Climate Resilient

and Sustainable
Urban Development
 Contents

Foreword................................................................................................................................ v

Acknowledgements..............................................................................................................vii

List of abbreviations.............................................................................................................. ix

Executive Summary.............................................................................................................. xi

Introduction......................................................................................................................... 3

Integrated Urban Planning Processes for Resilience and Low Carbon

Development.................................................................................................................... 11

Disaster Risk Reduction and Adaptation...................................................................... 23

Urban services and resilience.......................................................................................... 31

Green buildings: a policy perspective............................................................................ 39

Mitigating the emissions from the urban transport sector ........................................ 55

References.......................................................................................................................... 67

Glossary.............................................................................................................................. 73
 Foreword

The Government of India, State governments and urban local bodies are working hard to
transform India’s cities for the better. India’s cities continue to grow. Unless this massive
growth is planned and made sustainable, the costs will be enormous, particularly for the
urban poor. Urban poverty, as a proportion of total poverty in India, has doubled from 15%
in the early 1960s to nearly 30% in 2004/05. The urban poor are the most vulnerable to current
climate variability, such as regular floods and water shortages. Investments in new city
infrastructure offer a tremendous opportunity to build sustainable and resilient cities using
less energy and water. India, unlike other emerging economies, still has tremendous choices
about how it can grow along a sustainable development path. Choices in housing, energy and
public transport could reap massive local and global benefits over decades: the right choices
will save water, energy and carbon, and improve health and quality of life.

DFID has been supporting partnerships in urban development in India for twenty years,
including in Andhra Pradesh and West Bengal. Our more recent partnerships in Madhya
Pradesh and Bihar will help partners accelerate delivery of the Jawarhalal Nehru National
Urban Renewal Mission (JNNURM) and the Rajiv Awas Yojana (RAY) improving the living
conditions of at least three million citizens. As the JNNURM and RAY move forward, it
will be vital to strengthen approaches to environmental sustainability so that poor people
share the social and economic gains of urban development. We hope this report offers useful
information on global and national experiences and contributes to the debate on environmental
sustainability and urban development in India.

Emma Spicer
Acting Head
DFID India
 Acknowledgements

We are grateful to DFID for commissioning this assignment to TERI. The authors wish to
record special thanks to Ms. Ashufta Alam, Senior Infrastructure Advisor, DFID-India and
Mr. Abhijit Sankar Ray, Infrastructure and Urban Adviser, DFID-India for their valuable
support and critical comments on the document, and to Ms. Anjali Sablok, Programme
Officer, DFID-India for coordinating all logistics for the publication.

The authors would also like to offer sincere thanks to internal reviewers from TERI
especially Ms. Mili Majumdar, Director, Sustainable Habitats Division, TERI and Ms. Suruchi
Bhadwal, Associate Director, Earth Science and Climate Change Division for their time and
constructive comments on the publication. We would also like to thank TERI Press staff for
editing and printing the publication, especially Ms. Roshni Sengupta, Mr Rajiv Sharma and
Mr. T Radhakrishnan. The authors acknowledge that this document is not a policy statement
by either the Indian or UK governments.

Sincerely
TERI team
Sreeja Nair (Principal Investigator), Sectoral authors (in alphabetical order): Akshima Tejas
Ghate, Divya Sharma, G J Lingaraj, Hina Zia, Malancha Chakraborty, Priyanka Kochhar,
Shriya Malhotra, Sneha Balakrishnan, Vidyunmala Veldore
 List of abbreviations

AIIMS All India Institute of Medical Sciences GRIHA Green Rating for International Habitat
BEE Bureau of Energy Efficiency Assessment
BREEAM Building Research Establishment HFA Hyogo Framework for Action
Environmental Assessment Method HIP Home Improvement Packet
BRTS Bus Rapid Transit System HK-BEAM Hong Kong Building Environmental
CAPA City Adaptation Plan of Action Assessment Method
CASBEE Comprehensive Assessment System for HVAC Heating, Ventilation and Air
Building Environmental Efficiency Conditioning
CDM Clean Development Mechanism IDS Institute for Development Studies
CERs Certified Emission Reductions IMEP Integrated Metropolitan Environmental
CFA Central Financial Assistance Policy
CNG Compressed Natural Gas IPCC Intergovernmental Panel on Climate
CoEs Centers of Excellence Change
CPWD Central Public Works Department IRFC Indian Federation of Red Cross
CRED Centre for Research on the ISDR International Strategy for Disaster
Epidemiology of Disasters Reduction
CRM Climate Risk Management IT Information Technology
CRS Climate Risk Screening JNNURM Jawaharlal Nehru National Urban
CRZ Coastal Regulation Zone Renewal Mission
CTTPI Comprehensive Traffic and KUSP Kolkata Urban Services for the Poor
Transportation Plan for Indore LEED Leadership in Energy and
DFID The UK Department for International Environmental Design
Department LIDAR Light Detection and Ranging
DRR Disaster Risk Reduction MNRE Ministry of New and Renewable Energy
ECBC Energy Conservation Building Code MoEF Ministry of Environment and Forests
EPC Environment Performance Certificate MoUD Ministry of Urban Development
ESCO Energy Service Company MPUSP Madhya Pradesh Urban Services for the
ESIS Employee’s State Insurance Schemes Poor
EU European Union MW Mega-Watt
FEMP Federal Energy Management Program NAPCC National Action Plan on Climate
FYP Five Year Plan Change
GHG Greenhouse Gas NDMA National Disaster Management
GIS Geographic Information System Authority
GoI Government of India NDMF National Disaster Mitigation Fund
List of abbreviation

NDRF National Disaster Response Force TERI The Energy and Resources Institute
NMSH National Mission on Sustainable TRP Top Runner Program
Habitats ULBs Urban Local Bodies
NMT Non-motorized transport UHFWC Urban Health and Family Welfare
NSSO National Sample Survey Organization Centre
NTPC National Thermal Power Corporation UIDSSMT Urban Infrastructure Development
NUSP National Urban Sanitation Policy Scheme for Small and Medium Towns
NUTP National Urban Transport Policy UN United Nations
OECD Organization for Economic Co- UNECE United Nations Economic Commission
operation and Development for Europe
ORCHID Opportunities and Risks from Climate UNEP United Nations Environment
Change and Disasters Programme
PEPS Promoting an Energy-efficient Public UNFCCC United Nations Framework Convention
Sector on Climate Change
PHC Primary Health Centre UNISDR United Nations International Strategy
PMSY Pradhan Mantri Swasthya Yojna for Disaster Reduction
PPP Public Private Partnership USAID United States Agency for International
RAY Rajiv Awas Yojna Development
SIDA Swedish International Development UTMA Unified Metropolitan Transport
Cooperation Agency Authority
SSLB Standardized Service Level Benchmark WELS Water Efficient Labeling and Standards
SWM Solid Waste Management

x Prepared by TERI for the UK Department for International Developmen t-India

 Executive Summary

Cities can be viewed as hubs of intensive resource over 700 million by 2050. By 2025, an estimated
demand, environmental degradation and greenhouse 70 Indian cities are expected to have a population
gas emissions. Cities form a major part of the solution size of over one million.
in promoting low carbon development, through use of P Mainstreaming climate resilience into urban
renewable energy, energy efficiency, green buildings development is essential because climate risks
and mitigating emissions from urban transport. Cities may only be one of the several factors defining
are also going to be the loci of increasing losses due to poverty levels, well-being, economic growth and
the impacts of climate change because of concentrated development in an urban environment.
populations and large-scale economic investments. P In an urban environment, there may be very few
The objective of this publication is to highlight the strategies that exclusively address adaptation
global and regional trends in urban development, and/ or mitigation. Hence entry points within
identify key issues, projected risks, impacts and existing development programmes need to be
opportunities in the light of climate change through tapped.
case study examples from cities in India and the P Climate resilient urban planning needs to consider
world. Key messages emanating from the six chapters both current and future climate risks as well as
have been summarized below: other likely changes in the urban environment.
Climate risk-screening is one of the methodologies
Chapter 1: Introduction used by developmental organizations to screen
P By 2030 nearly 60 percent of the global population their developmental portfolio in climate-sensitive
is projected to be urban with the developing world sectors.
housing nearly 80% of this population.
P Not only do risks and vulnerabilities need to be Chapter 2: Integrated Urban Planning Proc-
identified and reduced, but potential opportunities esses for Resilience and Low Carbon Develop-
also need to be tapped for low-carbon urban ment
development under a changing climate P Urban planning decisions taken now can shape
P Sustainability and resilience can be promoted the well-being of city inhabitants and direct
through a combination of strategies such as urban growth. Strategic urban planning directly
integrated urban planning, identifying synergies supports urban resilience as a tool for sustainable
between disaster risk reduction and adaptation, development that: 1) directs land use and
building efficiency of urban service quality and transportation systems; 2) reduces population
delivery and promoting green buildings and vulnerability to climate change by facilitating
sustainable transport. improved access to resources, services and
P India is projected to witness a ‘RUrban’ amenities; and 3) generates sensitivity towards
transformation, or a rapid demographic transition, the environment whilst incorporating social and
as its urban population rises from 300 million to economic goals.
Executive Summary

