative basis to be around 40 per cent. This doesnt takeinto consideration the uncertainties prevailing in rural areas(climatic hazards, economic changes, migration, state policies,etc. which can have a bearing).

The funds required by the tenth plan for a 100 per centcoverage of urban population with water supply facilities and75 per cent of urban population with sewerage and sanitationby the end of the plan is estimated at over Rs 53,000 crore(US$12.61 billion). Estimates by Rail India Technical andEconomic Service (RITES) indicate that funds requiredfor urban transport alone in class I cities and above duringthe next 20 years would be of the order of Rs 2,07,000crore (US$49.28 billion). Planning entails the drawing up

of a methodological and legal spatial framework to assessinfrastructure needs of particular states, towns and citiestherein and earmarking resources under specific heads oftransport, roads, water supply, power, garbage collection,

education, health, etc. In order for planning to remaineffective and successful, the planning process must defineappropriate choices that correspond to social expectations andcost effectiveness. Planning tools may be leveraged to encourage

private sector participation in land and urban infrastructuredevelopment. Planning can thus provide a perspective forparticipation and coordination between the different partners(private and public) and decision makers.

Regional Planning: From Small Rural Towns

to Mega-cities

By their sheer demographic dimensions, economic significance,and magnitude of problems, the million plus cities tower overthe rest of the rural and urban world and grab nearly all theattention of policy-makers. The disparity in infrastructurebetween large and small urban areas has always been prevalent

and the gap is expected to widen in the years to come. Smalland medium towns have an important role to play in thedevelopment of the rural hinterland. For a balanced approachto territorial development, the relationship between the townsand rural hinterland should become a part of the core issueof regional planning.

One of the findings of the Census 2001 is the relativelymodest number of small towns (less than 20,000 inhabitants2)as compared to the number of villages as well as inadequacyof their economic base to serve and absorb the surplus ruralpopulation in their hinterland. This situation, qualifiedsometimes as under-urbanization3, identifies the shortageof the medium towns market as an impediment to balanceddevelopment and the support to the rural hinterland. This

question must be analysed in the context of Indias highpopulation density, decreasing per capita agricultural productivityand scarcity of potable water in urban centres. With a rate offertility higher than 3 per cent and comparatively low migration,the rural population continues to increase4, which is a majorconstraint on balanced development of the country. Whileproviding access to better living standards and amenities, smallmarket towns (less than 50,000 inhabitants) can assume manyfunctions for surrounding rural areas: such as provisioningof higher education, healthcare services, creating demand forrural outputs, and providing inputs, etc.

Better integration of the regional space and a re-balancingof urban centres can spare the metropolises the task of attracting

and accommodating rural population. Intermediary towns,as well as small and medium towns, can absorb the rural over-

1The average annual exponential growth rate recorded for urbanpopulation during the decade 19912001 was 2.7 per cent.

2Cities from Classes IV to VI.3Dupont (2002).4The average annual exponential growth rate recorded for rural

population during the decade 19912001 was 1.7 per cent whichrepresents 14 million persons per year.


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Planning for Urban Infrastructure 61

population and act as links between the rural markets and thebig cities while the big and large urban centres can continue thetask of promoting economic development and wealth generation.

A system of urbanization that derives itself from regional

planning with a comprehensive vision for urban centres andthe overall rural setting and its management is necessary. Theregional plan can arbitrate the urbanization pattern betweenthat of the cities addressing the global economy on the onehand, while acting as catalyst for change in the ruralhinterland. This first level of planning (regional developmentplan) is based on a territorial vision with different levels andhierarchies of plan and management.

The mega-cities and the million plus cities

Planning at the metropolitan level, in terms of economicefficiency, competitiveness and integration with the internationaleconomy presupposes large investments in infrastructure anda thorough understanding of urban growth. In the USA wheremetropolitan cities are of a much smaller size, they havemetropolitan organizations to carry out long-term planningat the metropolitan level (Box 4.1).

The medium level towns

The problem in planning for mid-size towns lies in theirintegration at the regional level. These towns must ensureconnectivity and unity within the system through linkagesbetween different urban levels.

The small towns

This level is very often the most neglected, because it is lessvisible and more complex to size up. For these towns to

simultaneously support a market economy in agriculture andabsorb the migrants from surrounding rural areas they needto provide access to civic services and basic infrastructure.

Integrating these distinctions, requirements and investmentprogrammes for urban infrastructures must be defined at thestate level by taking into account available financial resources(central, state, local taxes, loans, etc.) across different urbanlevels (metropolises, medium cities, towns). The public funds,both central and state, must be earmarked to urban centresthat are well governedand are in need of financial support.Governance for urban planning is a challenge at state levelfor all nations having a federal government structure. In theUS, some states have Council of Governments to carry outplanning at the state level (Box 4.2).

While the hierarchical and distributed approach isdesirable to manage urban growth and channel resources, astudy conducted by the Centre for Policy Research, Delhireveals an emerging trend of urban centres developingalong certain economic corridors. These developments cutacross geographic divisions in the form of a continuousor discontinuous sprawl, which may be pass throughjurisdictions of several municipalities. This offers freshchallenges for structuring institutional frameworks adaptedto this form of urbanization, and carrying out a regionalplan (CPR 2001).

Box 4.1Core Functions of Metropolitan Planning Organizations (MPO) in the USA

There are five core functions of an MPO:

Establish a setting: establish and manage a fair and impartial setting for effective regional decision-making in the metropolitan area.

Evaluate alternatives: evaluate transportation alternatives, scaled to the size and complexity of the region, to the nature of itstransportation issues, and to the realistically available options. These evaluations are included in the Unified Planning Work

Program or UPWP.

Maintain a Long-range Transportation Plan (LRTP): develop and update a long-range transportation plan for the metropolitanarea covering a planning horizon of at least twenty years that fosters (1) mobility and access for people and goods, (2) efficient

system performance and preservation, and (3) quality of life.

Develop a Transportation Improvement Programme (TIP): develop a programme based on the LRTP, designed to serve the areas

goals, using spending, regulating, operating, management, and financial tools. Involve the public: involve the general public and all the significantly affected sub-groups in the four essential functions listed above.

In addition to meeting federal mandates, MPOs often have extra responsibilities under state law. For example, in California,

MPOs are responsible for allocating some non-federal transportation funds in their regions, while other states give MPOs a shared rolein growth management and land use planning.

Note: I would like to thank Shama Ghamkar, Texas University, for directing me to the functions of MPO and COG (Box 4.2)Editor

Source:Lewis and Sprague (1997)


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A Case for a Coherent Spatial Policy

Urban planning process or the plan is not a neutral tool; itreflects the aspirations and is an expression of the desiredmodel of urban organization. The guiding spatial orientationof the plan and the development of infrastructure in line withthe demand can have a profound economic, financial, andsocial impact, the consequences and outcomes of which arenot sufficiently documented in Indian context.

The principles of planning that continue to dominate thethinking of urban planners and political decision-makers arebased on the concept of manageable towns; that is, self-contained urban towns, with limited population density,reduced urban congestion, and green belts. These conceptsthat persist strongly are inspired by the principles of colonialurban planning from an era when the planner could interveneand model the town according to his will, independent of itsrealities and the dynamics of the market. This merely enablesa physical plan without the actual social and economic content.

This planning culture is disconnected from the groundrealities. It perpetuates an approach that uses certain planningtools (mono-functional land use, fixed Floor Area Ratio[FAR] or Floor Space Index [FSI]), often encouraging urbansprawl. In case of Bangalore for example, the city expands

by about 22 sq km every year; with more than 180 sq kmof development remaining vacant (essentially a land that isfully or partially serviced but not built-up or inhabited)(Master Plan 2015). This situation is typical of a numberof urban centres and is also fuelled by speculative activity.This form of low rise and sparse development has direconsequences for households that are located at a greatdistance from the city centre, increasing the costs of

infrastructure and trip lengths, also rendering ineffectivepublic transportation.

