course 1: introduction to urban governance Š …€¦ · 1. introduction 3 2. understanding...

40
COURSE 1: INTRODUCTION TO URBAN GOVERNANCE CONCEPTS AND PRACTICES Block 3 : Sustainable Urban Development Unit 7 : Sustainable Urban Development: Theory and Practice ...................................... 3 Unit 8 : Sustainable Development and Environmental Governance ................................................. 18 Unit 9 : Project and Process Management for Sustainable Urban Development ........................................ 30 National Law University, Delhi Sector-14, Dwarka New Delhi-110078 Centre for Environmental Law, WWF-India 172-B, Lodi Estate New Delhi-110003

Upload: others

Post on 05-Jul-2020

11 views

Category:

Documents


0 download

TRANSCRIPT

Page 1: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

COURSE 1: INTRODUCTION TO URBAN GOVERNANCE �CONCEPTS AND PRACTICES

Block 3 : Sustainable Urban Development

Unit 7 : Sustainable Urban Development:Theory and Practice ...................................... 3

Unit 8 : Sustainable Development and EnvironmentalGovernance ................................................. 18

Unit 9 : Project and Process Management for SustainableUrban Development ........................................ 30

National Law University, DelhiSector-14, DwarkaNew Delhi-110078

Centre for Environmental Law, WWF-India172-B, Lodi EstateNew Delhi-110003

Page 2: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

September 2011 © CEL, WWF-India & National Law University Delhi 2011

All rights reserved. No part of this publication may be reproduced, distributed, or transmitted in any form or by anymeans, including photocopying, recording, mimeography or other electronic or mechanical methods, without theprior written permission of the copyrighters, except in the case of brief quotations embodied in critical reviews andcertain other noncommercial uses permitted by copyright law.

Course CoordinatorMs. Ramya Iyer, Centre for Environmental Law, WWF-IndiaEmail: [email protected]

Block Writers

Unit PreparationCEL, WWF-India

Course Advisor & Editor Format EditorMs. Moulika Arabhi, Ms. Ramya IyerDirector, CEL, WWF- India Programme Officer, CEL, WWF-India

Proofreading Laser CompositionMs. Neeru, Independent Consultant Tessa Media & Computers

C-206, A.F.E-II, Jamia NagarNew Delhi-110025

Page 3: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

UNIT 7SUSTAINABLE URBAN DEVELOPMENT: THEORY AND PRACTICE

Contents Page No.

1. Introduction 3

2. Understanding Sustainable Development 5

3. Practices of Sustainable Development 7

4. Adaptation of Sustainable Development in India 9

5. Summary 15

6. Conclusion 16

7. References and Recommended Readings 17

1. Introduction�Sustainability� and �sustainable development� have become the guiding principles ofenvironmental policy and international development, but many questions are being askedabout these concepts. What do they really mean? How can we get beyond generalities andput them into practice? How do we know if we are moving toward a sustainable world?

Sustainable Development, simply put, can be defined as economic, industrial, andinfrastructural development in the present without endangering the resource needs forfuture development. For example, if we do not pay heed to the decreasing reserves offossil fuels and keep consuming it with reckless abandon, there will be none left for thenear future generations, which will put them in a difficult position and in need of asubstitute.

The term �sustainable development� originated in the 1970s and was first promoted in theinternational environmental and development communities with the publication of WorldConservation Strategy (1980). It was popularised by the Brundtland Report, alos known asOur Common Future (1987) and further elaborated in Caring for the Earth (1991).

Nowadays, the most widely used definition of sustainable development is the one put forthby Our Common Future, which states that �Sustainable development is development thatmeets the needs of the present without compromising the ability of future generations tomeet their own needs�.

Caring for the Earth defines sustainability as �a characteristic of a process or state thatcan be maintained indefinitely�. While World Conservation Strategy states �For Developmentto be sustainable, it must take into account of social and ecological factors, as well aseconomic ones; of the living and non-living resource base; and of the long term as wellas the short term advantages and disadvantages of alternative actions�.

Thaddeus C. Trzyna, Chairman of the International Union for Conservation of Nature(IUCN), on Environmental Strategy and Planning, states �although sustainable developmentis now a part of the vocabulary of policy research and policy-making, not only in internationalcircles, but more and more at national and local levels as well, many people misunderstandthe concept or are uncomfortable with it.�

Page 4: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Urban Development4

He draws on his own experience and provides an explanation for this statement, �Over thepast several years, I have taken part in a number of meetings in various parts of the worldwhere leaders and experts have come together to talk about what they can do to movetoward sustainable development in their countries or local areas. Invariably, much of thetime in these meetings is devoted to arguing about what sustainable development means,and only rarely is there a consensus. This, in turn, hinders discussion of the three otherquestions that usually arise: How can sustainable development be measured (and how dowe know if we have it)? How do we translate the concept into action? What issues shouldwe concentrate on, out of the great range of problems that cry for attention?�

He gives an example of a meeting he attended in Spain�s Basque country. Near the endof the two-day session that examined many different aspects of the topic, a local politicalleader stood up and remarked he �still didn�t have a clue� as to what sustainabledevelopment was about. Those around him nodded in agreement.

The Brundtland Report - The Brundtland Report was a report of the Brundtland Commission,also known as the World Commission on Environment and Development, that was convenedby The United Nations in 1983 to discuss the importance of sustainable development andthe negative effects due to the lack of it and basically deals with sustainable developmentand the change of politics needed for achieving that.

The Brundtland Commission was created to address growing concern �about the acceleratingdeterioration of the human environment and natural resources and the consequences ofthat deterioration for economic and social development.� UN General Assembly passed aResolution, �Process of preparation of the Environmental Perspective to the Year 2000 andBeyond� in 1983 establishing the Commission. While establishing the Commission, the UNGeneral Assembly recognised that environmental problems were global in nature anddetermined that it was in the common interest of all nations to establish policies forsustainable development.

Point 8 of the Resolution of the General Assembly suggests that the Special Commission,when established, should focus mainly on the following terms of reference for its work:

a) To propose long-term environmental strategies for achieving sustainable developmentto the year 2000 and beyond;

b) To recommend ways in which concern for the environment may be translated intogreater co-operation among developing countries and between countries at differentstages of economic and social development and lead to the achievement of commonand mutually supportive objectives which take account of the interrelationships betweenpeople, resources, environment and development;

c) To consider ways and means by which the international community can deal moreeffectively with environmental concerns, in the light of the other recommendationsin its report;

d) To help to define shared perceptions of long-term environmental issues and of theappropriate efforts needed to deal successfully with the problems of protecting andenhancing the environment, a long-term agenda for action during the coming decades,and aspirational goals for the world community, taking into account the relevantresolutions of the session of a special character of the Governing Council in 1982.

Page 5: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Urban Development: Theory and Practice 5

The Report of World Commission on Environment and Development or The BrundtlandReport was published in 1987 by Oxford University Press. The Report was called �OurCommon Future�. The Report was welcomed by the General Assembly. It provided a keystatement for Sustainable Development defining it as, �development that meets the needsof the present without compromising the ability of future generations to meet their ownneeds.�

According to the Report the concept of Sustainable Development contains within it twokey concepts:

a) the concept of �needs�, in particular the essential needs of the world�s poor, to whichoverriding priority should be given; and

b) the idea of limitations imposed by the state of technology and social organisation onthe environment�s ability to meet present and future needs.

The Brundtland Report highlighted three fundamental components to sustainabledevelopment: environmental protection, economic growth and social equity.

The Report was primarily concerned with securing global equity, redistributing resourcestowards poorer nations and encouraging their economic growth. The report also suggestedthat equity, growth and environmental maintenance are simultaneously possible and thateach country is capable of achieving its full economic potential whilst enhancing itsresource base. The Report also recognised that achieving this equity and sustainablegrowth would require technological and social change.

It was proposed that developing nations must be allowed to meet their basic needs ofemployment, food, energy, water and sanitation as well as sustainable population levelmust be achieved. Furthermore, Economic growth should be revived and developing nationsshould be allowed a growth of equal quality to the developed nations.

The Report was a remarkable document which laid the groundwork for the convening ofthe United Nations Conference on Environment and Development.

2. Understanding Sustainable DevelopmentConsidering that the concept of sustainable development is now featured and enmeshedin the aspirations of countless programmes, places, and institutions, it is imperativethat one has an understanding of the concept, its origin, relevance to today�s world,implications to society and so on.

�Sustainability refers to the ability of a society, ecosystem, or any suchongoing system to continue functioning into the indefinite future withoutbeing forced into decline through exhaustion. . . of key resources.� �Robert Gilman, President of Context Institute

Sustainable development is such a development which protects the environment,development which advances social justice � phrases such as these have surrounded theintroduction of what has been claimed to be a new paradigm. The new formulation hasbeen eagerly adopted both by critics of standard development practice and by leaders ofexisting development institutions.

Page 6: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Urban Development6

In the last half of the twentieth century, four key themes emerged from the collectiveconcerns and aspirations of people world over. They included peace, freedom, developmentand environment. Of this it is only in the past 40 years that the environment (local toglobal) became a key focus of many national and international law and institutions. Inpursuing environmental issues, in the 1970s and 1980s, world commissions of notableswere created to study various international concerns including pollution, poverty, naturalresources, urbanisation and so on. Characteristic of these commissions was the effort tolink together the aspirations of humankind � demonstrating how the pursuit of one greatvalue required the others. Sustainable development, with its dual emphasis on the mostrecent concerns � development and environment � is typical of such efforts.

Sustainable development is increasingly misunderstood, but this is only because peoplemiss the point states David A. Munro, former Director General of IUCN. Sustainability isnot a precise goal but a criterion for attitudes and practices; it is a �continuous oriterative process, through and throughout which experience in managing complexities isaccumulated, assessed, and applied.�

Sustainable development is not a technical problem to be solved or an uncertaincharacteristic. It is a vision of the future that provides us with a road map and helps tofocus our attention on a set of values and ethical and moral principles by which to guideour actions, as individuals, and in relation to the institutional structures with which wehave contact, both governmental and non-governmental, work related, and others.

We must begin by recognising that many of the problems that we face today, are not theresult of incidental failures but of technological and scientific successes. The problems ofenvironmental justice are also products of technological successes. For Example, with thediscovery of thermal power plants to produce electricity, came a major drawback ofmassive pollution caused by the burning of fossil fuels like coal.

Scientific Viewpoint on Sustainable DevelopmentScience can describe, with different degrees of precision, what is, and to a lesser degree,can help us assess what can be. Science cannot tell us what should be, and that is thekey of Sustainability. Science is a form of know-how: it is a means without considerationof needs. It underlines differences between knowing how to do something, and knowingwhat to do.

The problem of sustainability is not a problem of lack of knowledge. We have to focusmore on �need to know�. However, it must be kept in mind that �need to know� is notthe lack of knowledge but eagerness to acquire �adequate� knowledge. The problems ofsustainability stretch over various points. Power, political will, and ethical values are a fewexamples. Sustainability as a whole concept confronts us with a situation where facts areuncertain, values are in dispute, stakes are high and decisions are urgent. Therefore, thisis not a set of circumstances where conventional science excels.

So, what do we do if we can�t rely on conventional science? We look to brainstorm so thatwe can generate new ideas. Knowledge generation for sustainability also demands that weinvolve stakeholders in the process because sustainability is more than ecological oreconomic. Sustainability is a statement of values; in effect, it is a vision of the future.Stakeholder involvement is also essential because, �values are in dispute�. In a democracy,value dispute requires participation; this can lead to conformity of values.