P City governments and urban local bodies (ULBs) P Convergence of DRR and adaptation in cities is
must actively coordinate and mainstream essential not only for managing current risks but
mitigation, adaptation and resilience into urban also potentially higher risks in the future.
planning processes to prepare their cities to deal P India’s XI Five Year Plan’s (FYP) focus on disaster
with climate risks and impacts. mitigation, rather than simply disaster response,
P Low-carbon development strategies can provides an opportunity to integrate disaster
simultaneously promote mitigation, adaptation mitigation into the development process. Win-
and resilience and are best implemented through win strategies need to be promoted for planned
an environmentally oriented and integrated city disaster risk reduction.
planning process.
P Low- carbon development as an urban planning Chapter 4: Urban services and resilience
intervention has the potential to reduce energy P The impacts of climate change on urban
utilization by enabling physical proximities services are expected to vary depending on the
between buildings as well as land-uses. geographical setting and associated climate of the
P For Indian cities, it is crucial to bridge the efforts urban agglomeration; the nature, size and density
by the National Sustainable Habitat Mission of settlement; and the existing coping capacity of
(NSHM) and Jawaharlal Nehru National Urban the society and its economy.
Renewal Mission (JNNURM), as well as to involve P Unabated growth of urban population and high
multiple stakeholders to facilitate integrated, city- incidence of marginal employment and urban
level planning. poverty have aggravated the accumulated backlog
P Technology should be leveraged to support of shortages of basic urban services such as water,
of municipal data gathering and management power and sanitation and has also resulted in the
systems; spatial mapping software and remote proliferation of slums and squatter settlements.
sensing offers a means to explore and understand P Informal settlements are usually inadequately
the environmental risks associated with cities. connected to basic urban services, and often located
in low-lying areas. This makes them particularly
Chapter 3: Disaster Risk Reduction (DRR) vulnerable to direct and indirect environmental
and Adaptation risks.
P Many definitions, interpretations and approaches P Government investments for the development of
exist for quantification of disaster risk and infrastructure and provision of basic services have
assigning critical thresholds beyond which an not been spatially balanced during the past few
event/ hazard can be termed a disaster.. decades leading to high levels of inequity across
P Assessment of changing profile of hazards due States and cities in India.
to climate change can provide key inputs for the P Unplanned development in most of the fast
disaster risk reduction and risk management growing urban centres of India has contributed
efforts in cities. to a widening gap between demand and supply
P While DRR and adaptation efforts aim towards of infrastructure services, especially for the urban
safeguarding development and poverty reduction poor, whose access to drinking water, sanitation,
in many direct and indirect ways, there are many education, and basic health services is shrinking.
differences in the basic nature of the issues they P There are potential entry points for enhancing
address. Owing to differences in the concept of service delivery in urban centres through
DRR and adaptation, their convergence largely programmes such as JNNURM, Rajiv Awas
remains in a conceptual form. Yojana, NMSH and India’s XI Five Year Plan.
P Financial resources are often concentrated in
current risks, developmental priorities and relief Chapter 5: Green buildings: the policy per-
and rehabilitation efforts after a disaster occurs spective
rather than planning for future risks. P The construction sector is resource consuming in its
entire life cycle-right from extraction of materials

xii Prepared by TERI for the UK Department for International Developmen t-India
 Executive Summary

to manufacturing, transportation, construction capita incomes have had direct impact in terms
and operation of the infrastructure/building. of growing motorization rates in these cities,
P Climate change will further increase site energy which has been the precursor to most of the urban
demand as people shall seek to maintain comfort transport related challenges that these cities face.
levels in more extreme conditions. P It is expected that by 2020, the number of motor
P The IPCC Fourth Assessment Report highlighted vehicles in the world will double from the present
relatively simple options to reduce energy level and will increase to about 1.3 billion, the
consumption in buildings. fastest growth being in the growing cities of Latin
P Green buildings entail promotion of energy America and Asia.
efficiency, land sustainability, water efficiency, P Developing countries’ cities are experiencing
resources efficiency and better building an undesired trend of declining share of public
environment. transport and non motorized transport.
P Green buildings have minimal adverse impacts P The current urban transportation situation in
on the built and natural environment and are Indian cities is adopting a high energy and carbon
designed to minimize the total environmental intensive pathway as the share of personal modes
impact of the materials, construction, operation is increasing rapidly and public transport and
and deconstruction. They also seek to maximize non-motorized transport shares are declining.
opportunities for indoor environmental quality P Cities need to arrest their current pattern of
and performance; saving money, reducing waste, transportation growth in order to bring down their
increasing worker productivity and creating CO2 emissions, which calls for a shift of urban
healthier environment for people to live and work. traffic movements to mass transport having least
P An integrated approach to promoting green tail-pipe emissions and to non motorized systems.
buildings policies to create both supply push and Cities should adopt an ‘Avoid, Shift and Improve’
demand pull will be central in getting accelerated approach in their transportation planning. The
action. main goals should be to:
• Reduce utilization of personal modes of
Chapter 6: Mitigating the emissions from the transport,
urban transport sector • Increase usage of public transport and non
P Metropolitan cities in developing countries are motorized transport, and
fast becoming one of the key drivers of economic • Promote use of clean fuels and technologies
growth, which has resulted in increasing per in addition to properly maintaining the in-use
capita income in these cities. Increasing per vehicular fleet.

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Prepared by TERI for the UK Department for International Development-India
 CHAPTER 1
Introduction
Sreeja Nair

1.1 Cities and sustainability

Key messages
The last five decades have not only witnessed a
rapid increase in the world’s urban population but
P By 2030 nearly 60 percent of the global popula- has also brought a large share of urban dwellers to
tion is projected to be urban with the developing reside in slums, squatters and informal settlements.
world housing nearly 80% of this population. These settlements are often located in low-lying
P India is projected to witness a rapid demographic areas prone to direct and indirect risks due to
transition, as its urban population rises from 300 environmental degradation including changes in
million to over 700 million by 2050. the climate and lack access to basic urban services
P Not only do risks and vulnerabilities need to be (Satterthwaite et al, 2007). By 2030 nearly 60 percent
identified and reduced, but potential opportuni- of the global population is projected to be urban with
ties also need to be tapped for low-carbon urban the developing world containing nearly 80% of this
development in cities under a changing climate population. By 2015, 12 out of the largest 15 cities in
P Sustainability and low-carbon resilience in cities the world will be in developing countries and 4 of
can be promoted through a combination of strate- those will be in Asia (Prasad et al, 2009).
gies such as integrated urban planning, identifying The number of cities and towns in India increased
synergies between disaster risk reduction and from 4,651 in 1991 to 5,161 in 2001, with a significant
adaptation, building efficiency of urban service increase in the number of cities with population above
quality and delivery and promoting green buildings 1 million (12 in 1981 to 35 in 2001) (NIPFP, 2007). In
and sustainable transport.
What is a sustainable city?
P In an urban environment, there may be very few
strategies that exclusively address adaptation The United Nations (UN) Habitat and the UN Human Set-
and/ or mitigation. Hence entry points within tlements Programme defines a sustainable city as “a city
existing development programmes need to be where achievements in social, economic, and physical
tapped to mainstream climate resilience into development are made to last. It has a lasting supply of
urban development. the natural resources on which its development depends
P Climate resilient urban planning needs to consider (using them only at a level of sustainable yield)”.
both current and future climate risks as well as
The Charter of European Cities and Towns Towards
other likely changes in the urban environment.
Sustainability states: “sustainable development helps
Climate risk-screening is one of the methodologies
cities and towns to base living patterns on the carrying
used by developmental organizations to screen capacity of nature, while seeking to achieve social justice,
their developmental portfolio in climate-sensitive sustainable economies and environmental sustainability”
sectors. (Nijkamp and Finco, 2000).

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Climate Resilient and Sustainable Urban Development

what is referred to as India’s ‘RUrban transformation,

the country is projected to witness a rapid demographic
transition as its urban population rises from 300 million
to over 700 million by 2050. By 2025, an estimated 70
Indian cities are expected to have a population size
of over one million. In addition, three mega urban
regions: Mumbai-Pune, the National Capital Region
of Delhi and Kolkata will be among the largest urban
concentrations in the world (Revi, 2008). India is also
one of the most multi-hazard risk prone countries in
the world (IFRC 2005). India’s 7500 km long coastline
accommodates more than a 100 million people. The
2001 Census of India lists 65 coastal districts within nine
coastal states (West Bengal, Orissa, Andhra Pradesh,
Tamil Nadu, Kerala, Karnataka, Goa, Maharashtra and
Gujarat and Union Territories; Puducherry, Daman
and Diu, Andaman and Nicobar and Lakshadweep) Figure 1.1 Factors that influence sustainability in a city (SIDA,
with an average population density of 455 persons 2007)
per sq. km- almost 1.5 times the average population
density of the country. Of the 35 cities in India having
population over a million- 18 are in the coastal states.
A hazard is defined as a “potentially damaging physical
These include Rajkot, Ahmedabad, Vadodara, Surat, event, phenomenon or human activity that may cause the
Greater Mumbai, Pune, Nagpur, Nashik, Bangalore, loss of life or injury, property damage, social and economic
Kochi, Hyderabad, Vishakhapatnam, Vijayawada, disruption or environmental degradation”
Chennai, Coimbatore, Madurai, Asansol, and Kolkata
Risk to a hazard is defined as the “probability of harmful
(GoI, 2004). consequences, or expected losses resulting from
A major challenge for cities in the face of rapid interactions between natural or human-induced hazards”.
population growth is to maintain sustainability within
the social, economic and environmental dimensions. P The spatial arrangement of population and assets
Figure 1.1 illustrates various components that in an urban environment creates a different hazard
influence sustainability in a city. profile for urban areas as compared to rural, in
P At the core of a sustainable city framework lies terms of the population at risk, the nature of hazards
the health, comfort, safety and quality of life of its and the chances for interaction between different
residents; hazards (example floods and epidemic outbreaks).
P environmental factors and phenomenon such as P Cities also often expand in ways that may degrade
climate change, risks and hazards, quality of air, natural buffer systems, for example mangroves
land and water etc. that affect and are affected by (provide protection from the sea) and creeks
the social systems; (for drainage) and construct impermeable land
P subsystems such as urban functions, transport, surfaces that prevents percolation of water into
building, energy etc. that provide opportunities for the soil (Satterthwaite et al, 2007).
improvements in the urban environment through P Constraints on the availability of land as a resource
institutional factors that include urban planning, in urban areas often results in proliferation of
governance, land management, legislation and slums and informal settlements on public and
financing. private land (Shaw, 2009).

1.2 Urban systems as risk hotspots It is projected that Asia is likely to witness maximal
Urban systems are at risk to different kinds of hazards. increase in built-up areas by 2030. These increases
Several factors contribute to the urban risk profile. For might result due to a combination of factors- such as
example: faulty land use and planning, rapid urban population

4 Prepared by TERI for the UK Department for International Development-India

 Introduction

growth, migration from rural areas, lack of integrated variables are likely to impact future patterns of spatial
land use and transport planning that enables mass growth and development in cities and act as a stressor
transit and efficient clustering of settlements and in addition to existing pressures. The populations
industries (Figure 1.2). A study by McGrahanan et most vulnerable to climate change are those living in
al (2007) conducted a detailed analysis of the urban slums and informal settlements that often lack access
population residing along the low-elevation coastal to basic services and infrastructure (IDS, 2007). Apart
zone (the continuous stretch of land along the coast from the risk to coastal populations from sea level rise,
that is <10 metres above sea level). Nearly 2 per cent cyclones, storm surges and other associated impacts,
of the world’s land area falls in this zone but it houses a high proportion of urban settlements in the low-
nearly 13 per cent of its urban population. and middle-income countries are on sites that are at
risk from flooding or landslides. The key primary and
1.3 Impacts of climate change on cities secondary order impacts on cities due to short-term
Short term and long-term changes in climatic variables and long-term changes in climatic variables have
such as temperature and precipitation may pose been summarized in Table 1.1.
hazards to urban systems. Changes in the climatic

Table 1.1 Impacts on urban systems due to changes in climatic variables (compiled from IPCC, 2007 and Prasad et al, 2009)
Changes in climatic variables Primary and secondary impacts
Temperature extremes • Heat-related mortality - at high risk being the aged, those with pre-existing ailments such as
Rise in average temperatures of a region cardiovascular and respiratory diseases and those with poor housing structures.
may lead to warm spells and heat waves • Increase in demand for water and impacts on air and water quality, and increased demand for cooling etc.
Heavy precipitation events (which may • Deterioration of the quality of surface and groundwater
or may not be associated with cyclones • Mortality, injury, water-borne and food-borne diseases
and storm surges) • Flooding and water-logging
• Disruption of mobility
• Displacement of settlements
• Damages to industry and infrastructure (including drainage, sewerage etc.)
Sea Level Rise1 • Land inundation
• Salt-water intrusion into groundwater aquifers
• Impacts on coastal agriculture and livelihoods etc.
• Displacement of coastal settlements
• Damage to industry and infrastructure
Climate change may increase the • Mortality and morbidity
frequency and intensity of extreme • Damage to infrastructure, including communication channels, power supply etc.
events such as floods and cyclones • Spread of water- and food borne diseases etc.