Without the full implementation of the 74th CAA, manyof the authorities designated to plan today wear the caps of aplanner and a developer simultaneously. This dual rolemagnifies urban problems as physical development supersedesplanning concerns. This is largely driven by the fact that theauthorities have inadequate budgetary support from the state.Provision of sites and service schemes (real estate activity)contributes to funding their day-to-day operations. Real estateactivities include transactions of landacquisition of land,development and sale of sites/plots, which distort land markets.Rarely do development activities cater to the market demand.As a result, a number of private land sub-divisions (layouts)crop up as affordable sites with partial or no infrastructure inplace, without necessary planning compliance. These lead tothe formation of illegal layouts.

The weak land laws, rules and regulations work at cross-purposes and support the formation of different types of landtenures. Nearly 30 per cent of Bangalore is developed in suchmanner (MSDI 2004). On the other side, through unrealisticregulation of restrictions on land occupation in the core areaalong with segregated land use, encourages quite often, theviolation of rules and un-authorized construction.

Spatial trends and socioeconomic realities:Redefining an approach

A planning approach with strategic direction based on spatialtrends and socioeconomic realities can help strengthen thevital activities of the city and reflect on the changes requiredto augment current institutional structures.

Box 4.2

Metropolitan Planning Organization in Texas

Council of Government (COG)North Central Texas Council of Government (NCTCOG) has over 230 members representing local governments including all 16

counties, numerous cities, school districts, and special districts. These voting representatives make up the General Assembly, which

annually elects the Executive Board. The Executive Board, composed of 13 locally elected officials, is the policy-making body for all

activities undertaken by the Council of Governmentsincluding programme activities and decisions, regional plans, and fiscal andbudgetary policies. The Board is supported by technical, study, and policy development committees and a professional staff headed

by an Executive Director. The Executive Board oversees the administrative funds allocated to the MPO. Other key organizational

players in the MPO are: 1. The Regional Transportation Council (RTC), the policy-making body of the MPO comprised of electedofficials from local governments in the region and transportation provider representatives; 2. Technical Committees (TC), that

review, comment on and prepare recommendations for transportation improvements comprised of city transportation officials and

transportation provider representatives; 3. NTCOGs transportation department, that provides support staff and assistance to theRTC and its technical committees; and 4. finally, citizen groups who par ticipate in the planning through public meetings, workshops,

and listening sessions.

Source: http://www.nctcog.dst.tx.us


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In this approach and framework, public authorities(central and states) have an important role to play in definingunderlying social, economic, and cultural dimensions toformulate an explicit urban policy integrating the national

economic objectives and the various sectoral goals5. Thismay relate to social infrastructure, transportation, housing,environment, energy, protection of the environment, energyconservation, the efficient functioning of towns alongwith the mitigation of risks. These may be found embeddedin the policy with due importance to better economic andcity planning. A holistic urban policy necessitates a shiftfrom current practice to include tools for correct identificationand evaluation of social and urban needs at both themacro and micro-level. The policy can help promoteeffective resource management, provide incentives for privateand public participation in development of infrastructureservices. The urban policy and planning can provide the

much-needed guidance for investment in infrastructureand coherence between various infrastructure initiatives(Box 4.3).

Platform for a Strategic City Vision

It is a common observation that the plan documents of largecities neither reflect a vision, nor do they provide guidancefor the future. Planning documents are usually based ongeneral principles, more or less common to all the cities,essentially made up of rigid regulations. These documentsoften ignore the context specific realities of each urban area

and are not capable of responding to their specific urban needsor anticipated urban trends.

Each town has its own specificity or constraints determinedby history, geography, and economy. Planning strategies

should focus on issues peculiar to each town by raisingimportant but simple questions such as the identification ofmain constraints and the kind of development that is envisagedto overcome the constraint in the next ten years. In whatconditions can the urban areas and institutions meet the futureeconomic challenges? The type of transportation systems thatare to be set up and finally even what kind of planning processare to be adopted.

Vision-documents by private stakeholder groups, forexample, in Mumbai (McKinsey 2003) or even Bangalore(Jurong 2003) demonstrate the power of strategic planningand while ignoring the need for an urban long-term visiondevised on the consensus of the local public stakeholders.

Though quasi-political issues do not enter the strict domainof technical planning, these are crucial in case of large cities,where urban planning and development has a fundamentalimpact on the entire country.

All in all, an urban spatial plan must define the strategiesfor future urban development taking into account theeconomic, social and urban evolution and the strategic choicesrelated to infrastructure, transport, energy management etc.This is essentially in line with the decentralization initiativesof the 74thCAA6for the progressive transfer of responsibilitiesby the states to the municipal bodies to carry out planningand management. This dimension of exercising the legitimate

5For example, the tenth five year plan 20027 recommendationsby the Planning Commission regarding urban development or theNational Urban Transport Policy.

6The reforms agenda drawn up for state governments for the Megaurban renewal plan requires that states transfer, over a period of fiveyears, all special agencies that deliver civic services in urban areas toULBs and create accountability platforms for all urban civic serviceproviders during the transition period.

Box 4.3Realities of Urban Land

It is well documented that 90 per cent of Indias urban land titles are weak and are not amenable to the development of a strong mortgage

market. The widespread distortions in land and property markets result in nearly 1.3 per cent loss of growth each year to the GDP. The

prime distortions are largely due to inflexible zoning, rent and tenancy laws, urban land ceiling laws leading to operational inefficienciesand frozen urban areas. Just 1 per cent of the formal organized work force is employed in residential construction as compared with

5 per cent to 6 per cent in more developed economies (Lewis 2001).

Investments in real estate require not just removal of restrictions of FDI, but more sweeping changes in regulations towardseliminating distortions and stimulating development. For instance, the average approval for a building permission involves over 20

procedural requirements across 15 government departments, which translates to high transaction cost and time. These costs are

conveniently passed on to the end user. As compliance becomes difficult, this leads to the tendency to circumvent the legal routeresulting in illegal construction. Such properties and developments are faced with economic risks and are unable to access the formal

finances from institutions.

On the other hand, for large investments to occur especially in the housing sector, land assembly and land use zoning pose bigproblems along with associated difficulties of pr oviding off site infrastructure.


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planning functions cannot be glossed over for technical,institutional or political reasons.

GUIDINGPRINCIPLESOFASPATIALPOLICYAn urban policy framework by definition needs to helptranslate economic and social objectives into a spatial policyframework with clear choice for type of future developmentand urban organization. As a guideline, four major principlesmay be considered for devising the spatial policy.

Market Forces and Real Estate Demand

Urban development is closely linked to the overall functioningof the market economy and land markets, dictated by supplyand demand, of land, its accessibility through transport, theavailability of infrastructure (water, electricity, etc.). Planning

needs to support the required intensity of development inline with overall urban areas functioning and the real estatedemand. Land prices are good indicators of the trends and theuse of Floor Area Ratio on graduated scale terms can supportthe formation of centres. Many organized cities indicate adecrease of FAR from the centre towards the periphery.

Urban Economy Efficiency

To enhance the efficiency of the urban areas, it is imperativeto support the economic activities by providing physicaland social infrastructure, transport systems along withbalanced residential development. A lower transaction costand efficient exchange in transaction become primary. This

means the policy must be forward looking and guidedevelopment that matches with expectations through thesupply of necessary amenities: land, roads, electricity, water,public transport, etc. to areas which host economic activities.

Preservation of Public Interest and Long Term Demands

This objective is based on the choice of sustainable developmentthat necessitates the preservation of natural resources (water,environmentally sensitive areas, etc.), road systems, utilitiesright of way, etc., together forming areas of public interest.Specific urban areas such as heritage sites and risk prone areas,open spaces also need to be factored. This is part of the

responsibilities of public authorities.