Page 7: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Urban Development: Theory and Practice 7

We do need knowledge and science to address the realities of sustainability, but it wouldbe have to be an issue-driven science. It would not pretend to be either value-free orethically neutral, although it will need to remain objective and unbiased in its approaches.It will have to accept the world as it is rather than recreate it in ways that are moresusceptible to its research needs. As a result, the new paradigm will focus attention onthe qualitative assessment of quantitative data available, recognising that uncertaintyexists.

3. Practices of Sustainable DevelopmentIt is important to understand what are the factors that lead to the need for sustainabledevelopment, the activities which give a false view of how the current situation is or was.Sustainable development is closely related to economic development. Therefore,measurement of economic development is important as it shows how and the ways inwhich development occurs, if the development is not environment friendly, and if not, theways in which it is not environment friendly, the limitations of economic indicators, thedrawbacks of development without proper planning, etc.

Let us examine how Sustainable Development is perceived and measured in differentsituation abased on different indicators-

Economic development as an indicator for sustainable development - An EconomicIndicator is a statistic about the economy. The economic indicators allow analysis ofeconomic performance of a nation and predict its future performances. National economicprogress is measured by Gross National Product (GNP), or National Income under theUnited Nations System of National Accounts.

In their present form, national economic indicators fail to measure economic sustainability,let alone accurately reflect social and ecological aspects of sustainable development. Theyoften fail to capture a large part of economic activities. Transactions that take place ininformal sectors, such as subsistence farming and household work, do not enter into theseindicators. Informal activities can be significant in developing countries in terms of incomegeneration, expenditures and �eventual impoverishment� that resource use for such activitiesmight bring about. In Bangladesh, for example, forty per cent of the population is ininformal sectors. In Papua New Guinea, subsistence fishing, which amounts to 13% of theGDP, is normally excluded from national accounts1 .

From an environmental point of view, these indicators overstate true income. The firstproblem is that expenditures incurred by governments and households for dealing withnegative effects of investment, production, and consumption are treated fully as incomein national accounts, although those incurred by industry are treated as production costs.Household medical spending due to exposure to air pollution represents a source ofrevenue for hospitals and is entered into national accounts as income. Government spendingon oil spills is transformed into goods and services. The damage to marine environmentand its potential income-generating capacity are not counted at all. In terms of economicsustainability, these expenditures should be properly treated as the costs of preventingeventual impoverishment that can result from pollution.

1 GDP statistics taken from World Bank Data Catalog.

Page 8: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Urban Development8

These �defensive expenditures� are necessitated by the externalities that take place atinvestment, production, and consumption levels. Had air pollution been controlled at thesource, there would have been no need for household medical spending for that purpose.Had the full costs of an oil spill been placed on oil companies, there would have beenincentives for reducing the risk of spillage and the related public funds could have beenused for public health and education. The accounting of such expenditures fully as nationalincome permits externalities to occur at microeconomic levels.

Industrial development as an indicator for sustainable development � The popularproblem-solving devices of the day, such as national policies, science-based technologiesand even institutional education (awareness-raising and skill development), have becomesubservient to an overall objective of industrial development. This has happened in twostages, first, these devices have become increasingly specialised, isolated, technical and,as a result, removed from any socially and culturally relevant unit. Education, technology,management, and economic growth have become goals in themselves, making it easier forthem to be incorporated into the overall industrial development process. Second, theseunits themselves have become eroded, as industrial development no longer depended ontheir active role. This is particularly visible in the case of the state and its functions inpublic service. The state, after having developed schemes of transportation, communication,education, and more, is now increasingly being sidestepped by the global processes ofliberalisation and deregulation, which lead to the erosion of state power.

Thus, the social units, such as communities, organisations, and societies that at one timecould have slowed down the industrial development process are eroding. These units needto be made socio-culturally and ecologically more sustainable. New, sustainable units needto be created.

Environmental factors as an indicator for sustainable development - We face a viciouscycle where ecological degradation fuels socio-cultural erosion, which in turn acceleratesecological destruction. It is this vicious circle that now has come to restrict any positivepossibilities for further socio-cultural modernisation. The challenge before us is to slowdown and ultimately reverse the cycle�s spin � a process which requires collective learning,in both social and ecological matters.

Unfortunately, many so-called solutions to social and environmental degradation and thevicious cycle they generate still speak in terms of industrial development. The concept ofsustainable development, as promoted by the United Nations system and the global businesscommunity since the Earth Summit in 1992, is a perfect illustration of this. This conceptdoes not take into account the emerging limits to growth and instead proposes more ofthe same. These include technological �quick-fixes�, and other ideas, which depend onmore development for answers.

The challenge of learning our way out of this pit of environmental degradation is to involveall relevant and critical actors in building more sustainable units. The ultimate objectiveof building such ecologically and socio-culturally sustainable units is to slow down thevicious circle. This will be achieved because, as part of these new units, existing actorsand problem solving devices will become transformed through a perspective that will bemore anchored by sustainability. This perspective will now face clear input and outputlimits of the planet. As a result, these actors� understanding of their own roles willgradually change.

Page 9: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Urban Development: Theory and Practice 9

4. Adaptation of Sustainable Development in IndiaIndia is a vast country, with the second largest population in the world. With the numberof people present in the country, the needs of all become a difficult to fulfill. There aremany problems caused because of such a huge population; homes, water, sanitation, wastedisposal, electricity supply, etc. The needs become many, even the basic needs, andproblematic to satisfy. Here are a few measures that can be used to partially nullify theseneeds:-

I) The concept of �healthy cities� could be adapted

The Healthy Cities programme was launched by the World Health Organization (WHO)European Regional Office in the 1986. Healthy Cities projects aim at developinghealth � enhancing public policies that create physical and social environments thatsupport health and strengthen community action for health. They also emphasize theprinciples of health promotion to develop new styles of enabling, facilitating, mediating,advocating and building new partnerships and coalitions for health.

There are currently more than 1000 cities worldwide, implementing Healthy Citiesprojects. In the Asia-Pacific region, the Healthy Cities approach was first introducedto Australia, Japan and New Zealand in the late 1980s and early 1990s. It wasintroduced to the rest of the Asia-Pacific region in 1993-94. Countries in whichHealthy Cities are implemented include: Bangladesh, Cambodia, China, Fiji, India,and various other Asian countries

II) Local Agenda 212

This capacity-building programme responds to Chapter 28 of Agenda 21, where localauthorities were called upon to develop and implement a �Local Agenda 21� withtheir communities. This process is reinforced through supporting key actors in selectedsecondary towns to implement environmental action plans with a view towards long-term sustainability. Local Agenda 21 has been widely used by UN agencies forenvironmental management and planning projects in cities.

The United Nations Center for Human Settlements (UNCHS) has been implementingthe Local Agenda 21 Programme, in collaboration with a wide range of international,national and local partners. The programme is operational in Vinh, Vietnam, the onlyone in the Asia-Pacific region.

III) Urban Management Programme to be launched

The Urban Management Programme (UMP) is a global technical cooperation programme.Beginning in 1997, UMP has been implementing its third phase, the thrust of whichis to build the capacity of governments and other stakeholders to address urbanproblems specifically through consultations involving partner institutions at the regional,country and local levels. These consultations focus on urban poverty reduction, urbanenvironmental management and participatory urban governance.

2 Local Agenda 21 - In the context of Local Agenda 21, local governments in India, both urban andrural, have been accorded Constitutional status through two amendments to the Indian Constitutionmade in December 1992. There would now be focus on development planning in place of land useplanning and for integration of rural and urban planning. Municipalities would be responsible forurban environment management.

Page 10: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Urban Development10

IV) Regional Network of Local Authorities for the Management of Human Settlements(CITYNET)

CITYNET is a network of cities, NGOs and CBOs (Community Based Organisations) thataims to promote the creation of conditions and appropriate mechanisms for communitiesto plan and manage their own settlements and environment. It serves as a catalystto encourage partnerships for technical exchange of expertise among local authorities,NGOs and grassroots organisations in Asia and the Pacific. It also contributes to self-reliant development and international understanding among its members.

As a reaction to the shortcomings of traditional planning approaches, and more recentlyto address the needs of sustainable development, various countries have adopted newprocesses and approaches to urban planning. Action planning is a �learning by doing�approach to resolve urbanisation and environmental degradation problems in a shortterm perspective, with minimum data collection and planning procedures. Localcommunity participation in decision-making is deemed a key to success. Strategicplanning is also a participatory approach to integrated urban development to achievegrowth management and remedial actions at both the citywide and community scalesto achieve sustainable development. The output of the process is not just a physicaldevelopment plan but also a set of inter-related strategies for city developmentcovering land, infrastructure, finance and institutions.

V) Measures that could be adapted at city level

One of the models that could be adopted is the City Development Strategies (CDS).CDS is a �partnership approach� to city assistance launched by the World Bank. Thisapproach calls for broad coalitions of stakeholders and development partners, bothlocal and international, to work together to develop a strategy for a particular city/urban area. The city development strategy is both a process and a product thattogether identifies ways of creating the conditions for sustainability of the city alongfour dimensions: livability, competitiveness, good management, good governance, andbankability.

VI) Local level governance

The participation element of good local governance is important in that it enablesintegrated approaches to solving environmental problems to be initiated locally. Localand community-based efforts have the advantage of more affordable resourcerequirements, simpler management structures, and greater flexibility in institutionalarrangements and decision-making. The challenge is how to initiate local efforts andyet be able to place these efforts within a larger context of an integrated strategywhere each local effort complements the other.

A related challenge is how to speed up decentralisation of power (involving autonomyof local bodies and legislative changes in decision-making) while at the same timespeeding up capacity building in managing new responsibilities. Meeting this challengeis critical as inter-sector cooperation has been found to be easier to initiate andsustain at the local levels.

Strengthening local governance and a shift from purely regulatory roles to enablingroles is necessary to encourage the participation of other key stakeholders in

Page 11: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Urban Development: Theory and Practice 11

environmental management. Public-private partnerships in urban environmentalservices, for example, succeed only where local governments have the requisitecapacity for good governance. From experience in developing countries of privatesector involvement in solid waste management, it has been observed that thereshould be transparency and accountability in the system. Local governments have tohave competent, adequate professional staff and the autonomy to enter into multi-year agreements that capture economies-of-scale as well as efficiencies.

VII) Financing and Resource Generation at city level

The magnitude and momentum of urban environment problems are such that massivefinancial resources are needed to deal with them. The Asian Development Bank (ADB)estimates that 80 per cent of the region�s growth in the1990s was generated by urbaneconomies. A key challenge for developing countries is how to mobilise local resourcesand create the substantial finances needed. Financing needs are also met throughsavings in costs. Community participation becomes vital as volunteer work and evencommunity contributions in both cash and kind reduce costs. The challenge lies indeveloping changes in thinking as well as in the knowledge base and skills ofadministrators, decision-makers and the providers of funding.

VIII)Technology Transfer, Adaptation and Innovation

Opportunities exist for utilising advances in technology that lead to the provision ofhigh quality and more environmentally friendly public transport systems, increasedrecycling, and increased efficiency of energy and water use. Innovative approachescan also be implemented to reduce the �ecological footprint� of urban areas � an�Ecopolis� concept of settlements where urban agriculture, urban forestry, urbanbiodiversity conservation, and building designs to save energy and materials becomeimportant aspects of the city.