Figure 1.2 Region-wise projections for built-up area by 2030 (Prasad et al, 2009)

1
A rise in global mean sea level between 0.18- 0.59 meters by 2100 has been projected by various IPCC models (there will be regional
variations in the level of rise)

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Climate Resilient and Sustainable Urban Development

There is a two-pronged approach to respond to

man-made climate change:
P Adaptation that refers to adjustments in ecological,
Climate is described in terms of the mean and variability of
social, or economic systems in response to actual
temperature, precipitation and wind over a period of time,
ranging from months to millions of years or expected climatic stimuli and their effects or
impacts. It refers to changes in processes, practices,
Climate variability refers to variations in the mean state and and structures to moderate potential damages
other statistics (standard deviations, occurrence of extremes, or to benefit from opportunities associated with
etc.) of climate on all spatial and temporal scales beyond that of
individual weather events. climate change.
P Mitigation that refers to human interventions
Climate change refers to a “change in the state of the climate to reduce the sources or enhance the sinks of
that can be identified (e.g., by using statistical tests) by changes greenhouse gases (IPCC, 2007).
in the mean and/or the variability of its properties, and that
persists for an extended period, typically decades or longer.
The Committee on Housing and Land Management
as part of the UNECE (United Nations Economic
1.4 Need for building resilient cities Commission for Europe) focuses on developing
‘carbon neutral cities’, in cognizance of the fact that to
An urban environment is complex primarily because
address climate concerns in urban areas, an integrated
of rapidly changing variables such as socio- economic
approach needs to be taken. Through targeted low-
and demographic indicators, land-use patterns,
carbon strategies in key sectors such as buildings,
resource demand and utilization patterns, lifestyle
urban planning, sustainable urban transport and
changes etc. In the light of climate change, a new
infrastructure, there is a potential to decrease nearly
layer of uncertainty is added in terms of changes in
29% of the projected emissions by 2020 (UNECE, 2009).
precipitation, temperature and occurrence of extreme
events. Furthermore, there are scale mismatches; in
1.4.1. Integrating/ ‘mainstreaming’ low-carbon, cli-
terms of the timescales over which policymakers
and urban planners operate, and scales over which mate resilience thinking to urban development
projected impacts of environmental decisions, Mainstreaming can be defined as the “integration
degradation, climate variability and change will of climate change related policies and measures into
manifest (Figure 1.3). Also policies and developmental developmental planning process and decision-making”
initiatives in cities should enable urban systems
to adjust to changes as and when they happen
and accordingly respond in a way that maintains
their original structure and function. This leads the
discussion to the concept of resilience. Resilience can
be defined as the “ability of a system, community or
society exposed to hazards to resist, absorb, accommodate
to and recover from the effects of a hazard in a timely and
efficient manner, including through the preservation and
restoration of its essential basic structures and functions”2.
Urban resilience can be defined as “the ability of cities
to tolerate alteration before reorganising around a new set
of structures and processes” (Alberti et al 2003). Resilient
cities in the light of climate change should be able to
develop plans for future development and growth Figure 1.3 Temporal scale of urban decision making (a) temporal
scale of planning (b) temporal scale of potential environmental
bearing in mind the climate impacts that the urban
impacts of decision (Bai et al, 2009)
systems are likely to face (Prasad et al, 2009) (refer
Chapter 2).

2
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6 Prepared by TERI for the UK Department for International Development-India

 Introduction

(Eriksen et al, 2005). A key opportunity for basic premise for the discussions in this publication
mainstreaming resilience in India is by integrating is that:
Disaster Risk Reduction with developmental efforts P An urban system is dynamic, facing conditions
(Smith et al, 2003) (refer Chapter 3). Mainstreaming of balance or normalcy and conditions of stress
low- carbon, climate resilience into urban (owing to climatic, socio-economic, demographic
developmental agenda is essential because in an urban factors etc.).
environment, there may be very few strategies that P While sustainability is related to the “ability of a
exclusively address adaptation and/ or mitigation. system to maintain its optimum structure and
Hence entry points within existing programmes function over time”, Resilience is more than
that may not be directly aimed to reduce risks and maintaining the optimal conditions- it is also
vulnerability, however that may contribute towards the “ability to accommodate new changes and
poverty reduction and enhancing overall well-being, conditions of stress, and shifting to new states
need to be tapped. while maintaining the set of critical functions being
Key policies, programmes and initiatives of the provided earlier”. In these ways resilience overlaps
Government of India that offer several entry points for with sustainability (Milman and Short, 2008).
mainstreaming resilience, adaptation and mitigation
within the urban sustainable development agenda This publication highlights key strategies that can
have been discussed in this publication. In 2008, India enable cities to address the dual goal of sustainability
announced the National Action Plan on Climate Change and climate resilience. Specific chapters include:
(NAPCC) listing eight priority areas for adaptation and
mitigation action. Of these Missions, it is the National
Mission on Sustainable Habitats (NMSH) that directly
Box 1.1 National Mission on Sustainable Habitats
focuses on urban areas (Box 1.1).
Another important Mission by the Government of P NMSH targets promoting sustainability in urban habitats by
India is the Jawaharlal Nehru National Urban Renewal enhancing the energy efficiency of buildings, solid waste
Mission (JNNURM) that was launched in 2005 and is management and shift towards public transport through:
operational till 2012. JNNURM offers numerous entry • Extension of Energy Conservation Building Code
points for sustainability and climate resilience and its • Urban waste management and recycling, including
primary aim is to create economically productive, production of energy from waste
efficient, equitable and responsive cities. JNNURM • Regulatory and financial measures for enforcement of
focuses on 65 cities and has two components: automotive fuel standards and to encourage purchase
P ‘Urban Infrastructure and Governance’ aiming of efficient vehicles
at reforms and planned development of cities • Incentivising the use of public transportation.
through efficient urban infrastructure and service P The mission proposes that climate change objectives
delivery mechanisms, community participation, should be integrated in the planning process in a way that
optimizes developmental goals.
and accountability of ULBs/ Parastatal agencies,
P Emphasizes preparation of city Master Plans considering
preparation of City Development Plans, and
sustainable development norms, addressing environmen-
leveraging financial resources for specific
tal standards and GHG mitigation under building bye laws.
activities.
P Formulation of city development plans including prepara-
P ‘Basic services to Urban Poor’ aiming at integrated
tion of comprehensive mobility plans for long term energy
development of slums through initiatives for efficient and cost effective transport planning in cities.
providing shelter, basic services and other basic P In terms of institutional framework: NMSH proposes a Mis-
amenities forthe urban poor3. sion Implementation and Monitoring group and a Mission
Directorate at Central level, Apex coordination commit-
1.5 Conceptual framework for the publication tee at State level; and a district /city level committee on
Given this background, this publication builds on a climate change.
conceptual framework as illustrated in Figure 1.4. The

3
http://jnnurm.nic.in/, last accessed on 18 August 2010

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Climate Resilient and Sustainable Urban Development

Figure 1.4 Conceptual framework for the publication

P Integrated Urban Planning Processes for Resilience

and Low Carbon Development (Ch 2); Key questions addressed in the
P Understanding the linkages between DRR and publication
Adaptation (Ch 3);
P Strengthening urban services quality and delivery
P Apart from risks and impacts, what are the oppor-
for climate resilience (Ch 4);
tunities that cities can tap in the light of a changing
P Reduction in GHGs through promotion of the
climate?
Green buildings concept (Ch 5) and,
P What are the synergies between urban sustainability
P Mitigation efforts in the transport sector (Ch 6).
and resilience?
These chapters are supplemented with examples of P What are some best practices from cities across the
best practices from cities in India and across the world world and in India in terms of early steps towards
towards meeting the climate challenge by promoting sustainability and low-carbon resilience?
the dual path of sustainability and resilience and P What are the current efforts by governments to pro-
understanding the co-benefits. mote sustainability and build resilience?
P Given the financial, technical and institutional con-
straints under which city governments and municipali-
ties function, what are some additional policy entry
points that can be leveraged for sustainability and
low-carbon resilience?