Social and Economic Integration of all the Sections

of the Population

The principle of social equity needs to assure access to publicservices to every citizen as per her entitlement. The accessto the service delivery components includes urban social

infrastructure, housing for the underprivileged and access topublic transport.

Urban social infrastructurePublic authorities need to guarantee all social groups accessto health, education, water, and drainage. Even the poorestshould be entitled to a minimum level of service necessaryfor decent living conditions.

Housing for the underprivileged

Ninety per cent of the housing shortage in urban India issuffered by the poor7. Access to housing for poor families isdependent on land, financing, and regulation of the housingmarket. Planning should promote norms and regulations thatencourage a response from the private sector to this social

demand8

.

Access to public transport

Mobility is essential for the economic integration of thepoorest into the growth process of a city. Today, the publictransportation system is hardly developed and added with theexplosive growth of the personal forms of transport leads tocongestion of city core and central areas. Public transportationcan address the mobility issues of the majority of urbanpopulation and diverse social groups.

FROMPRINCIPLESTOTHEIRSPATIALTRANSLATION

There are seven specific aspects that may be taken into accountto translate these principles to spatial planning.

Protection of Environmental Resources

The protection of natural and ecological systems is imperativetoday in the face of the rising pressures on non-renewableresources. A spatial policy should first look at preservation ofnatural resources such as coasts, valleys, lakes, and the low-lying areas. The merits of protecting and conserving the samehave been extensively documented. Urban pollution absorbents,green buffers, heat and noise sinks, detention and water bodiescan help prevent disasters such as floods, etc.

Reduction of Urban Sprawl

In order to limit the cities that are spreading horizontally andindiscriminately, policy has to address the promotion of urban

7The Working Group on Housing for the Tenth Plan.8Half of the population does not have access today to a regular

market, even after taking subsidies into account.


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densities, preservation of peripheral agricultural land, restraingrowth of individual modes of transport, develop institutionalstructures and prioritize urban development implementation.While the policy favours efficient use of land and primary

infrastructure9, the costs of providing overall infrastructureservices and the per capita cost of operation and maintenanceof infrastructure for compact cities can be advantageous. It isobserved that for a given population, the higher the density,the smaller is the built up area and the shorter trip lengthswith associated travel time and costs. The infrastructureshould in principle promote design of higher densities.

In opposition to these principles, concepts of satellitetowns or of self contained towns commonly promoted byvarious schools of thought should be considered with caution10.The setting up of new satellite towns is extremely capitalintensive and proves to be costly as it involvesthe constructionof substantial infrastructure right from the scratch. The success

of satellite towns also necessitates high speed and heavytransportation infrastructure for quick and efficient movement(Figure 4.1). Without the right densities, locking public financesin these projects for long periods could hamper the viabilityof the investments and success of the model. The limitedsuccess of new towns (Navi Mumbai, Gurgaon, etc.) shouldbe studied carefully before supporting a specific decision basedon the satellite towns model.

The increase in density raises the question of populationholding capacity.A strong spatial density is possible only if it

is properly regulated. Numerous cities of East Asia (HongKong, Shanghai, Seoul) support dense populations withoutbeing unmanageable. In this debate, it is not the density ofthe population that is the problem, but the lack of urban

infrastructure, growing number of personal vehicles, inadequatepublic transportation and strong urban management. Centralareas that are usually considered densely populated in manyinstances are actually very often less populated.

Realistic Approach, Cost-effective Solutions

A spatial policy should be realistic in its choices with theprimary concern of spatial extension and its impact ontransport, drinking water, and sanitation. This requires linkingurbanization to the availability and feasibility of networks,land constraints, topography, etc. In the same way, large-scaleroad infrastructure (corridors, ring roads) and transport

infrastructure should be planned in an integrated manner tofully utilize the synergies between the sectors. Integration inthe Delhi Master Plan 2021 of a DelhiDwarka link by theMass Rapid System is a good example.

Planning should ensure that the proposed transportinfrastructure corresponds to social demand. The choice ofheavy and costly public transportation systems in several largetowns (such as Delhi, Bangalore, Ahmedabad) raises doubtsabout the viability of these infrastructures, which must besupported by user charges.

Organizing and Structuring Urban Development

The first milestone of attaining urban organization with spatial

coherence relates to road networks that should guarantee thesmooth functioning of transport, facilitating easy access tocentres of economic activity.

Spatial coherence is also concerned with the structuringof urban space into functional sectors with particular attentionto industrial zones and their accessibility; spaces articulatingoverlaps of different transport networks (junctions, interchangehubs, etc.) and to promoting urban functions such as businessand logistics.

Reinforcing the central parts of the urban areas whileintegrating their economic, political and cultural dimensionscan contribute to better urban organization and vibrancy,with the much-required access of disadvantaged social groups.

Many cities and urban areas in the Indian context offerpossibilities of enhancing the role of the central business district(CBD) as a central area and as a prime activity generator.

Improvement and Upgradation of the Cities

A spatial policy that is based on dense population and a compactsocial and economic urban area organization with limited

16

0

2

4

6

8

10

12

14

0 20 40 60 80 100 120 140 160

Urban(GDP%)

Central and South Pacific

North America

Western Europe

Asia

Density (Inhabitants/ha)

Fig. 4.1 Cost of Urban Transportation: International Scenario

Source:UITP (1995)

9 Many professionals and researchers especially in Europe haveexpounded on this. In particular, we note the work of Alain Bertaud(http://alain-bertaud.com)

10 Note that small self contained residential-cum-commercialcomplexes in a city, suggested in Chapter 6, Urban Transport, is differentfrom a self-contained townEditor


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horizontal extension is a favourable form. Several researchfindings have highlighted the negative economic, social, andenvironmental impact of the urban sprawl. The famousKenworthy and Newman curve has shown that cities with a

low density have much higher energy costs (Figure 4.2). This

cannot be ignored in the context of the energy uncertainty asthe availability of fossil fuels in the long term, a large increasein its demand in India and dependence on external marketsfor providing the same are to be considered. Planners must

integrate the dimension of energy efficiency in the process oftown planning and urban development even if its difficultto address due to pressures from various social groups andtheir rising lifestyle aspirations.

Urban planners cannot neglect the economic dimensionof these problems. A coherent spatial policy may in the firstplace encourage the revitalization of existing inner areas. Highpriority needs to be given to the improvement of theirfunctioning and upgradation of their infrastructure.

One of the objectives linked to the principle of socialequity should be, for example, to identify the central areasthat lack infrastructure (services and amenities) and deficitssuch as: poverty, over-population, absence of sewerage, lack

of water-supply, schooling at the primary level, etc.A planobjective to upgrade these needs to be drawn up in the planningprocess. On this basis, we could implement recommendationsin matters of infrastructure in synchronization with economicand social needs (Box 4.4).

Population density (people per hectare)

Energyconsumptionpercapita(1000

millionsofjoules)

Fig. 4.2 Relation between City densities andEnergy Consumption per capita

Source: Newman and Kenworthy (1999)

Box 4.4

Understand the Social Disparities: Mapping of Shadow Areas

Bangalore Master Plan 2015

The Master Plan 2015 of Bangaloreidentified shadow areas defined as areas

that have accumulated disadvantages andshortages with regard to the physical and

social infrastructure and that needs to beupgraded.

The shadow areas were identified atthe level of wards through a mix of

several available indicators: lack of awater supply network, insufficiency of

schools and teachers, prevalence of slums,etc. The results showed that the majority

of the peripheral areas such as the citymunicipal councils (CMCs) and about

one-third of the area under thejurisdiction of the Bangalore Municipal

Corporation could be consideredshadow areas that would benefit from

planned improvement.