The rapid development in information technology is another opportunity for improvingthe urban environment. It could improve monitoring and database management. Itcould create the foundation for communication and advocacy networks. The challengeis how to make it work for urban environmental rehabilitation and management andhow to bridge what is seen as a growing digital divide between those that can affordand have access to such technology and those that cannot.

These approaches that have been outlined above point the way to sustainabledevelopment at the city level. Physical planning needs to be adapted to meet thechallenge of sustainability.

An illustration of Best practices followed

Infrastructure conditions in the slums of Ahmedabad were in a poor state. Thequality and quantity of water supply was inadequate. Many of the slums werenot connected with the sewerage, solid waste disposal was inadequate or limitedwith no landfill sites, and flooding and epidemics were a frequent phenomenon.Public parks and gardens were the scenes of crime and other anti socialbehaviours. The Sabarmati River was heavily polluted while traffic managementwas characterised by unauthorised construction, congested traffic, no parking orpedestrians facilities. Bylaws were violated in every sense of the word. Conditions

Page 12: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Urban Development12

of municipal hospitals and level of primary education in municipal schools weredegrading day-by-day. The municipal council had budgets deficit, costs overrun,unpaid overdrafts and credits, and delayed payments. Consequently, riots anddemonstrations against the administration were becoming frequent and especiallyin the slum areas.

The Innovative Urban Partnerships in Ahmedabad cover a wide range of localgovernment functions � slum improvement, public administration, municipalfinance, water and sanitation, urban forestry etc. They involve many groups ofpartners: government and public sector units; international agencies such asUSAID, DFID, and UNDP; Civil Society Organisations; Corporate Sector; CBOs andNGOs; and financial institutions such as SEWA Cooperative Bank. The innovativeurban partnerships are based on the concepts of investments, each partnerinvesting a portion of the project.

The Report Card system on municipal services was introduced and is now beingdeveloped in an institutional mechanism for mapping the trend of serviceperformance and user satisfaction on on-going basis.

The partnerships have made their impact felt. There are four new, safe, andgreen city parks. The main road is ready with new layout, traffic system andadvertisement rights. Last but not least the river front development plan isapproved.

4.1 Adapting Physical Planning to Promote Sustainable Development;Development Regulation

Control of Development on Fringe Areas: In metropolitan cities and mega cities, urbandevelopment is mostly in new settlement areas and new activity centers with plannedinfrastructures and facilities in the fringe areas to accommodate the increasing populationand activities. Unplanned urban sprawl grows around such centers on the agricultural landstaking advantage of the nearby facilities and infrastructure. In such cases, from anenvironmental perspective, regulations for protecting the agricultural and vacant lands byrestricting developments and the stipulations of the regulations may be as below:

No use, other than agriculture or irrigation facilities, is permitted.

i) Existing water bodies to be preserved.

ii) No new building or extension of any existing building exceeding the height of 3.75metres shall be allowed subject to the total covered area of 50 sq.m.

iii) The minimum front and side open spaces shall be 2 metres and the minimum rearopen space shall be 5.00 metres.

Byrraju Foundation(BF), set up in 2001 with the aim of bringing in holistic ruraltransformation, is working in the areas of Healthcare, Education, Literacy, DrinkingWater, Environment, Sanitation, Livelihoods and Disability Rehabilitation, covering185 villages, across 6 districts in Andhra Pradesh(AP), impacting a million peopledirectly and double that number indirectly. In delta regions, where BF has majorpresence, water sources are polluted over the years. BF is working to transform

Page 13: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Urban Development: Theory and Practice 13

the drinking water situation by providing solutions appropriate to local conditions,ensure community participation, cost effective and replicable. Towards thisend, BF has installed 52 community-based water plants producing pure water,free from harmful bacteria and impurities, conforming to WHO norms, allowingaccess to safe water to cross-section of community in 160 villages with 800,000people, on sustainable basis through collection of nominal user charges. Thisinitiative lead to improved health of villagers, consequent enhancement ofproductivity, economic sustainability of plants with surplus generated being usedfor village development. A few agencies, including UN-HABITAT, replicated thismodel with in and outside India. The work, besides leading to presentation/publication of various papers, received the following recognitions:

a) �Best Water NGO-Water Quality� in India for years 2006-07 and 2007-08 byWater Digest and UNESCO.

b) Dr DR Prasada Raju, Full Life Cycle Leader(Water) was conferred �AP ScientistAward- 2007� by AP Council of Science and Technology, Government of AP.

c) Short listed within the 3 finalists for �Most Innovative Development Project�Award-2007 by Global Development Network.

d) Short listed for 1st National Urban Water Awards-2008 by Government ofIndia.

Compulsory Rainwater Harvesting in New Area Development: Private developments inthe form of sub-division of mother plots (for plotted developments and for apartments)is taking place in the fringe areas and adjoining municipal and non-municipal areas. Thereare regulations in most of the plans which vary according to the size of the mother plotsand the regulations specify the minimum width of roads, the percentage of open spaces,the land for physical and social infrastructures viz. drainage, water supply (pump house& water treatment plants), sewerage (sewage treatment plants or oxidation ponds), school,health center, market, milk booth, post office, power substation etc.

In order to comply with the present efforts towards utilisation of natural resources byrainwater harvesting and ground water recharging, the regulations for subdivision shouldinclude the mandatory provision of community pools of sufficient size so that the rainwater from the area can be stored in such pools. The water may be supplied to thecommunity for uses such as gardening, car washing etc.

4.2 Adapting Physical Planning to Promote Sustainable Development;Efficient Infrastructure Planning

Environment protection around relocated hazardous places: For implementing thedevelopment plans, the non-conforming places located in a scattered way are required tobe relocated in the specified areas in the fringe within a stipulated period. Such placesmay be the obnoxious and hazardous industries, like tanneries, etc. Normally, such areasfor relocation are selected beyond the city limits and in the vacant and agricultural lands.When such relocation of activities takes place, unplanned developments adjoining suchcenters occur and gradually these areas grow. To avoid further environmental hazards, therelocation areas should be provided with a buffer zone where no developments other thanagriculture and pisciculture are permitted. In this regard, regulations of the Pollution

Page 14: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Urban Development14

Control Board are to be followed. But in the development plans there should be specificregulations in respect of the buffer zones. The regulations in this respect may be:-

i) The area covered by 200 meters on all sides from the boundary of such areas wouldbe designated as Buffer Zone.

ii) No developments other than agriculture, pisciculture and plantation of trees would beallowed within this zone.

iii) The existing residential uses within the Buffer Zone would have to be relocated withina stipulated period.

Exnora Green Cross (EGC) was started in 1995 by Mr. C Srinivasan as an affiliateof Exnora international, a well-known voluntary environmental organisation,which was foundard by Mr. M.B. Nirmal. EGC�s vision is to �bring about socio-economic change through employment generation based on environmentalconservation... by enlisting people�s participation�.

EGC initiative was selected as �Good Practices� through our UN-Habitat by2007.

EGC began with a project to restore the Vellore hills and ran into several otherinterconnected issues. To restore the topsoil, a project to compost organicwaste was started. To generate cattle dung for composting, a project to protectthe cattle wealth was initiated. To stop people from depending on the hills forfirewood, renewable energy units and several alternative income generationactivities were introduced. And so on.

As much as possible, the projects employ eco-friendly and labour-intensiveprocesses, use renewable sources of energy and local and biodegradable materials,and avoid the use of machinery.

The strength of the Vellore team is their focus on demonstrating simple,Environment friendly, User friendly and replicable solutions to long-standingenvironmental problems in the society.

The biggest milestone achievement by Exnora Green Cross under the leadershipof Mr. Srinivas has been ending the myth that subscriptions from low incomesettlements especially slums cannot be raised for any environmental project.This myth has been shattered by the Vellore team who has shown that even theslum dwelling people are willing to contribute towards an environmental projectas long as sufficient and proper motivation is given to them.

4.3 Adapting Physical Planning to Promote Sustainable Development:Conservation of Water Resources and Waste Management

1) Protection of Water Fronts: The water-fronts (sides of rivers, canals, lakes and bigponds) in many cities are encroached by unauthorised users and developed in anunplanned manner. These water-fronts need to be protected to ensure proper drainage,and access for open-air recreation, water transportation and protection against soil

Page 15: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Urban Development: Theory and Practice 15

erosion. Area within 100 meters from the banks should be designated as Water Frontzone and specific regulations should be prescribed. The regulations for such zone mayinclude: -

i) No new building within 30 meters from the edge of the banks would be allowed.

ii) In the area lying between 30 meters and 100 meters from the edge of the banksno building more than 5.00 metres in height and 30 meters along the waterfrontwould be allowed. In case of buildings on stilts the maximum height of thebuildings shall be 6.50 meters.

iii) There shall be a linear gap of 50 metres between two buildings alongside thewater front.

2) Environment protection around solid waste disposal sites: Solid waste managementis one of the most critical problems of cities. The locations of the intermediatecollection sites and the final disposal grounds need special attention in considerationof the environment hazards of the nearby localities.

The intermediate collection sites are generally located within or near the settlements andtherefore need to have a buffer zone. This buffer zone should cover at least 30 meterson all sides. The regulations in this respect may be: -

1) The intermediate collection site may be designated as Inner Disposal Zone.

2) The area should be provided with boundary walls of at least 3 meters high on threesides.

3) The actual dumping area should be circumscribed by two to three rows of trees in thebuffer zone.

The final disposal areas for sanitary land filling and composting are normally located inthe fringe areas and the regulations in this respect may be: -

1) The final disposal area may be designated as Outer Disposal Zone.

2) There should be a buffer zone of at least 100 meters wide on all sides of the disposalareas.

3) No developments would be allowed within the buffer zone except for agriculture,pisciculture and plantation of big trees.

4) The residential uses within the buffer zone would not be allowed and would requirerelocation within a stipulated time.

5. Summary♣ In this unit, we examined the definition of sustainable development and its importance

in today�s world, how, when and where the term �sustainable development� originatedand the problems faced in implementing it.

♣ We discussed the importance of measuring economic development in relation tosustainable development and how technological development affects sustainability.

Page 16: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Urban Development16

♣ We also discussed how the policies of today focus on merely development and less tosustainability. Also how to aid this problem, conferences like the Earth Summit wereheld to pacify this problem. And how social units, i.e. communities and organisations,are important to empower sustainable development and how these units are slowlyforced to blend with the current industrial development forces.

♣ We examined the various sustainable development practices which can be implementedto aid the urban environment, like the �Healthy Cities� concept, Local Agenda 21,CITYNET, City Development Strategies(CDS), and Local level governance.

♣ We further examined in detail the various implementations to improve the urbanenvironment in a sustainable way with methods like compulsory rainwater harvestingin development areas, environment protection around relocated hazardous places,protection of water fronts, etc.

6. ConclusionIn the preceding paragraphs, some of the most common issues related to environmentallysustainable urban development have been discussed. There may be some urban areaswhere these issues have already been dealt with, but there are many urban areas wherethese issues are still neglected. Cities should be viewed as human ecosystems. A balancebetween environmental justice and ecological structures will define the extent ofsustainability in the fabric.