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 Integrated Urban Planning
CHAPTER 2
Processes for Resilience and Low
Carbon Development
Shriya Malhotra and Divya Sharma

2.1 Introduction
Key messages Urban planning decisions taken now can shape the
well being of city inhabitants and direct urban growth.
P Urban planning decisions taken now can shape the Planning has a decisive role to play in climate change
well-being of city inhabitants and direct urban growth. resilience because it spatially influences activities
Strategic urban planning directly supports urban that lead to GHG emissions and guides patterns of
resilience as a tool for sustainable development that: 1) land-use as well as energy use. The built environment
directs land use and transportation systems; 2) reduces in cities also shapes and directs the location and
population vulnerability to climate change by facilitating concentration of socioeconomic activities (Jia, 2009).
improved access to resources, services and amenities; Strategic urban planning directly supports urban
and 3) generates sensitivity towards the environment resilience and encourages urban sustainability in
whilst incorporating social and economic goals. several ways. It can be used as a tool for sustainable
P City governments and urban local bodies (ULBs) development, because it specifically directs land use
must actively coordinate and mainstream mitigation, and transportation systems. Planning can reduce
population vulnerability to climate change by
adaptation and resilience into urban planning processes
facilitating improved access to resources, services
to prepare their cities to deal with climate risks and
and amenities. It also creates sensitivity towards
impacts.
the environment whilst incorporating social and
P Low-carbon development strategies can simultaneously
economic goals.
promote mitigation, adaptation and resilience and are
Many environmental problems in cities can be
best implemented through an environmentally oriented
attributed to lax land-use policies that encourage
and integrated city planning process.
sprawl and hence more dependence on mechanical
P Low- carbon development as an urban planning means of heating and cooling, increased use of private
intervention has the potential to reduce energy vehicles for commuting, and concentrations of single
utilization by enabling physical proximities between land–use at specific sites in the cities. Consequently,
buildings as well as land-uses. urban sprawl tends to agglomerate several small
P For Indian cities, it is crucial to bridge the efforts by the cities around a parent city. These smaller cities in turn
National Sustainable Habitat Mission and Jawaharlal engulf agricultural land, forest area and wetlands as
Nehru National Urban Renewal Mission as well as to they expand. Over the course of time, they require
involve multiple stakeholders to facilitate integrated, supporting infrastructure as they become more
city-level planning. energy intensive. This is becoming increasingly
P Technology should be leveraged to support of municipal visible in developing world cities, which seem to
data gathering and management systems; spatial be repeating past mistakes made by the developed
mapping software and remote sensing offers a means world. Meanwhile, developed world cities are
to explore and understand the environmental risks reorienting themselves to anticipate climate change
associated with cities. and promote resilience as well as ‘smart growth.’ It is
crucial for the developing world to catch up, learn and

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Climate Resilient and Sustainable Urban Development

share strategies in sustainability that simultaneously

2.2 Global experiences in City- level
promote resilience and low carbon development.
Municipal bodies in developing cities are struggling
integrated planning1
to provide transport, water and sanitation services to There are many examples from around the world of
the ever-increasing urban population. Meanwhile, the how integrated city planning is being used as a tool
peri-urban areas are mainly dominated by real estate to build resilience and to promote transition towards
developers, offer residential areas, often altering the a low- carbon future. This section is comprised of
travel distances and patterns of urban migrants/ diverse strategies, which demonstrate good practices
residents. Low-carbon development as an urban in integrated or city level planning. The cases were
planning intervention has the potential to reduce chosen for their unique approaches to site specific
energy utilization by enabling physical proximities contexts in regions across the developed and
between buildings as well as land-uses. Despite the developing world. They were analysed in terms of
importance placed by international organizations and their comprehensiveness towards the city planning
national governments on the value of urban planning process and whether their adaptation plans proceeded
for climate resilience, urban preparedness in the face in an integrated manner or sector specific approach.
of climate change relies on the timely policy and Each case highlights the city-level strategies used in
planning strategies that are implemented at the city these plans, the lessons that could be derived from
level. them for climate resistant city planning and the role
In spite of a realization that urban planning has of the government in taking these strategies forward.
direct as well as indirect benefits for sustainability
and resilience, the situation for India’s ever-growing Profile of the selected case studies
cities seems bleak and is aggravated by climate change
threats. It is therefore crucial to share lessons between Level of
Country City intervention Type of intervention
developed and developing world cities, particularly
because younger cities seem to be following and China Taiyuan City Level Emissions Trading
repeating past mistakes. The priority should be to use Thailand Bangkok City Level Integrated Planning
urban planning for mitigation, adaptation, resilience, Philippines Bohol City Level Approach that Primarily
and sustainability by directing strategies to climate Targets Poverty
proof cities. Reduction
City governments and urban local bodies Singapore Singapore National + Land-use + Transport
(ULBs) need to actively coordinate and mainstream City Level mitigation
mitigation, adaptation and resilience into urban Usa New York State + City Integrated Planning
planning processes to prepare their cities to deal with Level Approach
climate risks and impacts. Low-carbon development Canada Halifax National + Transport mitigation
strategies are one way of promoting mitigation, City Level
adaptation and resilience at the same time. They Australia Canberra National + Separate Climate
are best implemented through an environmentally City Level Change Stategy
oriented and integrated city planning process.
Communities in the developed world have already China: Low Carbon Development and ‘Eco-Cities’
started to think and act towards revamping the way In China, several cities have begun implementing
their cities function and develop through regional policies for Low Carbon Economies; there are efforts
plans and policies that drive urban planning towards to establish a Low Carbon City in Shenzhen and a zero
sustainability; but this is not the case in developing carbon eco-city in Dontang. In Taiyuan, the government
countries. This chapter discusses the role of city has implemented city-level emission trading, while in
planning as a tool to achieve urban resilience and low- Yangzhou has used an Eco City approach since 1999.
carbon development in an integrated manner. Eco City’s are comprised of “integrated strategies

1
This section discusses several case studies from Cities Alliance 2007. Livable cities.

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 Integrated Urban Planning Processes for Resilience and Low Carbon Development

for social progress, resource management, economic strengthen local bodies to deal with cross-cutting
development, transportation, land use and industrial issues like climate change.
management through education and cooperation.”
The environment guides urban planning and Singapore: Land Use and Transportation Policy
management strategies, influences processes, policies Timely city-level strategies are often pushed by state
and decisions for sustainable urban development. and national level commitments. Singapore’s national
These efforts exemplify good practices of sound government supported efforts to sustain energy
municipal level political commitment, foresight and efficiency, develop local knowledge and consolidate
timeliness of response. municipal-level expertise for energy management.
The high-level commitment through its National
Thailand: Comprehensive Urban Environmental Man- Climate Change Strategy to employ strict and strategic
agement urban planning guidelines has been a step towards
The city of Bangkok, Thailand has used a ‘Local making Singapore’s capital city climate resilient.
Agenda 21’ urban management approach since 1998. Strategic and integrated urban planning policies have
The Bangkok Agenda 21 prioritizes environmental enabled the “efficient use of space” and “clustering
considerations and outlines sustainable economic, people in smaller land areas, often through high-rise,
environmental and social development. It highlights high-density settlements” (Yuen and Kong, 2009). It
the role of political leadership, public participation, is an example of effective resilience and low carbon
priority setting and environmental cost benefit development pursued through urban planning,
analysis to enable integrated urban planning effective leadership and strengthened municipal
with the participation of local government and initiatives.
private sector representatives. It comprehensively
emphasizes good governance and ecotourism USA: Comprehensive Planning and Socio-Economic
through its different components. The Metropolitan Preparations
Master Catalogue serves as a planning tool to guide Moving to integrated planning and city level
“physical development” in the city; and The Bangkok initiative examples from the developed world; the
Municipal Administration (BMA) encourages public Keene Climate Resilient Action Plan2 for the US state
participation and has developed a Green Areas Master of New Hampshire examines the built, social and
Plan to increase public green spaces and encourage natural environment as distinct systems that will be
residents to plant trees. affected by climate change. It uses a holistic approach,
which addresses economic employment and seeks
Philippines: Integrated and Medium Term Development to create jobs for people who might lose sources of
Bohol in the Philippines has employed an Integrated their livelihood, mitigate public health concerns and
Development Plan, Medium Term Development encourage emergency preparedness. It emphasizes
Plan (MTDP) and a Program Framework on Poverty the role community, city and regional stakeholders
Reduction. It uses a sustainable environmental play in shaping the future of cities and highlights
management approach to simultaneously create how flexible land use can meet the changing needs
employment opportunities, address poverty and and desires of urban communities. Coastal cities
raising living standards of the poor. This is an like Miami are preparing themselves for changes in
inclusive approach that considers and anticipates climate and coastal vulnerability. In 2008, the Miami-
the impact of climate change on livelihoods and the Dade Climate Change Advisory Task Force approved
economy. It encompasses basic health and education recommendations to focus on mitigation activities and
services as well as initiatives to provide services to adaptation strategies. Mitigation efforts have included
underprivileged communities. City management is reducing fossil fuel consumption, while adaptation
supported by the MTDP, which has provisions to has entailed launching processes to make the city and

2
ICLEI. 2007. City of Keene, New Hampshire Climate Adaptation Action Plan Summary Report. Available at: cbtadaptation.
squarespace.com/storage/KeeneSummary_ICLEI_FINAL2.pdf

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Climate Resilient and Sustainable Urban Development

county resilient to extreme weather. Recommendations has one of the world’s largest district heating system,
have included commissioning detailed maps that use covering 97% of city households. The city uses an
calibrated Light Detection and Ranging (LIDAR) and innovative system to send surplus heat produced
geographic information systems (GIS) for visual and from generating electricity high into the air and has
spatial research (Miami- Dade, 2008). a waste management system that reuses 90% of all
building waste and incinerates 75% of all household
Canada: Economic and Infrastructure Resilience waste3. These examples of mitigation and urban heat
The Canadian coastal city of Halifax shows evidence waste management at the city level highlight the
of the importance placed on resilience towards importance of municipal-led intervention strategies.
economic and infrastructure losses posed by climate
change. A vulnerability assessment by Environment BEST PRACTICES – New York, London and Cape Town
Canada highlighted the severe implications for road The following cities were selected for their integrated,
maintenance, transportation and infrastructure, city level approaches as examples from the developed
water quality and livelihoods due to climate change. and developing world.
Environment Canada combined mitigation, technical The city of New York is recognized for its climate
developments for adaptation, research and education change adaptation and risk management responses
in an effort to address climate concerns. The Halifax to climate change. The municipal-level PLAN NYC
municipality seeks to partner with experts and conduct 2030 contains an initiative to address climate change
detailed research into the impacts of climate change impacts on the city and its constituents and aims
on the Halifax regional municipality and explore how to create an interagency task force to protect urban
climate-proofing can be conducted. infrastructure. It also includes provisions for a holistic
approach towards reduced GHG emissions and
Australia: Comprehensive Energy Efficiency and GHG seeks to expand NYC adaptation strategies beyond
mitigation protecting city infrastructure such as water supply,
sewer, and wastewater treatment systems. It has
As a developed country with significant natural
provisions to work with vulnerable neighbourhoods
resources and national coastline, Australia’s national
and develop specific protection strategies based
security relies on resilience to climate change.
on community needs. It also targets involvement
Australia is vulnerable to extreme weather events,
of urban communities to participate in overall city
declining water availability, fire hazards and storms.
planning. An education component aims to integrate
The Australian Capital Territory (ACT) has initiated
community planning using “toolkits” that engage
a city-wide strategy to address climate change in the
stakeholders to collaborate on community-specific
capital city of Canberra. Recognizing the economic,
climate adaptation strategies. The initiative will
environmental and social costs of climate change, it
launch a city wide strategic planning process for
aims to reduce its GHG emissions by 60% in 2050.
climate change adaptation, which is currently still at
Efforts include a GHG emissions abatement scheme,
a mitigation stage4. A separate but related climate
energy efficiency ratings and government renewable
change initiative has provisions for a strategic
energy purchase (ACT, 2007).
planning process to create a climate change resilient
city. The strategy entails updating New York’s Federal
Denmark: Energy Re-use
Emergency Management Administration (FEMA)
Cities across the EU are also instrumental in floodplain maps while documenting urban floodplain
promoting integrated urban planning to promote management strategies to ensure discounted flood
resilience. Since 1990, Copenhagen has reduced insurance for New Yorkers. It also entails updating
its CO2 emissions by 20%. It also uses a wind farm and revising building code regulations and standards
with wind turbines reaching high into the sky and to address the impacts of climate change.