Source:SCECREOCEAN India Pvt. Ltd., Bangalore


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Urban Re-development Option

Urban development not only concerns spatial extension butalso reconstruction of the urban areas itself. The history of

towns shows that they are re-developed permanently on theirexisting footprints and this is a key parameter for urban renewaland a spatial policy.

In big cities, the old areas that were on the periphery acentury ago, find themselves in the vicinity of the centralareas today. This is true both for residential areas, peri-centralcolonial residential quarters, as well as industrial areas. Thede-regulation and evolution of the economy has led to thedwindling of traditional industries within the inner urban areas.The progressive closure of cotton mills in Mumbai is a strikingexample of this trend. Other towns such as Ahmedabad,Bangalore, and Hyderabad are also confronted with thisphenomenon of slow down of heavy and conventional

manufacturing industries. This is also true of ports (for example,Bombay Docks are owned by Mumbai Port Trust) along withdefence lands that represent considerably vast estates in theheart of big cities.

Urban spatial policies in European and Latin Americantowns highlight the importance of renewal and redevelopmentof urban areas. Towns such as Barcelona, Manchester andBogot are well known examples. In the old peri-central areas,urban renewal policies should promote more intensiveutilization of land and urban densification by increasingconstruction rights. Providing more housing and employmentwould consequently reduce the demand for spatial extensionand transport services.

A re-development policy is obviously linked to upgrading

infrastructure and improving public transportation systemsdepending on existing regulations and bye-laws. It must takeinto account the social impact of re-development of theseareas on low-income and minority communities living aroundthem. Present rules and regulations and low FAR in most ofthe big cities block the possibilities of transformation andurban renewal of built up areas in the inner z one. The DelhiMaster Plan 2021 presenting the concept of re-cycling oldareas11or wasteland recovery or that of Bangalore12with theurban re-development area zone13are important developmentsin this direction (Box 4.5).

Large industrial wastelands, old dilapidated industrialareas, and recycling of old port facilities would all require

new approaches to re-development. These areas, most of thetime located in the inner areas, offer remarkable opportunitiesfor urban renewal, reconstruction and holistic re-development.They can provide opportunities to develop cities and integrate

the larger environment and the cultural and historicaldimension using PPP.

Integration of Land Use with TransportationThe functioning of a city is linked to its means of physicalcommunication, which is its transportation infrastructure.Transportation infrastructure shapes urban development verystrongly, facilitating activities and land densification alongexisting corridors and networks.

The management of urban growth needs to rely on anapproach that integrates urban development and spatialorganization of the city along with the transportation network(rail-road). This presupposes the recognition of corridors asinstruments of structuring through higher FARs taking intoaccount the value of land parcels bordering the main axes.However, this system favours linear developments and

individual modes of transportation. The public transportationsystems (rails) provide, on the contrary, occasion to promoteco-centric development and greater density around railwaystations and activity nodes (services, commerce, publicamenities). Through this approach, an opportunity tostructure and densify new developments from the sub-centresor clusters to avoid dispersion is possible. For viability of thepublic transportation system, the system depends on the zoneswith high-densities.

TOOLKITFORPLANNING

As the authors make a case for a consistent spatial policy, theactual job of translating the policy into a set of actions or

implementation necessitates the use of several planning tools.In India, of the many tools available, the commonly utilizedbelong to the statutory/quasi-legal box. The Master plans orthe Comprehensive Development Plans defining land use andzoning are widely used with support from the respective stateTown and Country Planning Acts. The scope, relevance andeffectiveness are often the subject matter of discussion.

Master Plan Today

The Master Plan is a legal document that describes, in narrativeand with maps, an overall development concept includingboth present property uses as well as future land development

plans. The term master plan is used synonymously by manyto refer to the comprehensive plan concerned mainly withthe fixed land uses classification for long periods (say 10 yearsto 15 years depending on the respective states town planningAct stipulation). The master plan restricts itself largely tothe citys physical development through a regulatory and abudgetary framework based on plan proposals. Various studieshighlight the sparse use of these plans when faced with issues

11Jain (2005)12Bangalore Master Plan 2015.13Zonal Regulations. Bangalore Master Plan 2015.


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Box 4.5

Land use zoning in Bangalore Master Plan 2015

The Bangalore Master Plan 2015 envisages a compact, balanced equitable form of urban growth. Zonal regulations are devisedbased on the key principles of spatial policy. The entire local planning area (LPA) has been delineated into 46 planning areas

with land use zoning and information. The maps of these areas display the zones demarcated. Each of the zone regulations has to

be read with the regulatory document. The zonal regulations for the LPA of the Bangalore Development Authority are in three

main areas:1. The developable main areas or the Conurbation areas.

2. The specific areas the development of which requires co-ordination and consultation with Government/Public semi public body.

3. Constraint areas, which have restrictions on development due to specific acts such as aircrafts act, etc.

The diverse areas identified through the urban fabric approach are grouped thematically and names assigned to groups. Forexample, the old urban areas comprise of historic settlements and urban villages interspersed with urbanized areas. There are five areas

identified under the main area category.

The specific areas are marked on the map that mainly recognize:

1. large public and semi public infrastructure including government-owned public sector units;2. large transportation structuresrailways and airports;

3. dedicated land uses such as operational areas;4. scheme areas earmarked for development schemes and projects;5. heritage conservation areas.

The zonal regulations along with the proposed land use map create flexibility at the macro level, enabling detailing and control

through ward level plans and urban design plans. To further the interests of coordinated development based on territorial spatialapproach, private sector participation in urban development is envisaged.



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of infrastructure realization and planning for growth. Lacunaelie in the paucity of spatial data, multiple jurisdictions, andno clear titles to landholdings among others.

Lack of spatial data

To address the issues thrown up by ever-changing urbancomplexities, the actual mapping of the ground realitiesrequires access to maps and spatial data such as remote sensing(satellite data). The dissemination of the data has been severelyrestricted by the government under Official secrets Act 1923.The outcome of this policy is that planners and agenciesrelated with planning and development works have to depend

on obsolete spatial data. This hampers the opportunity ofengaging with different stakeholders on a shared commonplanning spatial platform.

While the necessity for spatial data is emphasized, the

real issues seem to lie in lack of technical competence to handlecomplex spatial data. The real challenge revolves around theissues of integration and inter-operability of different systems.The danger of over designing is very relevant and manyagencies today are advocating an overdose of technology suchas very high-resolution satellite imagery and costly options,which may not match the actual requirement. A good mix ofplanning competency and technology is needed. (See Box4.6 on the MSDI Bangalore Experience.)

Box 4.6

Development of a Metropolitan Spatial Data Infrastructure (MSDI) for Greater Bangalore

Name of Client: Bangalore Development Authority (BDA)

Objectives of MSDI: 1) Urban planning and management, Master Plan for Bangalore 2015, definition and elaborationof the Urban Regulatory framework.

2) Implementation of Spatial Data Infrastructure comprising:

a large scale GIS map: 1: 2000 totally GIS enable (1500 km) benefiting from the latesttechnologies (3Dmodelling, High resolution satellite images, etc.);

developments and implementation of several urban management GIS software (BangaloreVisio, CDP online, Bangalore Geokiosk, etc.)

Project

The Bangalore Development Authority (BDA)the BDA regulates

plans and oversees the urban development of Greater Bangalores1306 sq km. It defines the developments and extensions necessary

to ensure a well-planned and sustainable urban growth.

As the development authority, it plans and finances

development of large infrastructures, new layouts and zones. Asthe planning authority it needs to design urban regulation to

control and monitor urban development.