The impact of the regulations depends largely on how they are enforced. In many of thelocal bodies all the regulations are not strictly enforced. Once such practices start, thetendency of flouting of regulations goes on increasing, and the basic objectives of theplanning regulations get frustrated. It is more important to overview the enforcementstandards rather than formulation of new regulations. The local bodies would have to beinvolved in a larger way for the formulation and implementation of the development plansand extending municipal services to the people. So with the increased responsibility, howthe local bodies would overcome the existing deficiencies is the main issue.

In some platforms it has been remarked that the performances of the local bodies inimplementation of development plans, resource generation and extending urban governanceneed to be monitored regularly and should be related to the state grant. Whatever maybe the decision in this regard, if the local bodies do not improve their performancestowards plan implementation and enforcement of regulation the living standards in theurban areas would not improve. It is therefore a pertinent question whether we needregulations for the enforcement of the existing regulations.

In a broad view of this issue, to be successful, the social environmental learning processmust involve all relevant and critical actors. In other words, all actors currently part ofthe problem must become part of the transformative process that might lead to the wayout. This means involving various sectors � Government, business and industry, academia,NGOs, the media � on various levels � local, regional, national and global.

Page 17: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Urban Development: Theory and Practice 17

7. References and Recommended ReadingsNorgaard, Richard B. (1994 ). Development Betrayed: The End of Progress and a Co-

evolutionary Revisioning of the Future, p. 2. New York and London: Routledge.

WCED (1987). Our Common Future, Oxford University Press, Oxford

Schnurr, J. and Holtz, S. (1998). The Cornerstone of Development: Integrating Environmental,

Social and Economic Policies, International Development Research Centre, Lewis Publishers,Boca Raton, Ottawa.

Mitlin D (1992); Sustainable Development: A Guide to the Literature. Environment andUrbanization, 4,1, 111-124, IIED, London.

Thaddeus C. Trzyna (1995); A sustainable world, California Institute of Public Affairs/Inter-environment.

Peter M. Senge, Bryan Smith, Nina Kruschwitz, and Joe Laur (2010); A Necessary Revolution:Working together to create a sustainable world, Random House Inc.

Dr. Alka Bharat; White paper for commonwealth planning - An overview for promotingsustainable urban development in India.

Page 18: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Trends in Urbanisation18

Unit 8SUSTAINABLE DEVELOPMENT AND ENVIRONMENTALGOVERNANCE

Contents Page No.

1. Introduction 18

2. Sustainable Development: An Indian Viewpoint 19

3. Environmental Governance in India 22

4. Approaches to improve Environmental Governance 25

5. References & Suggested Readings 29

1. IntroductionCities all over the world are challenged by increase in the quality of life of urban citizensin order to ensure sustainable urban development. However, a lot of policies and planningfail in integrating environmental aspects in a way that makes them applicable for designleading to rather unsustainable developments.

Sustainable urban development is a major challenge cities are facing all over the world.Especially the consideration of natural urban ecosystem contribution to public health andincreasing the quality of life of urban citizens is becoming increasingly difficult undergrowing development pressure. UN-HABITAT1 points out inappropriate policies and ineffectiveplanning has resulted in rather neglecting environmental aspects and supportingenvironmental degradation than sustainable urban development. Although scientificecological process knowledge has grown considerably, applications in sustainable urbandevelopment are missing.

A main reason is the missing transfer of the relevant information to decision-makers in acredible and comprehensible manner. Further, there is a lack of taking into accountstakeholders� values, stakeholders being every person who has a something to lose withoutimplementation of sustainable development and has a say in the matter. Environmentalprotection and conservation are of utmost importance to many planning systems across theworld. Not only are the specific effects of development to be mitigated, but attempts aremade to minimize the overall effect of development on the local and global environment.This is commonly done through the assessment of Sustainable Urban Infrastructure andmicroclimate. In most advanced urban or village planning models, local context is critical.In many, gardening and other outdoor activities assume a central role in the daily life ofcitizens. Environmental planners focus now on smaller and smaller systems of resourceextraction and consumption, energy production, and waste disposal. One such effort inrecent times is the development of a practice popularly known as Archology. It is a filedthat has developed from words �architecture� and �ecology� and is a set of architecturaldesign principles aimed toward the design of enormous habitats (hyperstructures) of

1 The United Nations Human Settlements Programme, UN-HABITAT, is the United Nations agency forhuman settlements. It is mandated by the UN General Assembly to promote socially and environ-mentally sustainable towns and cities with the goal of providing adequate shelter for all.

Page 19: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Development and Environmental Governance 19

extremely high human population density. These largely hypothetical structures wouldcontain a variety of residential, commercial, and agricultural facilities and minimizeindividual human environmental impact. They are often portrayed as self-contained oreconomically self-sufficient. This practice of Arcology seeks to unify the fields of ecologyand architecture, using principles of landscape architecture to achieve a harmoniousenvironment for all living things.

In this unit, we will discuss the various ecological aspects of sustainable urban development,the type of governance involved to promote sustainability, the areas that are beingaffected due to lack of proper sustainable development, the barriers restricting the pathfor sustainable urban development and some solutions to overcome those barriers.

2. Sustainable Development: An Indian ViewpointThe concept of sustainable cities can be approached from a moral perspective, where self-discipline is required to achieve such development. However, uncritical acceptance of thetechno-managerial approach of various UN urban development programmes is widespread,even in the South. In the early 1980s, for example, UNCHS (UNHABITAT) and the UnitedNations Environment Programme (UNEP) decided to prepare joint Environmental Guidelinesfor Settlements, planning and Management for cities. In the early 1990s this initiative wasconverted into the joint Sustainable Cities Programme (SCP). The SCP, launched as avehicle for implementing Agenda 21 at the city level, works toward building capacities inurban environmental planning and management, and promoting a broad-based participatoryprocess. The aim is to incorporate environmental management into urban developmentdecision-making and to strengthen local capacities for doing so through demonstrationprojects.

The way in which sustainable cities has been understood in the North has led toenvironmentally friendly cities or ecological cities, where:

i) Economic and environmental costs of urbanisation and urban development are takeninto account

ii) There is self-reliance in terms of resource production and waste absorption

iii) Cities become compact and energy-efficient

iv) The needs and rights of all are well balanced.

Proponents of this line of thinking view urban environmental issues in the South througha Northern lens and so emphasize the reduction of resource consumption, local wasteabsorption and the use of renewable resources, but ignore the critical issue of meetingbasic human needs.

Sustainable Development in India is affected by various factors, each having a crucial roleto play in the adaptability, or necessity for sustainable development in India. The followingare some crucial factors affecting Sustainable Development in India:

I) Effects of Poverty on Sustainable Development in India

In 1972, the then Prime Minister of India, Mrs. Indira Gandhi emphasized, at the UNConference on Human Environment at Stockholm, that the removal of poverty is an

Page 20: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Trends in Urbanisation20

integral part of the goal of an environmental strategy for the world. The concepts ofinterrelatedness, of a shared planet, of global citizenship, and of �spaceship earth�cannot be restricted to environmental issues alone. They apply equally to the sharedand inter-linked responsibilities of environmental protection and human development.

Poverty and a degraded environment are closely inter-related, especially where peopledepend for their livelihoods primarily on the natural resource base of their immediateenvironment. Restoring natural systems and improving natural resource managementpractices at the grassroots level are central to a strategy to eliminate poverty.

The survival needs of the poor force them to continue to degrade an already degradedenvironment. Removal of poverty is therefore a prerequisite for the protection of theenvironment. Poverty magnifies the problem of hunger and malnutrition. The problemis further compounded by the inequitable access of the poor to the food that isavailable. It is, therefore, necessary to strengthen the public distribution system toovercome this inequity.

Diversion of common and marginal lands to �economically useful purposes�, deprivesthe poor of a resource base, which has traditionally met many of their sustenanceneeds.

II) Effects of Energy Consumption/Generation on Sustainable Development in India

India is the 7th largest country of the world with an area of 3.29 million sq km. Itis one of the densely populated countries of the world with a population of over 1billion. Though agriculture contributes less than 24% of the GDP, it employs themaximum working population of the country. The economy is growing at a rate of over8%. India � a nuclear power � is considered as one of the fastest growing marketsof the world.

The Ministry of Environment and Forest (MoEF) is entrusted with the issues relatingto sustainable development. Although the Planning Commission of India has outlinedhuman development goals for the next five to ten years, that are more ambitious thanthe UN Millennium Development Goals (MDG), it is unlikely that the government willmeet the associated objectives.

The demand for energy is growing very fast. Dependence on imported petroleum isalso very high. To meet the increasing energy demand and to ensure energy security,the government, in 2005, formed a high level Energy Co-ordination Committee (ECC).The committee issued a draft report with specific recommendations as to how tomeet future energy demands. For the first time since India�s independence the draftreport tried to address the country�s energy issues from a holistic prospective anddevelop an energy policy that reflected the aspiration of an independent country.

The study report of ECC revealed that from 1990 to 2002 India had failed to achieveany noteworthy progress in the management and development of its energy sector,especially in the areas of cleaner and renewable energy. Moreover, water, air and landpollution had increased significantly. According to the report it was stated that theabsence of a holistic energy policy and increasingly greater reliance on roadtransportation are worsening the situation.

Page 21: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Development and Environmental Governance 21

To ensure effective use of renewable energy sources, which has tremendous potential ina vast country like India, a �politically responsible will� from the leadership is urgentlyrequired. May expects believe that stakeholders such as big public sector energy giantslike Indian Oil Corporation Ltd. and Hindustan Petroleum Corporation Ltd. Should be ropedin for tapping the energy potential. Companies such as the ones mentioned which havehuge distribution network all over the country including in the remotest villages, shouldbe asked to distribute renewable energy items like solar lanterns, solar panels etc.Additionally, in line with the Telecommunication Mission of 1980s, Energy TechnologyMissions on coal technology; solar technology; bio fuels; bio mass plantation and communitybiogas plants should be laid down and effectively implemented.

Case Study

The Grameen Surya Bijli Foundation (GSBF), a Bombay-based non-governmentalorganisation focused on bringing light to rural India, has introduced an innovativelow �cost solar lighting system. The GSBF lamps use LEDs - light emitting diodes- that are four times more efficient than an incandescent bulb. After a $55installation cost, solar energy lights the lamp free of charge. LED lamps, ormore specifically white LEDS, are believed to produce nearly 200 times moreuseful light than a kerosene lamp and almost 50 times the amount of usefullight of a conventional bulb. LED lighting, like cell phones, is another exampleof a technology whose low cost could allow the rural poor to leapfrog into the21st century.

�This technology can light an entire rural village with less energy than thatused by a single conventional 100 watt light bulb�, says Dave Irvine-Halliday,a professor of electrical engineering at the University of Calgary, Canada andthe founder of Light Up the World Foundation (LUTW). The rural markets wouldbe able to afford the initial expenses if they had access to micro-credit. LUTWis in the process of creating such a micro-credit facility for South Africa. �Thenmore than 4 million homes in South Africa will be able to afford this lightingsystem�, he says. Founded in 1997, LUTW has used LED technology to bringlight to nearly 10,000 homes in remote and disadvantaged corners of some 27countries like India, Nepal, Sri Lanka, Bolivia, and the Philippines.

The technology, which is not yet widely known in India, faces some skepticism.�LED systems are revolutionising rural lighting, but this isn�t a magic solutionto the world�s energy problems�, says Ashok Jhunjhunwala, head of the electricalengineering department at the Indian Institute of Technology, Madras.