3
Copenhagen. Climate Neutral Network. Online. URL <www.unep.org/ClimateNeutral/Default.aspx?tabid=567>
4
Plan NYC 2030. NYC Government. Online. URL <http://www.nyc.gov/html/planyc2030/html/plan/climate.shtml>
5
City of London Corporation. 2007. Rising to the Challenge: The City of London’s Corporation’s Climate Change Adaptation
Strategy.

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 Integrated Urban Planning Processes for Resilience and Low Carbon Development

The city of London5 has taken comprehensive steps efficient energy technologies. In 2008, the LEP led
to prepare for the potential economic, environmental an initiative to set up ten low carbon zones (LCZs),
and social impacts of climate change. It has undertaken examples of an integrated planning approach.
research to explore adaptation options and provide Cape Town, South Africa is one of the most
policy suggestions to address the future impact and environmentally rich cities in the world. However,
changes. It has engaged stakeholder’s engagement growing urban sprawl has increased demands for
and sought to raise awareness, consult with and natural resources and urban services6. The city’s
build consensus among key actors. For example, the climate change response emerged out of South
London Climate Change Partnership (LCCP) engages Africa’s Department of Environmental Affairs and
the government and several urban / national level Tourism, which targeted adaptation issues. The city
businesses and organization to guide the city-level uses an Integrated Development Plan with provisions
strategies that can address climate change. London for sustainability and improved human development
has several initiatives to curb carbon emissions indicators. Cape Town has taken a number of
and air pollution in the center of the city in order mitigation actions to reduce greenhouse gas and
to alleviate the urban heat island effect. In 2006, the prepare in advance to climate impact7. Most emissions
London congestion tax was reoriented into a CO2 tax in the city can be attributed to the coal-dominated
by Mayor Ken Livingstone, targeting heavy carbon power and transport sector (Cities Alliance, 2007).
emitting vehicles and incorporating allowances for The city-level aspect of the planning process is
hybrid cars. The city offers useful lessons in land use what has defined Cape Town’s efforts for resilience
and municipal strategies as well as for sustainable and low carbon development. Cape Town has also
behaviour change. The carbon tax in the center of employed an Integrated Metropolitan Environmental
the city limits vehicles and promotes use of public Policy (IMEP) guided by sustainable resource use and
transportation, which is well established in the city. environmental management principles, which outline
GHG offsetting at the municipal level is an effort that environmental commitments for 15 sectors. This
is now being replicated in other cities. It highlights the holistic approach to sustainable urban environmental
importance of spatially managing the city and its use. management seeks to benefit all communities. The
City of London Corporation and the private company IMEP has successfully coordinated the management
Acclimatise have outlined a detailed adaptation of environmental resources. It has also demonstrated
strategy, which builds on climate change scenarios. the importance of consulting different stakeholders
It is the first climate change adaptation report from across departments and sectors. The city government
the UK and focuses on managing flood risks, water has played an instrumental coordinating role in
resource management, heat risks and air pollution, leading the response to climate change and resilience
and managing ground conditions (City of London policies. However it would not have been able to do
Corporation, 2007). The London Development Agency so without engaging multiple sectors, departments
(LDA) has established several low carbon zones to and actors.
reduce local carbon emissions. It ultimately seeks to Urban sustainability and environmental issues
establish a low carbon economy through sustainable/ have been prioritized by Cape Town since 1990s. In
green markets, services and jobs. Initiatives like 1996, it adopted its first Environmental Policy and
planting trees to green the city and de-carbonize its established an urban framework. The first IMEP was
energy supply while capturing heat ‘waste.’ Another devised in October 2001 and included strategies for
initiative in the city- the London Energy Partnership coastal zone management, energy and climate change
(LEP) launched in 2004 works with partners across management strategies. Cape Town City was the first
the city to promote a sustainable energy future. Under urban local body and also the first entity in Africa to
the Mayor’s Energy Strategy, the LEP set up Energy adopt an Energy and Climate Change Strategy in 2007.
Action Areas to promote low carbon development in This serves as a useful developing city precedent as it
London, while incorporating renewable energy and sought to reduce GHG emissions, increase sustainable

6
Cities Alliance. 2007. Liveable Cities: The Benefits of Urban Environmental Planning, 87.
7
UNEP. Climate Neutral Network. Online. URL <www.unep.org/climateneutral/Default.aspx?tabid=869>

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Climate Resilient and Sustainable Urban Development

energy use and protect vulnerable communities change policies have generally emerged from one
from the impact of climate change (Cities Alliance, government department and after securing buy-in
2007). The municipal government has responded have been implemented in coordination with several
to potential of sea-level rise, flooding and increased partners, within and beyond government. Since
water stress through a series of integrated strategies. rapid and comprehensive implementation requires
Cape Town’s Environmental Planning Department local / urban governance, municipal involvement
has commissioned a framework in response to is crucial in order to engage and raise awareness
short and medium term impacts of climate change amongst urban populations. Cities like Almére in the
in the metropolitan area. They created a city wide Netherlands, Stockholm and Copenhagen have been
‘consolidated and coordinated’ approach to reducing recognized for their early actions towards addressing
vulnerability to climate change impact. Having climate concerns and municipal sustainability. Their
identified climate induced impacts and adaptations for mitigation, adaptation and resilience efforts are also
Cape Town, a City Adaptation Plan of Action (CAPA) a sign of accountability and responsiveness on behalf
for will be developed soon. It will integrate existing of these governments.
climate proof initiatives and adaptation across nearby
municipalities. Cape Town’s environmental wealth 2.3 The Indian context for City-level
is a tourist attraction and contributes significantly to integrated planning
the local urban economy. A Biodiversity Strategy and
an integrated citywide Coastal Zone Management India’s cities are increasingly feeling the impact
Strategy has been implemented in several areas in the of climate change and recognizing the need for
city (Cities Alliance, 2007). adaptation as well as resilience in these urban
The interventions and steps taken up by these spaces. Urban development had not been a priority
cities hold merit considering the urgency to adapt for India, a country that relied heavily on rural and
and mitigate climate impacts and the multilevel agricultural related economic activities. This changed
vulnerability that cities face. Yet there is still a in 2005, when finances were allocated to Indian
need to build climate resilience as a practical/ cities under the Jawaharlal Nehru National Urban
inherent part of the development planning process. Renewal Mission (JNNURM). After several separate
These interventions largely targeted R&D, shift in initiatives and schemes to address urban problems
mechanisms, structural adaptation and mitigation and several five year plans, JNNURM emerged as
interventions and capacity building. There is still a a flagship scheme, which adapted reform based
requirement to build climate resilience as a practical funding approach that could help ULBs receive funds
part of the development planning process. The aim for infrastructure development and basic services
should be toward sustainable and climate proof cities for urban poor whilst updating their own capacities
and integrating environmental and urban planning and systems by implementing mandatory reforms.
processes. Climate change responses and adaptation However, JNNURM did not look at climate change as
processes have by far been active at national one of the priority areas for the cities, which was quite
and international levels. Cities and capitals must understood considering contemporary challenges in
now implement these plans and begin to prepare Indian cities verses knowledge of climate change
themselves to effectively respond to climate change. impacts that was not clear, uncertain and looked
City level responses are becoming more apparent distant. It was only recently when the National
given that implementation is being led by municipal Action Plan for Climate Change was released that a
governments and local partners. This raises the separate mission on cities and climate change looked
issue of how to coordinate efforts from the national at the issue in an integrated manner.
or state levels down to the local, municipal level. The use of funds and pace of urban reforms via
Although urban planning features in the climate JNNURM has been inadequate. A study by Mehta
change responses, it is not just government agencies and Mehta (2010) argues that this has been due to
that are involved in climate change mitigation. a lack of infrastructure to implement changes or
Municipal level responses have generally involved because the reforms focused on infrastructure at
a series of collaborators and partnerships. Climate the expense of services delivery. JNNURM is also

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 Integrated Urban Planning Processes for Resilience and Low Carbon Development

inadequate because it looks only at 65 cities out of their expertise and engaged to guide the government’s
the total 43788 urban agglomerations and towns in urban sustainability initiatives. 4 centers will focus
India. Nonetheless, JNNURM has highlighted the on urban transportation issues, while 9 centers guide
role of municipal financing for cities to decentralize urban development projects. The good thing is that
resource allocation, and ultimately to support their NMSH is not limited to JNNURM cities, even if it
resilience and low carbon development. JNNURM views JNNURM as one of the potential carries for
also holds potential in its next phase to take up some NMSH’s agenda in cities.
of the activities proposed under the National Mission For cities in the Indian context it is important to
on Sustainable Habitat which is one of the Missions bridge the efforts by the NMSH and JNNURM and
under the National Action Plan for Climate Change involve multiple stakeholders to overcome the lapses.
(NAPCC). NAPCC missions aim to manage India’s For instance, neither of these missions explicitly
climate change agenda through multiple components mentions climate change resilience, although they
that seem to work without cohesion. It includes a emphasize adaptation and mitigation. Indian cities
National Solar Power Mission, Enhanced Energy in the past have not incorporated environmentally
Efficiency Mission, National Water Mission, National sustainable plans into their planning processes.
Mission on Sustainable Habitat (NMSH), National There has never been an overt environmental guiding
Mission for Sustaining the Himalayan Ecosystem, principle in the planning of urban spaces. Increasingly,
National Mission for A Green India, National Mission cities are recognizing the importance and need to
for Sustainable Agriculture, National Mission on green. Delhi for instance is often touted as one of the
Strategic Knowledge for Climate Change. Climate greenest cities in the world because of its efforts in
change features comprehensively and across recent years to plant trees. But, its rising air pollution
departments and sectors. Each mission encompasses rates are in part because of the construction of flyovers
several sectors that either contribute GHG or will leading to increased road space and personal vehicles
be impacted. The NMSH is the only one that deals in the heart of the city. There are several benefits that
specifically with urban areas and constituent needs could be derived from incorporating urban resilience
(Ahmad and Choi, 2010). and adaptation options into the city planning process
NMSH is one of eight missions under the NAPCC as well as master planning processes. As a developing
and aims to make cities sustainable by targeting energy country with the growing urban populations, India
efficiency in buildings, managing of solid waste and will among the most vulnerable countries affected
shifting to mass public transport. It targets cities by climate change (Revi, 2008). Their infrastructural
covered by the JNNURM and seeks to make them investments and plans adopted now will affect the
climate resilient by improving their green coverage. It future; therefore, infrastructure and service delivery
also aims to promote sustainable energy efficiency as investments made now that take into account climate
an essential component of urban planning (Das and change and its impact as well as strengthening urban
Dastane, 2010). For example, it includes provisions management to enable adaptability and the ability to
that would expand the energy conservation building address changing risk profiles.
code to optimize the energy demands in the design To date, there are very few examples of adaptation,
of new commercial buildings. It also has long-term resilience or sustainable environmental planning
transportation plans for small and medium cities to processes in Indian cities. In 2006 the Municipal
ensure efficient public transportation options. It targets Corporation of Guntur devised a Master Budget for
urban waste management and recycling provisions environmental expenditures, managing their natural
and supports the development of technologies that resources in the same way as their financial resources.
generate power from waste. Apart from JNNURM For example, ‘green surface areas’ were recognized
and NMSH, the Indian Government has identified as an environmental indicator and the municipality
13 Centers of Excellence (COE) to guide the NMSH. allocated a baseline value of inhabitants. Short term
These are partner research institutions identified for and long term targets were set as spending limits to