Goals

a) Revision of the Comprehensive Development Plan for the

Greater BangaloreAn integrated approach comprising of five steps:

city diagnosis,

detailing of urban strategies,

design of the Master Plan, detailing of the proposed land use map,

public participation.The Draft Master Plan released in May 2005 provides a renewedapproach based on the following governing principles:

To make Bangalore a truly global cityeconomical efficient

and competitive. Promote social equity: access to infrastructures, civic

amenities, housing to all social groups and to create city

centres for varied activities.

1500 sq km6.5 million inhabitants


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To help Bangalore preserve its water table, lakes and valleys. Master planning possibility largely through technological support.

b) Implementation of a Digital Urban Spatial Repository (DUSR)

The DUSR provides the main public stakeholders, an up-to-date urban large-scale digital map (1:2000) that is fully GISenabled. The base map is enabled to help stakeholders develop applications customized to their needs while using a common

reference map.

DUSR at a Glance

A full digital geo-referenced large scale map covers 1500 sq km, 700 tiles, 553 villages, 55,000 parcels, 650,000 buildings, 15,500 km of

roads, 230 km of railway, 2546 places of worship, 100,691 manholes, 330,903 consumer connections, 4008 km of water pipelines, 3245

km of sewage lines, 815 km of drains, 450 km of HT, 90 000 parcels of existing land use, 15,000 various landmarks, 400 layouts, totallingover 2 GB of records in 12 geo-databases. It attributes data to 1991 and 2001 census data, data from the Water and Sewerage board (age

of the pipes, diameter, etc. ), BCC (civic amenities managed by BMP, roads maintenance information), the slum clearance board (land

property, size, date of establishment, etc.)coming from 37 stakeholders have been attached

to the various geographical entities (point, polygons, polyline, etc.). It also compiles low (5m resolution) and high resolution (0.66 cm) satellite images, and old geo-referenced maps

(1870, 1948 and 1973 and 1981) for a better understanding of city transformations.

Key Aspects of the Sub-project

The project involves vectorization, georeferencing and edgematching of cadastral maps,

some being over 150 years old, covering a total surface area of 1306 sq km, comprising60,500 parcels.

IT Applications Developed

Website: A spatially-enabled web sitededicated to the CDP, allowing the general publicto make queries about the new land use and related urban regulations, to browse the


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various documents and scales (Master Plan, Metropolitan

Land Pattern Map) and to process and map basic statisticaldata (land use cover, population density). The main objective

being to make the urban planning process participatory in

nature, to inform and instil transparency in an activity often

perceived as discretionary and arbitrary. A Territorial Data Server: A tool whichallows BDA and land

developers, town planners and investors to access key data

concerning the metropolitan region of Bangalore through simplecommands. It is a decision support tool. It compiles principle

information concerning road maintenance and infrastructure

projects that exist, are underway or planned, demography,economic activities, large and medium facilities, etc. It processes

information coming from various databases running in parallel

(existing and proposed land use map, land pattern, transport

and socioeconomical geo-databases). A Digital Multi Purposes Cadastreis under implementation

for BDA layouts. The main objective is to improve tax collection Interactive Spatial Kiosk giving access to land information to the population

Digital Land Pattern Map which identifies each land cover

and maintain information such as:real estate informationland ownership, rights preservation, building description (in

terms of density, type of occupation, architectural design, etc.),local tax base constitution, detailed planning, etc.

Improvement in tax collection: The BDA will be in a better

position to judge the collection of revenues. This would in turngenerate more funds for the building of better infrastructure.

Accrued Benefits

The GIS applications along with the base maps have allowedplanning to be an accurate process, with little factual errors.

Boundaries, village survey numbers, localization of approved

projects and monitoring land use changes are made possible. Decision making is made easier with the recognition of

ground realities. Establishment of transparent and user-friendly systems is

facilitated, as the tools are amenable for public participationand discussion.

Various government departments and stakeholders can utilize

a common spatial platform for planning and implementation ofinfrastructure projects and urban studies.


Non-availability of consistent socioeconomic data

Information required for urban studies usually comes from

the Census of India, which though extensive, often does notmeet specific data requirements. For instance, disaggregateddata at ward level or block level is hard to find for carrying outany social or economic analysis based on spatial approaches14.

Different departments and agencies produce data that arerarely consistent and robust. Planning today is largely basedon normative and empirical assumptions based on dated data.

Multiple players and multiple jurisdictions

Within the plan methodology, the number of players involvedis far too many. The players have roles in different stages ofthe life cycle of infrastructure provision include feasibilities,14Census of India 2001: www.censusindia.net/results/dataprod.html


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Box 4.7Coordinated Planning Schemes

City growth and development is a continuous process. Wherever erstwhile economic engines such as mills have been closed down incities due to various reasons, large land parcels located usually in the dense urbanized areas are freed up. Many such lands today are

subject to development for commercial and residential purposes as witnessed in the case of Mumbai Mill lands. The lands are disposed

through the restructuring process and are sub-divided in a manner that maximizes exploitation of real estate value with little care

towards the social and environmental aspects. While the social aspects have extensively been debated, the environmental aspects of

utilization of the land parcels form the core subject of the planning process.

These lands offer a unique opportunity for the creation of community open spaces, linkages in terms of road network, or housing

for different economic classes, that finally result in the formation of secondary activity centres.

In the normal course, such land parcels are developed on basis of fixed regulations without addressing city level objectives, whichcould be met if the Master Plan includes suitable flexible regulations. The Bangalore Master Plan 2015 identifies these land parcels as

co-ordinated planning schemes, essentially white zones, within the map and envisages a publicprivate partnership model for

development. Some of the salient features of the scheme are highlighted here. The criteria of choice for identification are as follows:

1. The identified lands pre-dominantly belong to sick industries on the verge of disposing their assets both in the public and private sector.

2. They are large land parcels over 10 ha in size located at important junctures within the city.

3. Land parcels can offer greening opportunities as well as enable connecting roads to be built across the city.

4. Potential lies in creating secondary activity centres and allowing for integrated development.

These identified zones are then located within the master plan to study the impacts and linkages of the potential development

alternatives.

The Master Plan 2015 defines area specific development guidelines. Within each of these areas, the scheme shall contain a flexibleprogramme defining percentage of open spaces, housing, amenities, etc. Though prescribed these can be altered through a consultative

process between the sanctioning authority and private developer. What stands as fixed and non-negotiable is the percentage of open

spaces, public road linkage and space for amenities. The plan includes all players/land owners as partners working as per a layout plan

that is sanctioned by the authority as in case of sub division plans.

The incentives are built into the guidelines. Flexibility in the programmatic content (land use flexibility), the higher Floor area

ratio allocated as bulk FAR for the entire site, the provision of off-site infrastructure by the government, consultative approach for

sanction gives options for development that are both viable and interesting. These steps can stimulate private investment. The authority

can allocate land for public amenities, transport terminus (metro-station, etc.). Open spaces are much-needed welcome additions to

the dense ar eas. Most importantly, the provision of road linkages can ease traffic congestion and movement.

The development of these lands can also help renew the surrounding areas and create jobs. The consultative model enables a formal

discussion on area-specific needs rather than fixed restrictions of a larger master plan. Finally, the creation of local centres accentuates thetrend of plural centralities in the city.

planning and implementation. Hence diverse planned projectswith varied priorities are conceptualized and implementedindependently, during the master plan preparation orimmediately thereafter. This forces the master plan tonecessarily integrate them. Various projects supported byfunding agencies and institutions are largely operating underthe premise that infrastructure projects must address projecttechnicalities and be viable. While the isolated projects maymeet the criteria, the combined external benefits are rarely

assessed or measured. In many cases poor utilization of theinfrastructure or damage to the environment can be attributedto such isolated efforts (Box 4.7).