At $55 each, the lamps installed in nearly 300 homes by GSBF cost nearly halfthe price of other solar lighting systems. Jasjeet Singh Chaddha, the founderof the NGO, currently imports his LEDs from China. He wants to set up an LEDmanufacturing unit and a solar panel manufacturing unit in India. If manufacturedlocally, the cost of his LED lamp could plummet to $22, as they won�t incurheavy import duties. �But we need close to $5 million for this�, he says. �Andinvestments are difficult to come by.�

The lamps provided by GSBF have enough power to provide just four hours oflight a day. But that�s enough for people to get their work done in the earlyhours of the night, and is more reliable than light generated off India�s electricalgrid.

Page 22: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Trends in Urbanisation22

III) Effects of Water Usage and Improper Sanitation on Sustainable Development inIndia

In 1990, only 12% population of India had sustainable access to improved sanitation.In 2002, this figure rose to 30%. During the same period, the percentage of thepopulation with sustainable access to improved water source was 68% and 86%respectively.

The per capita availability of fresh water in the country has dropped from an acceptable5,180 cubic meters in 1951 to 1,820 cubic meters in 2001. It is estimated that thiswill drop to 1,340 cubic meters by 2025 and to 1,140 cubic meters by 2050. This isalarming as the threshold per capita value for water stress is 1,000 cubic meters.India, with 16% of world�s population has only 2.5% of the world�s land resources and4% of the fresh water resources.

Agriculture has emerged as the worst depleter and polluter of water as new methodsof farming with hybrid seeds and high usage of chemical fertiliser increases regulatedwater use by a factor of ten, leading to groundwater withdrawals beyond rechargecapacity, thus driving the push for large dams and intensive irrigation projects.

Arsenic contamination of ground water is another major problem. Pollution by agrochemicalshas contaminated many drinking water sources. The recent scandal of pesticide residuesin soft drinks highlights the scale of water contamination. The combination of overuse andpollution has caused a severe crisis. Between 1970-71 and 2002-03, application of pesticidein agriculture increased from 24,320 Metric Tonnes to 48,350 Metric Tonnes. In this periodthe total pesticide used in India amounted to 18,39,121.62 Metric Tonnes, a portion ofwhich polluted both ground and surface water.

3. Environmental Governance in IndiaThe Government of India felt importance of Environmental Governance in the early partof the 1970s. This might probably be due to the fact that large-scale degradation of theenvironment was occurring due to accelerated economic activities and increase in thenumber of industries. As the levels of pollution of air and water had started reachingunacceptable limits, it was felt necessary to enact certain laws and regulations to containpollution levels.

Though Government of India have legislated and established PCBs but these efforts havenot yielded desired results, as enforcement of environment laws/regulations has been verytardy. One of the reasons for such poor enforcement is that the PCBs were not fullyequipped and the industries were not provided with technological support and financialincentives to introduce pollution control measures. Moreover, there was hardly anyinvolvement of local authorities such as panchayats and municipalities and participationof all stakeholders in this endeavour.

I) Legislative Efforts

Legislative efforts at pollution control in India date back to themid-nineteenth century.Many of these Acts dealt with environmental regulation in a piecemeal manner andproved ineffective at reducing the levels of pollution. Action against polluters hadnecessarily to be initiated in courts by those affected. Pollution and environmental

Page 23: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Development and Environmental Governance 23

degradation were addressed very generally in terms of nuisance, negligence andliability. Some of these acts are:

♣ The Water (Prevention and Control of Pollution) Act, 1974 (The Water Act),provided for the institutionalisation of pollution control machinery by establishingBoards for prevention and control of pollution of water.

♣ The Water Cess Act, 1977, supplemented the Water Act by requiring specifiedindustries to pay cess on their water consumption.

♣ The Air (Prevention and Control of Pollution) Act, 1981 (the Air Act),providedfor the prevention, control and abatement of air pollution, for the establishment,with a view to carrying out the aforesaid purposes, of Boards, for conferring onand assigning to such Boards powers and functions relating thereto and for mattersconnected therewith.

♣ Municipal Solid Waste (Management and Handling) Rules, 2000, state that anymunicipal solid waste generated in a city or a town, shall be managed andhandled in accordance with the compliance criteria and the procedure laid downin Schedule-II. The waste processing and disposal facilities have to be set up bythe municipal authority on their own or through an operator of a facility shallmeet the specifications and standards as specified in Schedules III and IV.

II) Constitutional provisions

In terms of constitutional provisions, the 42nd Amendment of 1976 for the first timeimposed an obligation on the part of the state (Article 48A) and the citizens [Article51A(g)] to endeavour to protect and improve the environment and to safeguard theforests and wildlife of the country. The economic reforms of 1991, the Rio Conferenceof 1992,and growing environmental awareness all resulted in further amendments tothe constitution. Realising the importance of the role played by local bodies, theGovernment of India, with the consent of the state governments, have introduced the74thAmendment to the Constitution of India and enacted 74th Constitution AmendmentAct, 1992. In the 74th Amendment Act, 12th Schedule specifies functions of municipalbodies, which, inter-alia, include functions relating to safeguard and improvement ofenvironment, sanitation and living conditions in urban settings. The empowerment oflocal bodies is an important step in the direction of achieving sustainable urbandevelopment, as this will go a long way in ensuring meaningful participation of allstakeholders at grass-root level

The Supreme Court and High Courts have played an active role in the enforcementof constitutional provisions and legislations relating to environmental protection. Thefundamental right to life and personal liberty enshrined in Article 21 of the Constitutionhas been interpreted by the courts to include the right to pollution-free air and water.Also, relaxing the enforcement of strict rules of proof and modification of thetraditional rule of standing (locus standi ) so as to facilitate public interest litigationshas served, more or less, to remove the difficulty in individuals approaching courtsfor redressal.

The backdrop of all this has been the growing environmental awareness among thepublic. This has been demonstrated by public demonstrations and protests throughout

Page 24: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Trends in Urbanisation24

the 1970s and 1980s, growth in environment and development oriented non-governmental organisations (NGOs), citizen groups, and pressure groups in India (today,roughly 20 times the size in 1985), and the increase in the frequency of publicinterest litigations.

III) Workings of Environmental Regulations

An analysis of the principal pollution control legislations, the Air and Water Acts,reveals that these legislations are mostly punitive in nature. The Pollution ControlBoards (PCBs) have thus restricted their approach to pollution control to �Commandand Control� (CAC). This implies that the state agencies are to function as watchdogsto keep an eye on the existing industries. All new industries, before they start tofunction, would in this approach require prior permission to do so. The agencyresponsible then permits them to carry out industrial activity, subject to certain termsand conditions.

While the basic functions of the CPCB (Central Pollution Control Board) remainprevention, control, and abatement of air and water pollution, with the various SPCBs(State Pollution Control Board) assuming these functions, the role of the CPCB isrestricted to providing technical or scientific assistance. The CPCB has maintained themajor role of prescribing the standard limits for various pollutants. While the SPCBsmay prescribe stricter limits if they choose, they may not dilute the standards stipulatedby the CPCB.

The SPCBs employ three instruments, namely, consent to establish producing units,consent to operate, and standards for air and water pollution. Under the Water Act,consent is necessary for an industry to �discharge effluent into a stream�. Under theAir Act, consent is necessary to �establish or operate an industrial plant in an airpollution control area�. The other functions of the SPCBs are advising the stategovernments, formulation of preventive methods, technology development, regulationof location of industries, disposal of hazardous wastes, and collection and disseminationof information on the prevention and control of pollution.

The PCBs also have the power to move court for �restraining apprehended pollution�as a preventive measure (Section 33 of the Water Act and Section 22A of the Air Act).In an extreme case, a PCB can give �directions to any person, officer or authority�in the interest of pollution control, which �includes the power to direct closure,prohibition or regulation of any industry or process, or stoppage or regulation ofsupply of electricity, water or any other service� (Section 33A of the Water Act andSection 31A of the Air Act).

Failure to obtain consent and violation of consent conditions makes the occupier ofan industrial unit liable for punishment under both Acts. The punishment prescribedis imprisonment with unlimited fine. For minor violations of the Acts, such as failureto provide information, obstructing personnel of the Board from discharging theirduties, and so forth, the penalty prescribed is imprisonment upto three months or fineof Rs 10,000 or both. More severe punishments are provided under both Acts forcontinued violation after the first conviction (Section 41 to 45A of the Water Act andSection 37 to 39 of the Air Act).

Page 25: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Development and Environmental Governance 25

IV) Limitations of Environmental Regulations

Concern has been expressed that the existing pollution control laws are not backedby sound policy pronouncements and even when they are, it is more as an afterthoughtrather than as clearly formulated guiding principles. For example, neither the preamblenor the provisions of the Water Act or Air Act provide much concrete policy guidance.The Acts focus more on procedural details like setting up of the CPCB and SPCBs, theirconstitution, structure, powers and functions. It is only in the list of powers of theState Board under the Water Act that one finds any hint that the legislators understoodthat there might be costs to balance against the benefits of pollution control: �theBoards are to evolve economical and reliable methods of treatment of trade effluents.�

Even the rules issued under these Acts focus almost wholly on procedural matters.These rules illustrate the forms to be filled out by the Central Board for its annualreport, list the fees for particular pollution tests, and give sample application formsfor consent orders without describing how to make use of the information provided.Nowhere do the rules take advantage of the power granted to assist and guide SPCBsto promulgate substantive rules with policy import. As a result, policies exist withoutlaws, laws without policies, and there have even been cases where policies havefollowed legislation. As late as 1992, nearly two decades after the enactment of theWater Act, the Government of India (GOI) came out with a Policy Statement forAbatement of Pollution. Some incongruencies that come to light are the following.The statement emphasizes �promoting technological inputs to reduce industrialpollution�. However, it fails to assign the agencies responsible for this task. As of now,the function of PCBs extends to the granting of consent and implementing standards.They are not in any position to offer technical advice required by industry. Further,though �public cooperation in securing a clean environment� finds mention in thepolicy statement, no legislation has evolved incorporating this even a decade afterthe policy pronouncement.

Pollution control laws have neither kept pace with constitutional directives, nor havethey operationalised the space that exists for popular participation if these directivesare truly understood. Environmental legislations, such as the Air and Water Acts, onthe contrary, have a strong centralising tendency, with the state and Central governmentas the exclusive decision makers. Further, none of these laws provide for coordinatedfunctioning of the various enforcement agencies with the third tier of governance �panchayats and municipalities. There is nothing at all to involve local communities.

4. Approaches to Improve Environmental GovernanceEvery pollution control law ought to be preceded by clear policy pronouncements. Thelaws enacted ought to incorporate the policy and worry about appropriate mechanisms forimplementation. Codification and consolidation of pollution control laws, that do awaywith the overlaps is needed. Laws ought to be enforced within a clear time-bound frameand administrative accountability ought to be ensured. However, a country�s institutionalcapacity to implement and enforce environmental governance is a key consideration.Monitoring and enforcement pose huge pitfalls for the regulatory agencies in India. In spiteof the potential cost of non-compliance to industries being not trivial (in terms of thepenalties imposed), compliance is weak. The suggestions made below to facilitate betterregulation take into account the weaknesses of the regulatory agencies, especially interms of monitoring and enforcement.