8
Government of India. 2010. Urban Morphology: Urban Agglomerations/Towns by Class/Category : Census of India 2001.
Ministry of Urban Development. Accessed on 29 August 2010. Online. URL: www.urbanindia.nic.in/urbanscene/urbanmorpho/
urbanmorph.htm

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Climate Resilient and Sustainable Urban Development

“internalize the true environmental costs of different resources. Some policy recommendations that can
city level decision making efforts” (Cities Alliance enable city-level integrated urban planning as a tool
2007). This requires the stakeholder involvement for building resilience and promoting low-carbon
while addressing physical, social and institutional development should address the following areas and
dimensions of resilience. The provision of basic actions:
services, for instance, forms an obstacle to physical
urban resilience. Urban planning is an effective and Planning
practical tool to promote resilience and low carbon P Comprehensive city planning and integrated
development in cities. The variety of experiences and approaches, which involve all departments
successes highlight the importance of sharing best and sectors as well as expertise from various
practices amongst developing and developed world stakeholders. Keene9 for instance recognizes three
cities. They demonstrate not only the importance of distinct systems that are affecting cities and will
city-level interventions, but also the diverse ways in be affected by climate change – natural, built and
which urban planning can address the issues facing social environments. This looks at the health of
cities. Successful approaches that are holistic and communities which is a very useful approach. Inter-
integrated in nature were highlighted in the city-level sector approaches are useful because individual
experiences from London, New York and Cape Town. sector work may end up overlapping. It would
be useful to integrate one common component /
2.4 Policy Recommendations aspect into all planning and processes at the urban
The UNHABITAT has identified four areas producing level.
GHG emissions and affecting climate change that P Flexible and adaptable climate change planning
urban planning can target to address sustainable urban processes are crucial because our knowledge is
development: transportation, buildings, production still limited and we don’t know exactly what might
and poverty reduction (Karl 2010). However, urban happen. The element of uncertainty associated
planning can enhance the ability of cities to meet with climate change impacts would require
climate change goals in mitigating, adaptation and flexibility and adaptability within the planning
resilience if they are strategically and systematically processes. Ensuring sustainability as one of the
planned (Karl 2010). Multiple stakeholders must be key outputs of urban planning mechanisms is also
engaged to play a role in encouraging activities within a key feature.
these entry points. This includes creating incentives to P Engagement, education and awareness raising
use sustainable technologies and practices, promoting campaigns are a useful element within planning
research and training on climate change issues for development because each behaviour or
while supporting new, environmentally friendly activity can contribute to climate change – wasting
technologies (Karl 2010). The concern surrounding electricity, driving cars, not recycling or reusing.
climate change and its impact on cities demonstrates
the importance of maintaining and improving the Governance
sustainability of cities, worldwide. Urban planners P Decentralized and improved local / urban
can play a lead role in considering and anticipating governance is important for practical
the environment and health of different subsystems implementation of resilience and sustainability
within an urban environment (as discussed in chapter strategies. Cities contribute to and can reduce
1) while planning livable cities. Environmental climate impacts caused by carbon emissions.
sustainability is increasingly being considered in Municipal governments are responsible for
urban development plans. For climate change policies making sure that in their own administration and
to be city wide and integrated requires urban planning activities / their governance role move towards
interventions (Yuen and Kong, 2009). climate-neutrality. They can also influence
Strong urban planning can promote resilience by citizens’ and other actors’ behavior. Reforms for
ensuring optimal use of space, energy and natural example affect carbon emissions and production

9
ICLEI. 2007. City of Keene, New Hampshire Climate Adaptation Action Plan Summary Report. Available at: cbtadaptation.
squarespace.com/storage/KeeneSummary_ICLEI_FINAL2.pdf

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 Integrated Urban Planning Processes for Resilience and Low Carbon Development

in the industry and transport sectors. As players and assessment of future needs. Using integrated
in the community, they can motivate others and data management systems to store, process and
enlist them to take part in reducing emissions.”10 manage diverse forms of data could help cities
They take the lead in practical responses and inform policy decisions based on concrete and
implementing ways of addressing climate continuous data sets. Information Technology (IT)
change. It is crucial to have in place responsibility tools like various data visualization techniques can
and accountability mechanisms that ensure help better inform the municipal bodies, utilities
transparent and reliable urban governance. Cross- and others as well as the general citizens of the
sectoral programs and strategies are best guided impacts and likely responses of climate change.
by governments, who are able to address issues This would also help on-going assessment,
of inclusiveness for instance. They need a role to monitoring & evaluation, so that efforts remain
ensure sustainable city planning processes are flexible, sustainable and up to date with climate
adopted. change knowledge.
P Public-private partnerships (PPPs) are an P Advanced Mapping, visual and spatial
important and effective means of leveraging technologies can promote effective resource
stakeholder expertise and forming partnerships allocation and resilience strategies in cities.
for greater community benefits. Setting standards Cities warrant multivariable analysis towards
and regulations is possible only by the municipal holistically informed urban resilience and low
governments for sustainable urban development, carbon developments. Applying information and
but the private sector needs to be involved and communication technologies for spatial exploration
reigned in. that informs urban planning. Advanced mapping
P Involving stakeholders and organizations to techniques such as LIDAR and GIS are being used
educate and facilitate informative processes that in Miami and New York to ensure more efficient
would address climate change and its effects. resource allocation and address climate change.
Although municipal governments should lead GIS and other mapping tools can be used to analyse
the way but it is up to urban constituents to react, land use, urban forestry and urban agriculture are
respond and collaborate. Awareness generation important applications.
towards sustainability and climate change issues P Participatory community data gathering and
would also help generate demand from the general sharing is also enabled to involve communities
public for efficient and timely systems to support in managing their environments and protecting
adaptation and mitigation. their communities in the context of climate
P Timely action and leadership commitment is change. Technology enable global and cross
also a crucial component for urban resilience to sector information sharing and generation.
climate change. Livable and resilience cities hinge In contemporary cities, knowledge sharing is
upon ensuring appropriate actions and strategies power and is facilitated in the urban context by
are taken at the right time in anticipation of the technological advances. Municipal engagement
diverse impacts of climate change. and emergency alert systems can provide up
to date city data on websites and disseminate
Technology it via smart phones, SMS and social networks.
P Data base generation and management comes the Leveraging virtual networks could also enable
fore in discussions of climate change. Municipal and activate rapid social response systems. The
bodies often do not have appropriate data to potentials to generate and use data for resource
address planning needs and development. allocation have immense potential in the face of
Similarly, a lack of climate data hampers projections climate change.

10
UNEP. Climate Neutral. Online. URL <www.unep.org/ClimateNeutral/Default.aspx?tabid=349>UNEP. Climate Neutral.
Online. URL <www.unep.org/ClimateNeutral/Default.aspx?tabid=349>

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Prepared by TERI for the UK Department for International Development-India
 CHAPTER
Disaster Risk Reduction
3
and Adaptation
Vidyunmala Veldore, G J Lingaraj and Sreeja Nair

3.1 Introduction
Key messages
Despite decades of investment into urban
infrastructure and risk reduction and management
P Many definitions, interpretations and options in developed nations, disasters such as
approaches exist for quantification of disaster Hurricane Katrina and New Orleans were stark
risk and assigning critical thresholds beyond examples of how inadequacy of disaster preparedness
which an event/ hazard can be termed a disaster. and resilience planning can lead to large-scale losses
P Assessment of the changing profile of hazards (Satterthwaite et al, 2007). Examples from developing
due to climate change can provide key inputs for and least developed countries reveal that social capital
the disaster risk reduction and risk management often acts as a stronger buffer in the face of disasters
efforts in cities. compared to infrastructural investments. Gupta et
P While DRR and adaptation efforts aim towards al, 2010 define disaster as a “severe disruption to
safeguarding development and poverty a community’s survival, resources and livelihood
reduction in many direct and indirect ways, there systems that result from vulnerability to hazard impacts
are many differences in the basic nature of the and results in loss of life, property or environment
issues they address. on a scale which overwhelms their capacity to
P Owing to differences in the concept of DRR and cope unaided”. The United Nations International
adaptation, their convergence largely remains in Strategy for Disaster Reduction (UNISDR) refers to
a conceptual form. Financial resources are often Disaster Risk Reduction (DRR) as “structural and
non-structural measures undertaken to limit the
concentrated in current risks, developmental
adverse impact of natural hazards, environmental
priorities and relief and rehabilitation efforts
degradation and technological hazards”. Climate
after a disaster occurs rather than planning for
change adaptation refers to “an adjustment in natural
future risks.
or human systems in response to actual or expected
P Convergence of DRR and adaptation in cities is
climate stimuli or their effects, which moderates
essential not only for managing current risks but
harm or exploits benefit opportunities” (IPCC, 2007).
also potentially higher risks in the future.
Many definitions, interpretations and approaches for
P India’s XI Five Year Plan’s (FYP) focus on disaster quantification of disaster risk and assigning critical
mitigation, rather than simply disaster response, thresholds beyond which an event/ hazard can be
provides an opportunity to integrate disaster termed a disaster, have often been contested. This is
mitigation into the development process. Win- primarily because the definition of disaster in terms
win strategies need to be promoted for planned of indicators such as loss of human lives, damage to
disaster risk reduction infrastructure, social capital etc. varies depending