Too many jurisdictions

Consensus across institutions is weak and hence the acceptanceof a plan with final commitments from all involved parties

is rare. This is particularly true in case of large cities wherejurisdictions and departments are large in number. For instance,the cantonment and operational areas of defence establishments,which occupy prime locations in the city15can hardly ever beintegrated into the planning system. Service delivery is alsoadversely affected by fragmented institutional arrangements asis documented by research of land use in Ludhiana (Box 4.8).

Role of government within the plan

The master plans envisage the government doing it allproviding and managing each and every component of thecity. The policy coupled with the lack of operational toolsfor private sector participation either in service delivery or

15Diagnosis studies, MSDI project for BDA as part of the projectreport, June 2004 (unpublished report).


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Box 4.8

Institutional Arrangements for Land Use in Ludhiana, Punjab

Kala S. Sridhar

In this note, we illustrate the lack of coordination between policy formulation and implementation, implications for finances andservice delivery using the example of Ludhiana, Punjab.

The Punjab Town Improvement Act of 1922 provides for the constitution of Improvement Trusts for the improvement and

expansion of the towns in the state. In Ludhiana, the Ludhiana Improvement Trust (LIT), under the administrative control of the

states Department of Local Government, was entrusted with the task of proposing ways to impr ove land use in the city, and initiate

new schemes for its development.Also, according to the Punjab Municipal Corporation Act of 1976, city improvement, in accordance with schemes approved by the

Ludhiana Municipal Corporation (LMC) is amongst the LMCs discretionary (notobligatory)functions.

Further, note that the Punjab Town Improvement Trust Act, 1922, Section 67, Chapter 7, provides that ... the Municipal Committee

shall pay to the Trust ... an amount per annum equal to two per cent of the gross annual income of such Committee. Accordingly, the

LMC owes the LIT 2 per cent of its gross receipts every year to enable the LIT to carry out its activity.To add to the existing legislations and institutions dealing with land use, the Punjab Regional and Town Planning and Development

Actwas enacted in 1995, requiring a planning agency to prepare Master Plans for cities, and ensure their enforcement. The Punjab

Urban Development Authority (PUDA), set up under this Act, is a state-wide authority. PUDAs mission is ... to conceptualize and

create unique urban settlements that cater to the social, residential, commercial and industrial needs of Punjabs dynamic population,today and for the future (http://punjabgovt.nic.in/). Further, PUDAs objectives are the preparation and implementation of regionalplans, master plans, new township plans and improvement schemes, much like those of the LIT!

Finally, the highest decision-making body for regional and town planning is the Punjab Regional and Town Planning and

Development Board (PRTPDB), set up under the above 1995 Act. Given its centralized nature, this body cannot be expected to play

an effective role in city planning.

Typically, the town and city planning department (TCP) of the LMC prepares a plan in consultation with the Punjab UrbanDevelopment Authority (PUDA), that is approved by the states Department of Local Government.

Partly due to the ambiguity of LITs role in city planning and improvement, the LMC stopped paying dues to the LIT in 1974,

stipulated by the Town Improvement Act of 1922, adding up to Rs 46 crore as of 20034. This naturally had an adverse impact on LITs

operations. The LIT had developed several housing schemes that were handed over to the LMC up to 1973. Subsequently, LIT

stopped developing new schemes due to a lack of resources. LIT even has some cases pending in the court over the compensation tobe paid for land acquired several years ago! LIT does make some money through sale of its schemes to developers. While residential

plots are sold by lottery, commercial plots are sold by auction to the highest bidder.

Because of the proliferation of agencies for land use created by multiple legislations, it is not absolutely clear what the separate rolesof the TCP, LIT, PUDA or the PRTPDB are in city planning and improvement. This has resulted in a situation in which there is

rampant passing of the buck when it comes to prickly issues such as removal of illegal encroachments in the city premises. Theexisting arrangements are not capable of providing accelerated or better land use services. There is a compelling case for a single

statutory body that has strategic capabilities to manage all aspects of land use in Ludhiana, as it would be in the case of most other

Indian cities.

The experience of Ludhiana is, by no means, isolated. The Royal Town Planning Institute in Ireland (2001) documents a

similar experience relating to institutional arrangements for land use and transport in the Greater Dublin area, that highlights theurgent need for integration of the planning and delivery of urban development. Auzins (2004) documents a set of common

problems faced by the central and East European countries in their land management processes primarily because of conflicting

legislation.

Clearly, local bodies everywhere have a problem with integrating policymaking and implementation. As this case study demonstrates,

policy and action coherence is as vital for effective financial management as it is for service delivery. Indias 74 thConstitutionalAmendment Act has formally recognized local governments as the third tier of government, but that has not transformed their internal

functioning. This case demonstrates the need to identify an umbrella agency from amongst the numerous existing agencies that can

oversee various aspects of land use planning in cities for better management of finances and the delivery of services, for true local

autonomy, and better public participation in city planning.

Note: The work for this case study was funded by the Water and Sanitation Programme (WSP), South Asia. I would like to thank David Savage

(WSP), Govinda Rao and O.P. Mathur of NIPFP, Sandeep Kapur (Punjab Agricultural University), S.K. Sharma and S.P. Karkara (respectively

present and former Municipal Commissioners of Ludhiana), Chairman, Ludhiana Improvement Trust (LIT ), and it s staff members. The

views in this case study do not represent that of the WSP, LMC or NIPFP. Any errors r emain my responsibility.


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realization and management of infrastructure, presents a majordeterrent to speedier infrastructure creation.

Lack of mobilization of landWhile land use is dealt with intensively within the masterplan, mobilization of land to meet specific sector needs israrely addressed.

While the issues are several, essentially two importantaspects of the master plan are significant and need to beresolved immediately. The shift in attitude from viewing themaster plan as a product to a process and devising a regulatoryframework for actual enforcement and implementation isimperative. The need for built in flexibility in the masterplan is of utmost importance so that the plan itself does notbecome the stumbling block to development.

The Structural Response

The government, recognizing the difficulties of planning afterthe 74thCAA formed various study groups and committeesfor devising guidelines for Urban and Regional planning. Theurban development plan formulation and implementation(UDPFI) guidelines take cognizance of the decentralizationinitiatives and prescribe a series of plans with a time framefor review and implementation. Along with the series ofplans, land pooling schemes, promotion of private sectorparticipation through innovative techniques of negotiatedsettlement for land acquisition, use of TransferableDevelopment rights, and accommodation reservations are alsorecognized as important tools for urban development (see

Box 2.2The Impact of Density Controls on Land Marketsin Mumbai).

While the 74thCAA aims to transform the process of urbanplanning, implementation issues at the state level remain. Barringa few states such as West Bengal, the 74thCAA has met withlimited success in urban planning decentralization initiatives16.

This situation is a peculiar one. While many states haveimplemented the 73rd CAA covering rural areas andpanchayats, the urban sector and development planning arestill in the hands of parastatal boards and authorities. Manycities and town have dual development plansa master planor a city development plan (CDP) for the new extensions andperiphery and a plan by the ULB for the core areas. Rarely

there is a co-ordinated spatial development given this scenario.The job of preparing the urban master plan lies with that

planning authorities or urban development authorities. Thisis being challenged often due to overlapping jurisdictions andcontradictions in regulations. The recent case, involving the

Bangalore Development Authoritys17 land developmentscheme exemplifies this situation18.

Weak land laws and overlapping jurisdictions lead to theemergence of illegal layouts/developments. The only option

available to planning authorities is to integrate such developmentswithin the plan. Political choices such as the regularization andamnesty to illegal layouts and developments guide the formationof the planners mandate. The provision of infrastructureto such areas is today largely a sectoral issue ignoring thepossibilities of integration within the larger city. Investmentsinto projects with a more integrated approach could addressthe need for overall development much better when comparedwith opting for only sectoral provision on TPS (see Box 4.9).