Page 26: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Trends in Urbanisation26

I) Regulatory Approaches

While regulatory approaches are the most popular approach to environmental problems,favoured by policy makers because of the certainty of outcome they offer, they arealso the most costly in terms of monitoring and enforcement. Nevertheless, in somecases these are the only feasible instruments by which to achieve the aims of publicpolicy. For example, controlling emissions of hazardous substances will generally bestbe accomplished by outright bans. Similarly, land zoning regulations are the mosteffective means to ensure that residential areas are not downstream or downwindfrom polluting factories. In such cases, strict implementation of the laws and credibilityof the sanctions imposed must be ensured to make sure that regulations are effective.

II) Combination of Approaches

Some regulatory approaches are more efficient than others. One that is particularlyinefficient is to stipulate abatement technologies�this tends to discourage innovationsthat have the potential to limit pollution emissions more cheaply. In such cases, theuse of a combination of approaches may be a better alternative.

For example, in Malaysia, a combination of standards and charges has been effectivein reducing water pollution from palm oil mills. After being given one year to installtreatment facilities, palm oil mills were required to reduce their wastewater discharges,taking biological oxygen demand (BOD) concentration as the key parameter. Progressivelystringent effluent standards were implemented in four stages. In addition to thestandards, effluent charges are levied on the BOD load discharged. The palm oilindustry has made steady progress towards meeting the target of 100 mg/l BOD. Aprogressive reduction in the total BOD load discharged was recorded from 563 tonsa day in 1978 to 5 tons in 1989 despite a 93 per cent increase in the number of palmoil mills over the same period.

III) Use of the Becker Model of Deterrence

The optimal penalty literature begins with Becker�s (1968) economic analysis of crime,the basic insight of which is that potential criminals respond to both the probabilityof detection and the severity of punishment if detected and convicted. Thus, deterrencemay be enhanced either by raising the penalty, or by increasing monitoring activitiesto raise the likelihood that the offender will be caught.

Since increasing the probability of detection requires some expenditure on governmentmonitoring, Becker�s policy prescription is to set the probability of detection arbitrarilylow, thus raising the penalty.

In reality, however, we do not observe such high penalties and low detection rates.Among the reasons for not imposing high sanctions are limited wealth of the offender,risk aversion, and exogenous conditions such as legislation or social norms of fairness.Thus, we are left with a government enforcement policy that requires a significantamount of monitoring expenditures.

Several innovations have been suggested to reduce expensive government monitoring.One such innovation is the idea of differential penalties and differential approachesmonitoring rates based on each firm�s prior compliance history.

Page 27: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Development and Environmental Governance 27

For example, SPCBs may employ differential norms for monitoring units based oncomplaints made or penalties issued in the past.

Extending this idea further in the Indian context, one may consider the idea ofdifferential consents. Consent terms may be rationalised by classifying industriesdepending on their polluting nature and consents may be issued on this basis forlonger or shorter periods. This practice has apparently been introduced in Maharashtrawhere less polluting industries are issued consent for longer periods and potentialheavy polluters are monitored more frequently by means of annual consents.

IV) Removal of Subsidies

Many subsidies actually serve to reduce the cost of overexploiting or polluting theenvironment. Market based instruments, that reduce subsidies that harm theenvironment, reduce costs to the Treasury with important fiscal consequences. Recentestimates put environmentally damaging subsidies at over $240 billion per year indeveloping and transition economies. For example, it has been argued that in Brazil,the exemption from taxation of virtually all agricultural income (allied to the factthat logging is regarded as proof of land occupancy) has provided strong perverseincentives to the private sector to acquire forestlands and to then deforest them.

V) Using Taxes as a Method to Discourage Pollution

Environmental taxes send a signal of the right cost to polluters by including the lotof their negative externality costs. Rather than result in distortions, these taxesdiscourage �bads� such as pollution. Taken a step further, environmental taxes canyield a �double dividend� if the revenue from them is used to reduce and mitigate theeffect of tax distortions.

In situations where weak monitoring capabilities imposes constraints, blunterinstruments, such as fuel taxes, with fewer points of intervention may be moreappropriate.

i) Reform of Water Cess : Though designed as a resource tax on specified waterconsuming units, the water cess is capable of serving as an effluent tax as well.It has been suggested that the cess be based on the effluent load generated bya firm so as to force industrial units to internalise the costs of their pollution.Another suggestion recommended is to levy the cess only on discharges in excessof the effluent standards. This is similar to China�s water pollution levy systemgiven below.

ii) China�s Pollution Levy : An industrial pollution levy system exists in China onemissions that exceed standards. Government revenues from the pollution levyhave increased rapidly, from 1.2 billion yuan in 1986 to 2.7 billion yuan in 1993.The pollution levy now provides about 15 per cent of all capital expenditure onpollution control and is the principal source of funding for regulatory enforcementactivities.

To provide incentives for enterprises to further reduce the (within-standard) pollutantdischarges into water, a fee charged on the total quantity of wastewater dischargedwas introduced in 1993. The collections of this within-standard fee now amount to

Page 28: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Trends in Urbanisation28

over 10 per cent of the collections of the over-standard fee. Results of the tests ofthe levy system suggest that the water pollution levy has been appropriately targetedand has been effective at reducing water pollution.

VI) Establishing Tradable Permits

Tradable pollution emission permits are the best known examples of market creation,and the evidence is that they are effective as long as a number of important designissues are addressed. First, the permit must actually create a property right. If thereis any doubt on this count, then firms will not participate in the market. Second, thequestion of initial allocations of permits must be handled equitably. Finally, theremust be no artificial obstructions to trading permits.

The fact is that as institutional capacity is among the scarcest of resources in India,there would be good reason to seek institutionally less-demanding approaches topollution control as opposed to complicated tradable permit schemes. Keeping this inmind, one way to make a beginning could be to focus initially on only industrialestates to implement tradable permit schemes. This would facilitate identification ofsmall groups of serious polluters, which the pollution control agency could regulateeffectively with its existing resources. A suggestion is to cap the total emissions/discharges of the estate and have the potential occupiers carve up the availablepollution limit among themselves.

VII) Participation and Community Involvement

This may be useful especially when institutions are weak and enforcement expensive.Public participation and community involvement can be effective in enforcingsustainable resource use and adapting local conditions to development needs.

This approach has been effectively utilised in the market economy, as evidenced byJapan. Local government and resident groups in Japan negotiate with firms to arriveat a detailed written agreement on emissions levels. Between 1971 and 1991, thenumber of agreements increased from approximately 2000 to 37,000.

Example of Bhavani Dam:A similar approach was recommended when conflicts arosebetween agriculturalists, industry, and domestic users for water in the Bhavani RiverBasin in Tamil Nadu. Effluents discharged by industrial units upstream of theBhavanisagar Dam would accumulate in the reservoir. This lead to farmers� organisationsand NGOs protesting against the effects of effluents on the quality of water fordownstream uses such as irrigation and drinking, and to the seemingly unbelievablesituation of the downstream users asking the authorities not to release the dam water.

As redressal through the judicial system was thought to be an expensive and time-consuming process, the recommendations were that the stakeholders in the basinestablish a forum whereby they could discuss and negotiate the issues relating to theuse of water resources. Informal and transparent contractual settlements could beworked out, and legal remedies were to be sought only if negotiated settlementsfailed.

The functioning of the SPCBs as of now precludes participation of the local populacewho may be directly affected by pollution of their environment. Community participation

Page 29: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Sustainable Development and Environmental Governance 29

could take the form of community groups monitoring the samples generated by thepolluting industries and getting the same tested (in private labs). Funding for suchactivity could be provided under the SPCB separately. This would effectively preventthe polluters�authorities nexus. The State Pollution Control Boards could also impartthe necessary training to such groups.

VIII)Role of NGOs

NGOs can provide the vital link between industries, communities, and regulatoryauthorities. In a study conducted of a sample of 250 industrial plants in India, 51plants indicated that they had undertaken abatement in response to NGO pressureand 102 said they had done so in response to complaints from neighbouring communities.In 1994, the Philippines received a $20.8 million grant from the Global EnvironmentalFacility to conduct a seven-year project to conserve the nation�s biodiversity. Recognisingthat the national government alone would not be able to protect biodiversity, theproject was designed to form partnerships between the public and private sectors byintegrating the assistance of NGOs into the management of protected areas at nationaland local levels. This arrangement is being implemented at 10 priority protectedareas (a total of 1.25 million hectares of land, wetland, and water areas).

IX) Engaging all Stakeholders

In the light of the above, one of the implications for environmental regulatory policyis that the regulators no longer need to think of themselves as the sole enforcers.When participation by the community is introduced into the framework, supplementedby selective Market Based Instruments (Shares, Bonds, Debentures, etc.), thenmonitoring and enforcing rules and standards are no longer solely confined to theregulator. Environmental governance stands would improve greatly working throughvery important leverage points of charge, viz. in empowered communities, and themarket.

5. References and Recommended ReadingsDey Dipankar; Report on Energy and Sustainable development in India.

Mahadevia Darshini; Sustainable Urban Development in India: An Inclusive Perspective,United Nations Research Institute for Social Development and Swiss Agency forDevelopment Cooperation, Geneva.

Curmally Atiyah; Environmental Governance and Regulation in India�, National Council ofApplied Economic Research.

Page 30: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Trends in Urbanisation30

UNIT 9PROJECT AND PROCESS MANAGEMENT FOR SUSTAINABLEURBAN DEVELOPMENT

Contents Page No.

1. Introduction 30

2. Urban Habitat: Definition 31

3. Project Management: Building a Sustainable Urban Habitat 38

4. Process Management: Building a Sustainable Urban Habitat 40

5. Summary ?

6. References and Recommended Readings ?

1. IntroductionIn India, one of the main issues is population. Over-population has led to an increase inpoverty, inadequate shelter, inadequate education, inadequate healthcare, etc. All becauseof the simple problem that there are too many people�s needs which have to fulfilled. Inorder to address inadequacies in the above mentioned sectors, there is a crying need forformulation of projects/programmes that would exactly take care of these issues.

Project management is defined as the discipline of planning, organising, securing andmanaging resources to bring about the successful completion of specific project goals andobjectives.

Process management is the ensemble of activities of planning and monitoring theperformance of a process.

It is just not enough to formulate projects if they are not going to be implemented througha process which is easy to follow or understand, less cumbersome, easily monitorable,implementable and participatory (of stakeholders).

Planning is an important step in any project formulation. It is desirable to spend considerabletime on the nitty-gritty of various project components, project implementation and projectmonitoring and evaluation. This will considerably help reduce the need for mid-coursecorrections, thereby ensuring saving on account of cost overrun and time overrun. Theprocesses involved in project formulation, implementation and monitoring and evaluationshould be clearly delineated so that the same is understood by everyone in the hierarchyand there is no scope for any ambiguity.

Due to the pull factors that exist in cities, there is in-migration into cities in search ofemployment, education, health and better living standards. This puts pressure on thecity�s infrastructure, such as housing, public transport, water supply, etc. A city is thereforerequired to pay attention to infrastructure needs of its people. Unless the city puts incontinuous efforts to keep with the pace of population increase, it would result in chaoticurban living.

Page 31: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Project and Process Management for Sustainable Urban Development 31

In addition to population pressure, lack of good governance adds to the miseries of thedevelopment process. There is absence of focus on formulation of projects that wouldadequately address the needs and aspirations of different sections of the society. Even ifsome projects/programmes have been put in place, the process of implementation,monitoring and evaluation of these projects and programmes is not well thought out. Asa result of which, the projects and programmes are unable to achieve desired outputs andoutcomes.