Prepared by TERI for the UK Department for International Development-India 23

Climate Resilient and Sustainable Urban Development

on the region and systems that are impacted and the

temporal and spatial scale of impacts. Agreement on Box 3.1 Comparison of DRR and adaptation
a common approach becomes more tenuous when the (adapted from Mitchell and Aalst, 2008)
climate perspective comes into consideration, owing
Differences
to inherent uncertainties and non-linearities with
P While DRR is relevant to all hazard types, adaptation is
respect to future changes in the climate system.
limited to climatic hazards
The strategic goals enshrined in the Hyogo
P DRR focuses more on managing current risks while adap-
Framework for Action (2005-2015) and agreed upon by tation also focuses on the ability to deal with future risks
168 nations, include “integration of DRR into sustainable and impacts
development policies and practices, development and P DRR is often rooted in local practices and indigenous
strengthening of institutions, mechanisms and capacities knowledge; these practices may however be redundant or
to build resilience to hazards and systematic incorporation inapplicable under new or enhanced risks in the future
of DRR approaches into the implementation of emergency
preparedness, response and recovery (Prasad et al, Points of convergence
2009). Though many countries in South Asia have P Current climate variability (as also considered within DRR)
adopted the South Asian Regional Framework and is an entry point for basing future adaptation strategies
developed national frameworks for DRR based on P There may be opportunities to link indigenous knowledge
the Hyogo Framework of Action, however region- with modern technology or scientific know-how with
specific tools and methodologies for DRR are still mutual learning for DRR and adaptation
lacking (Chakrabarti, 2010). This chapter discusses P It is increasingly being recognized that adaptation tools
these issues interspersed with case study examples and techniques are essential and that these should
and presents key elements of Disaster Risk Reduction imbibe learning from established DRR tools
(DRR) and adaptation to climate related extreme
events and their inter-linkages.
is based on the premise that resilience not only entails
3.2 DRR and adaptation: divergence and recovery but also ‘building back better’. Hence the
convergence focus needs to be on factors or conditions that create
risk and vulnerability, rather than the event itself. In
It is well understood that disasters, including extreme
terms of DRR initiatives, ‘one-size-fits all’ strategies
events contribute to spiralling already vulnerable
are sparse in number, in terms of the benefits they offer
and low-income communities deeper into poverty
or the extent of risks they reduce. For example, the
and hence impede the achievement of developmental
impacts of structural measures such as embankments
objectives such as those enshrined in the Millennium
sought to protect a certain population, may have
Development Goals. So while DRR and adaptation
spill-over impacts on those residing outside these
efforts aim towards safeguarding development and
protective structures, hence displacing the risk and
poverty reduction in many direct and indirect ways,
vulnerability elsewhere (Moench, 2010).
there are many differences in the basic nature of the
Owing to such differences in the concept of DRR
issues they address. Box 3.1 lists the differences and
and adaptation, their convergence largely remains in
opportunities for convergence between DRR and
a conceptual form. This can also be attributed to the
climate adaptation.
fact that financial resources are often concentrated in
Climate-related disasters or hazards represent
current risks, developmental priorities and relief and
only one among a range of geological, hydro-
rehabilitation efforts after a disaster occurs rather than
meteorological, biological, technological hazards that
being committed for reduction of exacerbated risks in
the society faces. On the other hand, adaptation entails
the future (Mitchell and Aalst, 2008). Convergence of
more than reducing risks in a business-as- usual
DRR and adaptation in cities is essential not only for
condition that is covered under DRR (Venton and
managing current risks but also potentially higher risks
Trobe, 2008). Gupta et al (2010) argue that approaches
in the future. This is important because several large-
towards building resilience need to consider the
scale infrastructural investments are being made in
concept of ‘hazards’ as the pivot for discussion rather
cities, and not considering the sustainability aspect of
than focus on actual ‘disasters’ per se. The argument

24 Prepared by TERI for the UK Department for International Development-India

 Disaster Risk Reduction and Adaptation

DRR may lead to mal-adaptation i.e. enhancement of P Prioritisation of the selected strategies based on
risks in the long term. This is important because these specific criteria
investments are often based on an extrapolation of P Conducting cost- benefit analyses of the selected
past and current risks into the future and with climate strategies.
change there are likely to be many non-linearities in
the way these risks and impacts emerge (Venton and An example of how the CRS approach was applied
Trobe, 2008). The next section discusses application for the Urban Service for the Poor programme of
of a particular approach- referred to as ‘climate risk- DFID-India in two states of India-West Bengal and
screening’ for integrating DRR into developmental Madhya Pradesh is presented ahead. The objective
efforts. of the Kolkata Urban Services for the Poor (KUSP)
is to support infrastructure improvements in slums,
3.2.1 Climate-risk screening for mainstreaming DRR including water supply, sanitation, drainage and
Climate-risk screening is an approach for reducing access roads. The primary objective of the Madhya
climatic risks to developmental objectives and Pradesh Urban Services for the Poor (MPUSP) is to
integrating DRR and adaptation options within strengthen governance at the level of the State and
developmental programmes at the national and sub- urban local bodies to address access and affordability
national levels (Tanner et al, 2007). The steps involved issues of the poor related to basic urban services.
in climate risk screening (Figure 4.2) include: Identified climate risks to the objectives of KUSP
P Assessment of current and future impacts of and MPUSP include water logging and flooding due
climate change on developmental objectives of a to projected increase in high precipitation events,
programme; consequently impacting drainage, waste management,
P Assess the ways in which the developmental water supply and sanitation and community health
programme already contributes towards services. While some of these risks are covered under
vulnerability reduction and risk reduction the current programme portfolio, there are additional
P Identify potential entry points to integrate climate opportunities for DRR and adaptation, as shown in
risk management strategies into the scope of the Table 3.2.
programme

Figure 3.1 The Climate Risk Screening Process (Tanner et al, 2007).
This Climate Risk Screening Process is also known as ORCHID (Opportunities and Risk from Climate Change and Disasters) Developed by DFID-Bangladesh
and IDS, UK.

Prepared by TERI for the UK Department for International Development-India 25

Climate Resilient and Sustainable Urban Development

Table 3.2 Example of Climate Risk Screening conducted for Urban Services for the Poor programmes in Kolkata and Madhya Pradesh, India
(Tanner et al, 2007)
Climate Risk Management (CRM) and adaptation
Current practices
Identified climate risks KUSP MPUSP Additional opportunities for CRM and adaptation
Urban flooding In- situ slum up-gradation • Strengthening O and M activities with periodic monitoring and evaluation
• Comprehensive urban planning considering climatic risks (includes
construction of adequate drainage channels)
Health risks due to Operation and Enabling ULBs to • Development of a spatial and temporal database for water quality
contamination of Maintenance develop and follow surveillance
water supplies of existing environmental • Raising plinth level of toilets
water supplies standards for • Better insulation of toilet pits to reduce seepage into the soil and
and drainage sanitation and groundwater
systems drinking water

3.3 Global and Regional case studies Landuse planning and management in Cuba
In Cuba, national land-use planning and management
Water and Flood Adaptation Program: Hanoi, Vietnam are integrated with disaster risk reduction. Initiatives
This programme seeks to improve the flood in land-use management and urban planning have
preparedness and prevention through strengthening involved communities in the identification of local
the dikes, improving the performance and efficiency of problems, in the planning process and in implementing
dike management teams; building storage structures the decisions taken about land-use management.
upstream of the reservoir to control the pressure from The increasing exposure to the impact of disasters
floodwaters in Hanoi (World Bank and ISDR, 2008). has motivated the government to support studies on
coastal land-use management. In this context hazard
Climate Risk Management and Adaptation: NewYork maps for storm surges and additional vulnerability
City, USA maps have been produced. The city of Havana provides
The climate risk management framework of New an example of urban planning in a coastal zone; the
York City has a nine-step adaptation assessment city has a conspicuous breaker wall, stretching seven
process- including risk management, infrastructure, kilometers along the sea to reduce the impact of the
and policy changes that are prioritized in terms of storm surges that periodically strike the city’s coast
timescales, investment costs and risks. The focus is (UNISDR, 2004).
multi-sectoral and covers water supply, sewerage
and wastewater treatment (Prasad et al., 2009). Disaster Risk Management Program as per the Second
National Strategy and Action Plan: Nam Dinh Province,
Coastal Flooding in Thames Barrier, London (UK) Vietnam
One million Londoners are potentially exposed to The Second National Strategy and Action Plan of the
coastal flooding. They are defended by a complex Nam Dinh Province, Vietnam integrates a Program
system involving fixed flood defenses, the mobile on Disaster Risk Management (DRM). The DRM
Thames Barrier, which is closed before a surge program also facilitates long-term adaptation through
arrives, and a suite of warning systems that are used some strategies such as:
to decide when to close the barrier. The design life P Afforestation of upstream forest watersheds to
of the barrier is until 2030, when rising flood levels reduce impacts of floods on downstream regions
due to a combination of global sea level rise and more P Building of large- and medium-scale reservoirs
local changes will reduce the residual flood risk to a upstream to retain flood water
below 1-in-1,000 year standard. Given the long lead- P Strengthening of dike systems to resist flood levels
time to upgrade the defences, planning to the flood P Building flood diversion structures
defences to 2100 is already in its early stages. P Clearing of floodways, building flood diversion