Land Use as Economic Resource

Planning is not only about assigning land use or creating

regulatory framework. Real planning issues emanate from theunderstanding of land, assembly mechanisms, valuation of land,the potential development possibilities, etc. A thoroughunderstanding of the optimization of space within differentgeographical contexts can guide urban development. Developingconservative policies towards indiscriminate urbanization andthereby decreasing overall consumption of the land and increasingusable space within the urban areas is an important challenge.

In the drive to optimize the use of land, there is littleconnection between the land use dedicated in the master plansand the actual use of land. Many land uses dedicated in themaster plans address the supply side without actuallyproviding guidance on the mobilization of the land. Theurban lands today are largely seen as real estate cash cows

and a reference to the opportunities for creating social andphysical infrastructure is rare. While there are possibilitiesfor the authorities to use their assets for multiple purposes inform of joint developments, partnerships, etc., cities andtowns could explore tremendous possibilities in recycling ofwastelands, utilizing unused lands. Appropriate incentiveswith regulation can help authorities to infuse vitality andcreate activity centres within urban areas (see Box 4.7 onco-ordinated schemes). Planning and development authoritiescan innovate in the sphere of land management and play aninstrumental role in urban redevelopment.

Allocation of land for social and physical infrastructure

Every development plan attempts to reserve and allocate landon the spatial plan for future and current infrastructure needs.

16The scenario is improving rapidly. See Table B3.2.1: State-wiseCompliance of the 74 thCAA ProvisionsEditor

17See www.bdabangalore.org/site_information.html18Though the BDA Act allowed BDA to carry out schemes in the

Bangalore metropolitan area, Section 503 A of the Karnataka MunicipalCorporation Act said these could only be taken up by the metropolitanauthority. Courts have upheld BDAs authority now. Also see Box 4.9.


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They are intended to be acquired by municipal authorities forprovision of civic services/amenities. Though the reservationof land through land use plans is significant and is arrived ona normative basis, the implementation is faced with a numberof issues.1) The demarcation and reservation for infrastructure on the

land use documents is mostly on privately owned lands.The actual land holding by the authorities and local bodiesis very limited and hence there is a need to acquire privatelyowned lands. As the compensation that entails thecompulsory acquisition is not in line with the opportunitycost under the prevailing market rates, private landowners,

therefore, are not favourable to such developments. In allcases, due to budgetary constraints of authorities/localbodies, acquisition of land is not carried out leaving thereservation only on the plan and allowing it to lapse to adifferent use beyond the stipulated time. What is intendedto be positive intervention lends itself to distortion ofservice delivery and offers further obstacles to an alreadydifficult path to development. Innovative market based

tools such as the Transfer of Development Rights (TDRs)can come in handy for the public authorities to resolvesome of these knotty issues (Kothari 2003).

2) If a private land is demarcated for provision of socialinfrastructure or amenity, the parcel of land loses its marketvalue and the owner applies to the authorities for a changein use. The demarcation of such rigid land uses, thoughcarried out with the best intentions, puts a powerfuldiscretionary tool in the hands of authorities. The misuseof such powers under the rigid system is rampant.

3) Social infrastructure covers a range of facilities in educationand healthcare entailing land requirements tailored to

different sizes, standards, and purposes. Planning presentlyfocuses only on the need-based land use allocationaddressing the supply side parameters based on normsrather than one that is based on actual demand whichwould be dictated more by the socioeconomic patternsrather than involving a quantitative exercise. Actual landuse seldom reflects the planned land use reservation. TheBangalore experience presents an interesting case: of the

Box 4.9

Town Planning Schemes: Land Pooling and Reconstitutionan Opportunity for Infrastructure Provision in an Equitable Manner

New urban extensions, renewal of old areas and infrastructure provision necessitate land acquisition and land assembly. Various modelsand tools for land assembly and development are used such as, Transfer of Development Rights, Negotiated Land Purchase underHUDA Act 1975, and the joint sector approach of the UP Govt.The conventional approach to land acquisition, even for public

purposes, is a time consuming process leading to litigation and distortions (see 3iNetwork, IIR 2001). Land acquisition is often

considered a lose-lose proposition for both the authorities and private landowners.The Town Planning Scheme (TPS) offers an equitable and financially affordable alternative to compulsory acquisition in land

assembly. The concept of TPS is akin to the land pooling technique that has been successfully used for plan implementation in

Maharashtra, Gujarat, Tamil Nadu, Punjab and others. Within this technique, lands of different owners are pooled together and afterproper planning the same are re-distributed into reconstituted plots after deducting the land required for open spaces, social infrastructure,

services, housing for the weaker section and street network. The process enables the local planning authority to develop the commonly

pooled land without compulsorily acquiring the same. It facilitates the freedom of planning and design and regulation of growth

patterns. It involves the private landowners as partners in the development process and allows for accrual of benefits to them.In case of Gujarat, the GTPUDA 1976 (Gujarat Town Planning and Urban Development Act) allows for preparation of town

planning schemes implemented in two parts. 1) Physical planning in the form of draft, preliminary and final plans. 2) Finalization of

financial aspects. For ease in implementation, 100 hectares of land are taken up for development as a joint venture between the

landowners and the authority/local bodies. The owners voluntarily agree to pool their land, redistribute the reconstituted plots of landamong themselves and share the development cost. Extensive use of accurate maps is made carrying information on the land par cels

and ownership. The various parcels are clubbed together and then parcelled out again in a regulated fashion to provide for infrastructureneeds, road networks, amenities. These are called the final plots. Though reduced in area as compared to original holdings these are

better serviced and amenable to development with better buildability and efficient access.

Costs are worked out in manner such that the enhanced value of the plot due to planning and cost of carrying out external

development is offset by the value of the r educed area of the plot. In principle, landowners do get their compensation for loss in areaand still enjoy the full development potential of the plot. The implementing authority stands to gain as it gets the land almost free

without compulsory acquisition and avails the benefits of the land bank so created. In case of Gujarat, the Act allows for the creation

of a land bank and sale of land for raising funds. The financial viability of the scheme is also ensured through the prompt contributionfrom the direct beneficiaries and owners of land in proportion to the benefits received by them.

The TPS can be adapted to different contexts for renewal of areas, regularization schemes of unauthorized developments and

infrastructure provisions such as water and sewerage.


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17.3 sq km area reserved in the new urbanizable area ofthe comprehensive Development Plan-1995, only 1.4sq km or 8 per cent19 of the allocated area has beendeveloped by year 2003.

4) Land for the provision of roads is neither allocated noracquired. Private land owners are expected to allow forthe reservation for road construction on their land andall owners are expected to follow suit. However illegalencroachments are widespread and reservations are hardlyrespected. Changing alignment of existing roads createsenormous hardship for private owners.

Zonal Regulations

The single component of the current planning method thatcan directly influence urban efficiency is the zonal regulationsframework. The zonal regulations framework complements

the proposals of the spatial plan and dictates all types ofdevelopment through controls and rules. This in turn isthe basis for providing approvals/permissions before thecommencement of any development activity and subsequentlyfor enforcement after completion. (Interestingly though, theregulations are not equally applicable to all. Public bodiesand defence areas, which form a large part of the city, do notadhere to the conditions.)

The fundamental purpose of the zonal regulations is tocreate different land use zones and classifications such ascommercial, residential, etc. and to preserve the sanctity ofthese uses during plan making and enforcement. To go further,the land uses so categorized are assigned ideal densities(measured in persons per ha).

All Indian city plans reflect the strict zoning while groundconditions reflect mixed use and multiple uses. However thisis a common phenomenon in the Indian context and has provedto be efficient from the transportation and city planningperspective. The mixed-use concept is at its infancy and is slowlyfinding its way into the rigid zoning and land use models.Further, the current practice of land use planning focuses onthe two dimensional model of the city and misses the thirddimension and the temporal dimensions which are crucialfor the Indian context.