It is therefore felt that the governments, both at the center, and the states, need tosharpen their focus, formulate projects that would address imminent problems of deprivedsections of the society, implement

2. Urban Habitat: DefinitionUrban habitat includes housing, water supply, industries, public transport, publicconveniences, solid-waste management, waste-water treatment, slum development, urbanparks, recreational gardens and the overall urban setting. Basically, it is the immediateenvironment in which the urban population dwell. Some important factors which make upthe urban habitat are :

2.1 Housing

It is a well known fact that there is inadequate housing in the Indian cities. This is furtheraggravated due to natural increase in the population and migration to cities from ruralareas. Housing shortage is much pronounced at the lower rungs of the urban population,i.e., slum-dwellers, lower income group and middle income group.

Private housing initiatives generally cater to the population at the higher rungs of thesociety. The people at the lower end do not have wherewithal to own houses in the citiesdue to high cost of land and materials. Real-estate agencies are too busy to bother aboutthese sections of the society.

Therefore, it calls for the intervention of the government at various levels to meet thehousing needs of the needy population by making it affordable.

Case Study

Agra city is a popular tourism destination but has deplorable sanitation andmunicipal infrastructure. Poor in slums mostly lack access to sanitation servicesand livelihoods opportunities. CAP (Cross-cutting Agra Programme) worked inselected slums alongside lesser-known monuments on two priorities identifiedby women. It also helped the local body to prepare citywide upgrading plansand urban poverty reforms in synergy with JNNURM; the urban reform mission.

Women/youth were mobilised, organised and engaged in participatory communityaction and livelihood planning with support of local facilitators. Total livelihoodand sanitation approaches helped address all strategic elements; with theendeavour to mainstream, set up decentralised arrangements; link local planswith macro level city plans and unlock government resources. Distinctive designsfor household toilets were supported with affordable credit and communitymanaged credit, contracting and oversight mechanism. Sanitation loop was closed

Page 32: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Trends in Urbanisation32

by linking wastewater drainage with pathway improvements, wastewatertreatment /disposal systems and livelihood association. Livelihood promotionembraced skills, credit, marketing, product design, pricing, employment andformalisation of enterprises.

Agra Municipal Corporation (AMC) and Tourism Guild were key project partnersproviding technical and financial inputs for slum development /livelihood action.AMC took a stewardship role in designing a State Community Participation Law(CPL) to amplify voices of poor in ward level plans and became the first Statecity to start setting up Areas committees. It has developed mechanisms forpublic funds to be routed directly to CBOs (Community Based Organisations) forinfrastructure development, and earmarked and used municipal resources forslum development. Complementary resources have been invested by other localagencies in road and monument improvements.

CAP�s inclusive, cross-sectoral, flexible, comprehensive, multi level approach,set within the local economic context comes with inbuilt long-term sustainability.Appropriate institutional arrangements with local implementation capacity havehelped institutionalise poverty actions. Reform proposals have helped defineequitable and gender fair norms/policies. A local NGO, CAP AGRA, has beenseeded to sustain voice platforms. CAP has been scaled up within Agra and toother cities through various knowledge partners. Its key lessons are: addressmultiple needs simultaneously, scale planning for upgrading at scale, creationof institutional memory and pre project partnerships.

2.2 Water Supply

Water supply is the provision by public utilities, commercial organisations, communityendeavours or by individuals of water, usually by a system of pumps and pipes.

An estimated 10 per cent of urban water supply is provided by private or mixed public-private companies, usually under concessions, leases or management contracts. Underthese arrangements the public entity that is legally responsible for service provisiondelegates certain or all aspects of service provision to the private service provider for aperiod typically ranging from 4 to 30 years. The public entity continues to own the assets.

90% of urban water supply and sanitation services are currently in the public sector. Theyare owned by the state or local authorities, or also by collectives or cooperatives. Theyrun without an aim for profit but are based on the ethos of providing a common goodconsidered to be of public interest. In most middle and low-income countries, thesepublicly-owned and managed water providers can be inefficient as a result of politicalinterference, leading to over-staffing and low labour productivity. Ironically, the mainlosers from this institutional arrangement are the poor. Because they are not connectedto the network, they end up paying far more per liter of water than do more well-offhouseholds connected to the network who benefit from the implicit subsidies that theyreceive from loss-making utilities.

Governance arrangements for both public and private utilities can take many forms.Governance arrangements define the relationship between the service provider, its owners,its customers and regulatory entities. They determine the financial autonomy of the

Page 33: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Project and Process Management for Sustainable Urban Development 33

service provider and thus its ability to maintain its assets, expand services, attract andretain qualified staff, and ultimately to provide high-quality services. Key aspects ofgovernance arrangements are the extent to which the entity in charge of providing servicesis insulated from arbitrary political intervention; and whether there is an explicit mandateand political will to allow the service provider to recover all or at least most of its coststhrough tariffs and retain these revenues.

Case Study (Indonesia)

The problem of Banjarmasin government before year 2000 was the unavailabilityof clean water since water sources from rivers are contaminated, intrusion ofsea water and ironically rivers are still used for bathing, washing clothes andas lavatory as well as water supply. The practice of making use of river watercauses water borne disease such as diarrhoea, cholera, dysentery and skinproblems. At that time, PDAM could not served most of the poor people in thatthey have to buy water Supply from water vendors that charged much moreexpensive to the needy. As an illustration is if one container of 20 liter costs$.0,054 and on the average a family needs about 100 liters/day, so the expensesfor water in a day is $.8,152/month/family. In 1999 the rate of water from PDAMwas $.0,287/month.

Public campaign is conducted to change the mind-set of most people and tomake them realise that water is so crucial for their health. The approach wasthe campaign to housewives together with other non governmental organisation,social organisation, since year 2000. Glimpsing at the condition, PDAM is doinginternal reform with his strategic development programme which is performedconsistently and continuously in that the performance of PDAM is improving.

Today the service coverage is 95% of 620.000 population Banjarmasin. Thesuccess of PDAM in providing the service is obvious if we see from the awarenessof people to make use water Supply in their daily life so that healthy living istheir priority, decrease in number of infected disease and the acknowledgementof PDAM Banjarmasin by receiving the award of �EXCELLENT SERVICE CUP� inyear 2004 and 2006 and the 3rd winner for PDAM in big city category in year2006 and 2007 from the President and Ministry of Indonesian Republic.

2.3 Public Transport

Public Transportation can be defined as a shared passenger transportation service whichis available for use by the general public, as distinct from modes such as Taxicab, carpooling or hired busses which are not shared by strangers without private arrangement.

Public transport modes include buses, trams and trains, �rapid transit� (metro/subways/undergrounds etc.) and ferries. Intercity public transport is dominated by airlines, coaches,and intercity rail. High-speed rail networks are being developed in many parts of theworld.

All public transport runs on infrastructure, either on roads, rail, airways or seaways; allconsists of interchanges and way. The infrastructure can be shared with other modes oftransport, freight and private transport, or it can be dedicated to public transport. Thelatter is especially true in cases where there are capacity problems for private transport.

Page 34: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Trends in Urbanisation34

Investments in infrastructure are high, and make up a substantial part of the total costsin systems that are expanding. Once built, the infrastructure will further require operatingand maintenance costs, adding to the total costs of public transport. Sometimes governmentssubsidise infrastructure by providing it free of charge, just like is common with roads forautomobiles.

Public transportation has been a key aspect of the green initiative. The idea of goinggreen, which basically entails commissioning more eco-friendly systems, is essentially new.Public Transportation allows for cars to be removed from the road. This lowers gasemissions and traffic congestions providing an economic boost to the areas of job relocation,and most importantly, contributing to a green environment by reducing Carbon Dioxide(CO2) emissions.

Case Study

With the aim to provide the people of the city reliable, safe & efficient modeof transportation at an affordable price the city administration decided tolaunch �Jabalpur City Transport Services Limited� (JCTSL) a company incorporatedunder the Companies Act, 1956.

Jabalpur city transport services limited has been designed to operate & managethe public transport system in a Public-Private Partnership (PPP) model to benefitthe company, operators, government & general public at large. This company issupported by the Jabalpur Municipal Corporation (JMC) and the JabalpurDevelopment Authority. The company is looking ahead for a bright future aimingat developing and modernising infrastructure needed for the betterment of themass transport services.

In this project, it is envisaged that the JCTSL will have 150 Metro buses (44seats) and 20 mini Metro Busses (16 seats) covering 16 routes. In the first phase36 Metro buses covering 6 routes and 16 Mini metro will be put covering 4routes.

To start with the municipal corporation floated a tender for the construction of110 Bus stops on a BOT Basis. For the Metro bus operation 3 bus operators wereshort listed and were asked to procure 12 busses each. Agreements were signedwith the parties for the bus operation.

Similarly for the pass making a service provider was selected to make passes oncommission basis and the company has four types of passes (metro, mini metro,combined & route passes for 7 Km & 12 KM) under three categories viz General,student & handicapped. These passes are made and renewed monthly or quarterly.

To ensure that the busses maintain their route and time a contract was signedfor the �On line Vehicle Tracking System� (OLVTS) which provides the real timeinformation of the bus though GPS called a �Bus Unit� and the same informationis displayed on the �Passenger Information System� (PIS) installed in the busstops. The entire activity is web enabled and can be monitored from anywherebut a dedicated control room with necessary infrastructure has been incorporated.

Page 35: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Project and Process Management for Sustainable Urban Development 35

Tenders were floated for all the above activities and work orders awarded. 60bus stops have been constructed on BOT Basis. 28 metro Busses & 9 Mini metrobuses have been procured by the operators and running successfully on 6 and4 routes respectively. 2 GPS equipment has been installed and the testing Phaseis on.

2.4 Solid Waste Management

Waste management is the collection, transport, processing, recycling or disposal, andmonitoring of waste materials. The term usually relates to materials produced by humanactivity, and is generally undertaken to reduce their effect on health, the environment oraesthetics. Waste management is also carried out to recover resources from it.

Waste management practices differ for industrial and residential producers. Managementfor non-hazardous waste residential and institutional waste in metropolitan areas is usuallythe responsibility of local government authorities, while management for non-hazardouscommercial and industrial waste is usually the responsibility of the generator.

Disposing of waste in a landfill involves burying the waste, and this remains a commonpractice in most countries. Landfills were often established in abandoned or unusedquarries, mining voids or borrow pits. A properly designed and well-managed landfill canbe a hygienic and relatively inexpensive method of disposing of waste materials. Older,poorly designed or poorly managed landfills can create a number of adverse environmentalimpacts such as wind-blown litter, attraction of vermin, etc. Another common byproductof landfills is gas (mostly composed of methane and carbon dioxide), which is producedas organic waste breaks down anaerobically. This gas can create odour problems, killsurface vegetation, and is a greenhouse gas. Deposited waste is normally compacted toincrease its density and stability, and covered to prevent attracting vermin (such as miceor rats). Many landfills also have landfill gas extraction systems installed to extract thelandfill gas. Gas is pumped out of the landfill using perforated pipes and flared off orburnt in a gas engine to generate electricity.

The management of waste is a key component in a business� ability to maintaining ISO14001accreditation. Companies are encouraged to improve their environmental efficiencies eachyear. One way to do this is by improving a company�s waste management with a newrecycling service. (such as recycling: glass, food waste, paper and cardboard, plasticbottles etc.)

Integrated waste management using LCA (Life Cycle Analysis) attempts to offer the mostbenign options for waste management. For mixed MSW (Municipal Solid Waste) a numberof broad studies have indicated that waste administration, then source separation andcollection followed by reuse and recycling of the non-organic fraction and energy andcompost/fertiliser production of the organic waste fraction via anaerobic digestion to bethe favoured path. Non-metallic waste resources are not destroyed as with incineration,and can be reused/ recycled in a future resource depleted society.

Page 36: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Trends in Urbanisation36

Case Study

The EcoCity Project initiated by CPCB (Central Pollution Control Board) hasfocus on bringing in visible environmental improvement through implementationof projects related to Sewerage & drainage, Solid waste collection & disposalsystem, Protection of water bodies, Improvement of traffic & transportation andPlantation & landscaping. Funding for the project is on 50:50 cost-sharing basiswherein 50% of the total budget comes from the municipality of the participatingtown and 50% (limited up to Rs 25 million) from CPCB. Six towns namely,Tirupati, Puri, Ujjain, Kottayam, Thanjavur and Vrindavan are covered in thefirst phase of the project.

2.5 Waste-water Treatment

Waste-water treatment, is the process of removing contaminants from wastewater andhousehold sewage, both runoff (effluents) and domestic. It includes physical, chemical,and biological processes to remove physical, chemical and biological contaminants. Itsobjective is to produce an environmentally-safe fluid waste stream (or treated effluent)and a solid waste (or treated sludge) suitable for disposal or reuse (usually as farmfertiliser). Using advanced technology it is now possible to re-use sewage effluent fordrinking water, although Singapore is the only country to implement such technology ona production scale in its production of NEWater.

A new process called Soil Bio-Technology (SBT) developed at IIT Bombay has showntremendous improvements in process efficiency enabling total water reuse, due to extremelylow operating power requirements of less than 50 joules per kg of treated water. TypicallySBT systems can achieve chemical oxygen demand (COD) levels less than 10 mg/L fromsewage input of COD 400 mg/L.SBT plants exhibit high reductions in COD values andbacterial counts as a result of the very high microbial densities available in the media.Unlike conventional treatment plants, SBT plants produce insignificant amounts of sludge,precluding the need for sludge disposal areas that are required by other technologies. Inthe Indian context, conventional sewage treatment plants fall into systemic disrepair dueto:

1) High operating costs

2) Equipment corrosion due to methanogenesis1 and hydrogen sulphide

4) Lack of skilled operating personnel

5) Equipment replacement issues.

Examples of such systemic failures has been documented by numerous agencies such asSankat Mochan Foundation at the Ganges basin after a massive cleanup effort by theIndian government in 1986 by setting up sewage treatment plants under the Ganga ActionPlan failed to improve river water quality.

1 Formation of methane by microbes known as methanogens.

Page 37: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Project and Process Management for Sustainable Urban Development 37

Case Study

NEWater is the brand name given to reclaimed water produced by Singapore�sPublic Utilities Board. More specifically, it is treated wastewater (sewage) thathas been purified using dual-membrane (via microfiltration and reverse osmosis)and ultraviolet technologies, in addition to conventional water treatmentprocesses. The water is potable and is consumed by humans, but is mostly usedfor industry requiring high purity water.

Water recycling in Singapore began in 1974 but the experimental treatmentplant was closed a year later due to cost and reliability issues.The SingaporeWater Reclamation Study (NEWater Study) was initiated in 1998 by the PublicUtilities Board (PUB) and the Ministry of the Environment and Water Resources(MEWR). The aim of this study was to determine if NEWater was a viable sourceof raw water for Singapore�s needs. NEWater and desalination were explored asmeans to reduce reliance on water imported from Malaysia, which has been asource of friction over the years. Also, while the Malaysian government is boundby two treaties to sell Singapore water until 2011 and 2061, it is under noobligation to do so after these dates.

In 2001, PUB began an effort to increase water supplies for non-potable use.Using NEWater for these applications would reduce the demand on the reservoirsfor potable water.

At present, the total capacity of the three factories is about 20 million USgallons per day (75,700 m³/day). About 6% of this is used for indirect potableuse, which contributes 1% of Singapore�s potable water requirements of 300million US gallons per day (13 m³/s). The rest of the water is used at waferfabrication plants and other non-potable applications in industries in Woodlands,Tampines, PasirRis, and Ang Mo Kio.

The quality of NEWater consistently exceeds the requirements set by USEPA andWHO guidelines and is, in fact, cleaner than the other sources of Singapore�swater. Plans are under way to increase the amount of NEWater in indirectpotable use up to 3.5% by 2011.

2.6 Slum Development

A slum, as defined by the United Nations agency UN-HABITAT, is a run-down area of a citycharacterised by substandard housing and squalor and lacking in tenure security.

The number of people living in slums in India has more than doubled in the past twodecades and now exceeds the entire population of Britain, the Indian Government hasannounced. The number of people living in slums is projected to rise to 93 million in 2011or 7.75 per cent of the total population almost double the population of Britain.

Many governments around the world have attempted to solve the problems of slums byclearing away old decrepit housing and replacing it with modern housing with much bettersanitation. The displacement of slums is aided by the fact that many are squatter settlementswhose property rights are not recognised by the state. Moreover new projects are often

Page 38: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Trends in Urbanisation38

on the semi-rural peripheries of cities far from opportunities for generating livelihoods aswell as schools, clinics etc. At times this has resulted in large movements of inner cityslum dwellers militantly opposing relocation to formal housing on the outskirts of cities.

Critics argue that slum clearances tend to ignore the social problems that cause slums andsimply redistribute poverty to less valuable real estate. Where communities have beenmoved out of slum areas to newer housing, social cohesion may be lost. If the originalcommunity is moved back into newer housing after it has been built in the same location,residents of the new housing face the same problems of poverty and powerlessness.

Case Study

To improve urban infrastructure and basic services for the poor in Indian cities,the Government of India launched the �Jawaharlal Nehru National UrbanRenewal Mission (JNNURM)� in December 2005. Interventions are proposed in65 Indian cities including seven mega cities, all the state capitals and othercities of outstanding religious and touristic importance.

The mission is guided by the Ministry of Urban Development (MoUD) and theMinistry of Housing and Urban Poverty Alleviation (MoH&UPA). The primaryobjective of the JNNURM is to create economically productive, efficient, equitableand responsive cities.

The reform programme has two major components. The first component issubstantial investment in urban infrastructure wherein 50% of the investment iscontributed by the central government and the remaining 50% is jointlycontributed by the respective State and the urban local body depending on thepopulation of the respective city. The second component are mandatory reformsto be undertaken at the state and urban local body level to ensure goodgovernance and financial sustainability leading to creation of sustainable cities.

3. Project Management: Building a Sustainable UrbanHabitat

Building a sustainable urban habitat should start with proper planning. It is necessary tomake an assessment of cities� infrastructure needs and prioritise them. A proper citydevelopment plan which would incorporate a city development strategy should be put inplace. This will enable the city to prepare sector-specific projects (Housing, solid-wastemanagement, slum development, etc.) basing on the identified priorities.

Having prepared the detailed project reports, it needs to be ensured that there is in-housecapacity to manage these projects. It would be ideal to have a project management cellwhich can oversee implementation of the projects and can ensure that these projectsachieve desired outcomes. Here are the steps to ensure effective project management:

3.1 Planning

As stated earlier, planning is a prerequisite to project formulation. A well thought out citydevelopment plan will capture the needs and aspirations of all sections of the population,

Page 39: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Project and Process Management for Sustainable Urban Development 39

areas of strengths and weaknesses, priority areas and effective strategies and where thecity wants to go from here.

This will enable the city to take up only those sectors which require immediate attentionand thereby ensure utilisation of scarce resources in a well-focused manner withoutspreading it too thinly.

A good city development plan should take into account concerns of various sections of city-dwellers and should be drawn up only after a broad-based stakeholders� consultation. Citydevelopment plan can only be prepared with proper data and detailed survey.

3.2 Project Formulation

Project formulation is an important step for successful implementation of projects. Everycity should have a project cell which can conceptualise and formulate projects in accordancewith the city development plan. There should be adequate technical capacity for preparationof detailed project reports. A detailed project report should delineate every aspect of theproject in minute details. Projects so formulated can get implemented without any hiccupsand will achieve intended goals.

Wherever there is absence of in-house capacity it would be a good idea to engagetechnical experts as consultants after proper appraisal through a transparent process. Thedetailed project report (DPR) should be implementable, technically sound, financiallyfeasible and should aim to achieve the overall objective for which the project is beingformulated.

3.3 Implementation

Executing consists of the processes used to complete the work defined in the projectmanagement plan to accomplish the project�s requirements. Execution process involvescoordinating people and resources, as well as integrating and performing the activities ofthe project in accordance with the project management plan. The deliverables are producedas outputs from the processes performed as defined in the project management plan.

Implementation of projects has been a major handicap in our country. This is mainly dueto the fact that there is no effective supervision of work that is being executed and anindifferent approach towards quality and timeliness of implementation. Cities can employeffective tools to implement projects.

In this era of information technology, use of IT enabled services can be very useful forclosely observing timelines, physical and financial progress, time and cost overruns. Anylapse in the implementation of the project will reflect on the quality of outputs to beachieved besides increasing the cost of the project.

3.4 Monitoring and Evaluation

It may not be an exaggeration to say that monitoring and evaluation is often a casualtyin our country. As a result of poor monitoring, projects get invariably delayed resulting inunnecessary cost and time overruns. Moreover, lack of close monitoring affects the qualityof the work executed inviting criticism from various quarters.

Page 40: COURSE 1: INTRODUCTION TO URBAN GOVERNANCE Š …€¦ · 1. Introduction 3 2. Understanding Sustainable Development 5 3. Practices of Sustainable Development 7 4. Adaptation of Sustainable

Trends in Urbanisation40

Though it is very important to monitor various stages of implementation of a projectclosely, it is even more necessary to monitor the outputs and outcomes achieved. Real testof any project implementation lies in producing desired outcomes for the stakeholders. Onthe lines of a project implementation cell, a monitoring mechanism should also be institutedand the same should be envisaged in the detailed project report (DPR).

Like monitoring, evaluation is also equally an important process. Evaluation of the qualityof work done and the outcomes achieved should invariably be done by a third party,appointed through a transparent process. This is done so that there is no bias. It is oftensaid that social audit of a project outcome by an outside agency is very much called foran objective assessment of the impact, both positive or negative, created by the project.

4. Process Management: Building a Sustainable UrbanHabitat

There are several processes involved in the implementation of each project. Careful andefficient management of processes involved will result in better outcomes. In order to dothat, it would be extremely important to clearly outline various steps involved in aprocess.

For example, procurement of materials involves several steps, namely, expression ofinterest, preparation of tender documents, inviting tenders, evaluation of tenders(bothtechnical and financial), finalisation of tenders and award of work. Any lapse in any ofthese steps will vitiate the tender process, resulting in delay and avoidable expenditure.

It is important to have experts on hand to clearly identify the various processes involvedin a project from preparation to monitoring and evaluation and various steps involved ineach process which will enable smooth implementation of projects.