Large urban areas within city plans have beenconceptualized in the form of bands where high-densitydevelopments in the periphery are permitted. This provision

causes the city development to take up an inverted FARmodel20with lower development rights in the centre andhigher development rights in the periphery. The ideal standardsand norms of FAR to densities and definition of quality of

life not in sync with socioeconomic realities creates poorcontrols. This further leads to poor compliance with regulationsand enforcement difficulties. For example, in the old parts ofBangalore city, where the FSI allowed is 0.7521, the ground

condition comprises of buildings with a FSI of average 4.0to 5.022. The FAR is a valuable tool for redevelopment andrebuilding. If the proposed FSIs are poorly designed, theviability and full utilization of the space becomes impossibleand leads to freezing of activity or makes violation a necessity.

Another aspect of the regulatory framework is of the linkingof regulation with the municipal byelaws. It is common to usethe terms interchangeably though the focus and scope of thetwo frameworks are very different. The municipal bye-lawconcerns itself with safety and health and specific details arerequired for meeting the objectives. Zonal regulations on theother hand need to focus on the planning aspects. One canhowever envisage a model with in-built flexibility at the zonal

level and limited flexibility at the local area level through aparticipative route.

Back to Fundamentals

A regulatory framework is expected to enhance city efficiencywhile formulating an appropriate, optimal, and user-friendlyland utilization plan. The challenge for devising appropriateregulations adapted to different areas of the city and therebycreating differentiation is possible by adapting the key principlesof spatial plan and policy as detailed below.1) Anticipatory and realistic: All urban areas are in the process

of constant change, the current realities of the area such asland price, the availability of infrastructure, and accessibilityvery largely influence development trends. Regulationswhile in line with current trends should also incorporateanticipated future changes based on the public investment,infrastructure realization and urban dynamics.

2) Diverse and differentiated: Social and economic conditionscoupled with historicity contribute to the making ofdifferent areas of the city. Regulations can be mostproductive if this fundamental principle is respected. Groupsof buildings, areas can be identified as essential urbanfabrics of the city and recognition of fabrics can help inunderstanding the urban system. In cases of Indian cities,it is normal to observe over 68 types of housing typologyfrom self-help to organized formal housing supply with

different forms of tenures. Recognizing and promotingthe balance of types can largely help in resolving housingsupply needs.

3) Flexible: The regulatory framework needs to addressdifferent scales of development. The one size for all principle

19Urban Diagnosis, MSDI pr oject, unpublished report for BDA,2004.

20See also Alain Bertaud, http://alain-bertaud.com

21Revised comprehensive Development Plan 1995, BDA, Bangalore.22Interim report, MSDI project, unpublished report for BDA, 2004.


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has limited workability given that it covers a range ofprojects from small to very large scales. The norms andstandards applicable to large projects to induce investmentcan be different from that of, say, self-help housing. The

case of industrial wastelands or disused lands is interestingin many of Indian cities. The integration of large parcelsof land within the city poses many questions ranging frommoral to management issues. Regulations should have inbuilt flexibility to enable resolution of conflicting issues(see Box 4.8).Zonal regulations must thus focus on the following

important points, if the larger plan has to work.1) Identifying zones or areas, which are amenable to the

development of functions based on social and economicconditions.

2) Sub-division regulations for setting a limit on the minimum

land parcel below which further sub-division is notpermitted. This is to protect against high fragmentationof land within urban areas.

3) The overall density prescription for the area or management

of the floor area ratio for governing overall development.The FAR, managed efficiently can act as a tool for urban

renewal and can be very effective in catalysing investmentand city redevelopment. However, introduction of innovativetools such as Transfer of Development Rights or PremiumFSI by authorities needs extreme care and understanding.Without reference to the basic framework of the spatial plan,deployment of these innovative tools can have little impacton the city development. As in case of Mumbai, the TDRprinciple works as an independent tool and has no bearingon the spatial plan and design of infrastructure to match theincreased demands of the areas receiving the TDR (Box 4.10).

Box 4.10

Innovative Tools Involving FAR Management

The floor area ratio (FAR) fixes the permitted ratio of the built up area to the plot area on a given plot of land. Through the zonalregulations, most Indian cities have a uniform FAR as in case of Mumbai or variable FAR related to two or three zones as in case of

Bangalore. For given piece of land depending on siting conditions, the FAR is a function of the land price. Costlier the land measuredin Rs per sq m, the higher the optimal FAR for viable utilization.

The FAR or Floor Space Index (FSI) is part of the development rights derived from the regulatory framework associated with everyparcel of land. The assigning of FAR is a powerful tool for development. FAR can be used as an incentive tool for preservation and

redevelopment. This can be carried out through the following strategies: Old areas, which need to be renewed or redeveloped, can be facilitated through providing a higher FSI to match ground realities.

Potential FSI and development rights associated with the plot can be allowed to be fully utilized within the site (in situ utilization) orin case of partial utilization the rest of rights could be transferred to a different plot in the designated area in the city in form of TDR.

The regulations could allow for the full utilization of designated FSI as also for availing of extra FSI by payment of fee subject to

conditions set out while devising the provision. This concept also extends to extra FAR, known as premium FAR and has beenintroduced in select cities. The fee collected under this premium FAR can be used for augmentation of infrastructure in the local areas. The management of FSI as innovative tool requires a responsive urban plan and a powerful enforcement mechanism.

Transfer of Development Rights

Local bodies undertake transfer of development rights (TDR) programmes to utilize the potential of development rights (FSI) in

designated low-density areas and allow for transfer to designated areas that can sustain higher densities and greater development. Theuse of TDRs today is limited to road widening programmes, reservation of green and open spaces within the spatial plans.

TDRs combined with the land use plan are potentially powerful. They can be more effective than typical zoning proposals andoffer advantages for implementation. The compensation is market based and allows for easy implementation along with some

definiteness. Bangalore Mahanagara Palike has recently introduced the TDR for the road widening programme and intends to extendthe TDR to the entire city in due course.

However, the generally limited use in Indian context points to an equal share of problems associated with them: The TDR cannot operate in isolation; transfers should be allowed to designated zones only. This is important from the perspective

of designing infrastructure to tackle higher densities as well as winning the acceptance of the local population in view of densification .

TDRs require more of urban planning and zoning to guide the transfers and increased administration as the rights are negotiableinstruments. Interests can be sourced from quarters other than developers or builders, including brokers, trusts, and individuals

willing to stock the rights and trade as desired.

For the TDR to operate, the authorities need to be extra careful to create necessary market conditions. This means that once set inoperation, not many changes should be effected both in the planning and the policy level. This further necessitates comprehensive

land use and fiscal planning measures. The TDR can become a long term liability as the zones and land uses identified for transfer and receipt become permanent. This

can lead to freezing of different areas of the city and be an impediment to changes of use that occur over a period of time.


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INTEGRATINGPLANNINGANDINFRASTRUCTUREDEVELOPMENT

The plan making and formulation is good opportunity to assess

social and economic needs of the population to address qualityof life issues. The identification and coherent programmefor implementation necessitates a macro view of the urban areaand interlinkages with land use and development. Planningfor infrastructure and integration can occur at three levels.The macro level, which is at the city level; its impact is wideand extensive. Concerted efforts to streamline developmentare a necessity as in case of city level drainages, transportationnetwork, etc. The intermediate level refers to the urban areasmostly in the form of a zone or a cluster of local areas andfinally the micro level referring to areas covering a localward in case of ULBs. These scales are relevant as urbanplanning can remain effective and responsive to the macro

and intermediate levels, as they cut across jurisdictions andartificial boundaries. For the urban strategies to work, theselevels are very important. The micro level needs intensivepublic participation to map the demand issues for infrastructurecreat

Planning for UrbanLANNING FOR URBAN.pdf

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