26 Prepared by TERI for the UK Department for International Development-India

 Disaster Risk Reduction and Adaptation

structures and emergency spillways along the P National level: The NDMA operates at the national
dikes level and has set up Disaster Mitigation Funds
P Conducting training and awareness campaigns and created the National Institute for Disaster
for the communities on DRR Management (NIDM) to conduct training for
P Developing early warning systems and river flood planners and trainers at different levels including
forecasting models (World Bank and ISDR, 2008) local communities for disaster risk reduction and
management.
Heat wave plan: London, United Kingdom P State level: Some states have set up State Disaster
The Heat Wave plan of London city details a ‘heat- Management Authorities with engagement
health watch’ that operates from June 1 to September of relevant departments such as Water
15 each year. It defines 4 levels of response based on Resources, Agriculture, Drinking Water Supply,
threshold temperatures: Level 1- Awareness; Level Environment and Forests, Urban Development,
2- Alert; Level 3- Heat wave; Level 4- Emergency. Rural Development etc. The States have been
In addition, the plan sets out the responsibilities of advised to enact Disaster Management Acts and
the various health and social services bodies. For some states such as Gujarat and Madhya Pradesh
example, the Health Protection Agency is responsible already have these Acts in place.
for surveillance of heat-related illnesses and reporting P District level: Apart from relief and rehabilitation,
to the Department of Health (DoH). Met Office the District Magistrate is the nodal person
is responsible for providing three day forecasts, for coordinating activities related to disaster
notifying DoH when these predict threshold prevention, risk reduction and better preparedness
temperatures, confirming when thresholds have in the district. District Disaster Management
been met and forecasting the likely duration of heat Committees have been formed in multi-hazard
waves. The DoH, in collaboration with Met Office and prone districts across the country.
Strategic Health Authorities, will issue advice to the P Local level: There are plans of creating Block/
public and to health and social service professionals in taluka level Disaster Management Committees in
affected regions via the media. Furthermore, regional the 169 multi-hazard prone districts of the country.1
directors of public health are required to work with
utility companies to maintain continuity of water and The Swaminathan Committee report2 (2007) which was
power supplies to those in affected regions (World set up to review the working of coastal regulation zone
Bank and ISDR, 2008). in India reiterated the need to embed climate change
concerns in coastal zone planning and management.
3.4 India in context With the passing of the Disaster Management Act,
The 1990s witnessed the gradual institutionalization 2005, along with guidelines for development of
of disaster management efforts by the Government National and State disaster management plans, the
of India, with the engagement of various ministries National Disaster Management Authority was set
and departments. However, DRR was focused more up in India (GoI, 2008). It lays down a framework
on disaster relief and rehabilitation measures. Post for disaster management and coordination across
Latur earthquake of 1993 and Orissa super cyclone all scales. The approach of India’s XI Five Year
of 1999; a high-powered committee on disaster Plan’s (FYP) (2007-2012) also marks a shift from only
management was set-up in India for the preparation relief and rehabilitation to a proactive disaster risk
of disaster management plans. This was the National reduction approach.
Disaster Management Authority (NDMA) in 2005, The integration of adaptation within DRR
formed under the Ministry of Home Affairs, after the however still remains to be realized in practice. One
Disaster Management Bill of 2005 was passed. DRR Indian example where DRR and adaptation has been
and disaster management occurs at different levels in integrated at a city level is from Pune city in the state
India: of Maharashtra. The city has a population of nearly 5

1
GoI, Disaster Management in India. Accessible at http://www.unisdr.org/eng/country-inform/reports/India-report.pdf
2
Swaminathan Committee Report was set up to review the working of coastal regulation zone in India. Details available at
<http://envfor.nic.in/news/janmar05/swaminathan.pdf> last accessed on 21 – 07-10

Prepared by TERI for the UK Department for International Development-India 27

million persons. For several decades, Pune has been They would provide useful information on key
prone to rampant floods, being located at the merger infrastructure and settlements at risk, which
point of three rivers - Mutha, Mula and Pavana. Along would aid in devising, appropriate long-term
with the current impacts due to floods, the future adaptation strategies.
impacts due to a likely increase in the frequency and P Stricter implementation of existing rules and
intensity of floods under a changing climate have regulations. There are flood zone regulations,
also been considered by the city and a comprehensive land use guidelines, cyclone guidelines, coastal
climate change adaptation plan has been developed. regulation zone (CRZ) notifications that detail out
Under this Adaptation Plan the following steps a set of actions for development activities in the
have been undertaken with the engagement of the vulnerable regions. A good example in India is the
Municipal government as well as civil society in the 1991 CRZ Notification where no new construction
city: is permitted in zone 1, which is within 500 m of the
P Assessment of likely flood risks in low-lying areas high tide line. However improper implementation
of the city by recording hourly rainfall intensity. of these regulations has resulted in continuous
P Development of a city drainage map to identify development in vulnerable areas increasing their
current drainage channels (natural and sensitivity to disasters. Therefore there is need for
constructed) and how these connect to the flood- supporting and strengthening the existing rules
prone areas and regulations through better implementation
P Afforestation, watershed conservation and and monitoring.
building of small check dams to reduce impacts of P To ensure disaster resilient development in cities,
floods in the hilly regions there is a need for better inter—agency coordination
P Improvements in flood monitoring and early across Ministries and departments such as urban
warning systems (UNISDR, 2009). affairs, housing, water resources, environment,
transport, home/internal affairs, power,
3.5 Policy recommendations communications, municipal governance amongst
India is one of the 168 countries that have ratified others at national, state and local levels along
Hyogo Framework for Action (HFA). The HFA with many non- governmental organizations and
Priority Action 1 focuses on ensuring that disaster civil society3. This is extremely crucial for efficient
risk reduction is a national and a local priority with action for disaster resilient development in cities.
a strong institutional basis for implementation. P Science and policy interface: One of the priority actions
Therefore it is necessary on the part of the government of HFA is to promote and improve dialogue and
to ensure appropriate implementation of HFA and cooperation among scientific communities and
integrate DRR concerns in strategic decisions on practitioners working on disaster risk reduction,
development. Some priority steps for converging and encourage partnerships among stakeholders,
DRR and adaptation concerns in cities are discussed including those working on the socioeconomic
ahead. dimensions of disaster risk reduction.
P A systemic risk analysis of cities to climate change P Promotion of strategic knowledge on disasters: It is
induced extreme events is needed. Although there important for governments to support scientific
are macro- level assessments on assessing the research on risk assessments, disaster prediction,
impacts of climate change induced extremes like modelling and monitoring methods, early
the ones mentioned above there is a need for warning systems and communication tools. It
more city specific bottom up studies for all hydro is also important to identify training needs of
meteorological disasters. These risk assessments relevant stakeholders in disaster management
should focus on analysis of biophysical exposure and sensitise them about latest developments in
to climate change induced disasters and socio the field of DRR and adaptation research.
economic sensitivity of people in the cities.

Living with Risk: A global review of disaster reduction initiatives, 2004 version (ISDR 2004), Chapter 2.3 Risk Assessment, p.
3

63<http://www.unisdr.org/eng/about_isdr/bd-lwr-2004-eng.htm> last accessed on 21 – 07-10

Prepared by TERI for the UK Department for International Developmen t-India

Prepared by TERI for the UK Department for International Development-India
 CHAPTER
Urban services
4
and resilience
Sneha Balakrishnan and Sreeja Nair

Key messages 4.1 Introduction

Across the globe, the future of hundreds of millions
of people in urban areas, dependent on efficient
P The impacts of climate change on urban services delivery of basic amenities and services, is likely to
are expected to vary depending on the geographical be affected by the complex and interlinked impacts of
setting and associated climate of the urban rapid urbanization and climate change. The impacts
agglomeration; the nature, size and density of however are expected to vary depending on the
settlement; and the existing coping capacity of the geographical setting and associated climate of the
society and its economy. urban agglomeration; the nature, size and density
P Unabated growth of urban population and high of settlement; and the existing coping capacity of the
incidence of marginal employment and urban society and its economy. Impacts of climate change
poverty have aggravated the accumulated backlog will only exacerbate existing vulnerabilities, bringing
of shortages of basic urban services such as water more cities and more people at risk. As most cities in
supply and sanitation, drainage and sewerage and the world are on the path of rapid expansion in terms
has also resulted in the proliferation of slums and of their size, population and economic activities, it is
squatter settlements. critical to keep in mind that actions taken on the side of
P Informal settlements are often inadequately development do not adversely affect climate actions
connected to basic urban services, and often located (including disaster risk reduction strategies) and vice-
in low-lying areas prone to direct and indirect risks versa, thus creating an urgent need for vibrant and
due to environmental degradation and changes in efficient urban governance systems that can deliver
the climate. adequate services and improve living conditions. The
P Government investments for the development of five urban services under the portfolio of the Ministry
of Urban Development of India are discussed in
infrastructure and provision of basic services have
this publication- viz. water supply, sewerage, solid
not been spatially balanced during the past few
waste management, drainage and urban transport
decades leading to high levels of inequity across
(discussed in Chapter 6).
urban centres in India.
With 310 million people and 5,161 cities and towns,
P Unplanned development in most of the fast growing
India ranks as the second largest urban system in the
urban centers of India has contributed to a widening
world(Misra,2010).Theprovisionofurbaninfrastructure
gap between demand and supply of infrastructure
and services has been among the primary functions of
services, especially for the urban poor. the government where the finances for service delivery
P There are potential entry points for enhancing service is sourced out of tax revenues or other direct or indirect
delivery in urban centres through programmes such user charges levied on the services provided. These
as JNNURM, Rajiv Awas Yojana, NMSH and India’s XI basic services have generally been considered as social
Five Year Plan. goods, to be provided by the government for free or

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Climate Resilient and Sustainable Urban Development

at nominal prices to users. However, government polluted river system could make the Delhi mega-
investments for the development of infrastructure urban region, with its projected population of over
and provision of basic services have not been spatially 30 million, unsustainable (Satterthwaite et al, 2007).
balanced during the past few decades leading to Cities are now reaching out to far away sources
high levels of inequity across urban centres in India. for their water supply needs, which are not only
Unabated growth of urban population and high expensive but also energy intensive (TERI, 2009).
incidence of marginal employment and urban poverty Data on sanitation services also indicate
has widened the service demand and supply gap. As considerable state-wise variations. Sanitation
per the latest NSSO survey reports there are over 80 standards are the lowest in the urban areas of Bihar
million poor people living in the cities and towns of and Madhya Pradesh where more than 45 per cent
India. The Slum population is also increasing and as of the population has no access to any type of latrine
per estimates of 2001, over 61.80 million people were (Table 4.1). In most cities, the sewerage system covers
living in slums1. Figure 4.1 presents the proportion of only part of the population and the treatment facilities
poor and slum households in select Indian cities as per for wastewater are at best primary. Furthermore,
records for the year 2001. increasing coverage of infrastructure is not matched
Data provided by the 58th round of the National by improvement in the service levels or service quality
Sample Survey (NSS) indicate large disparities in (Box 4.1, Figure 4.2).
levels of access to water supply by urban households Solid waste quantities generated in urban centres
across states in India. Service delivery in the water are also increasing due to rise in the population and
supply sector has not been able to match the needs of
the increasing urban population as illustrated by the Box 4.1 Infrastructure Coverage versus
example of the mega-city of Delhi. For example, the Service Delivery in Urban India (Rastogi, 2006)
National Capital Region of Delhi faces a severe water
shortfall and is competing with irrigated agriculture Water delivery in terms of hours per day has been declining
upstream. Drinking water is being transported to in Chennai, Bangalore, Hyderabad, Vizag, Guwahati, Dehra
meet the demands of this city of 15 million, from Dun, Coimbatore and Ahmedabad. The cities which used to
over 300km, and yet unaccounted-for water losses have 15–24 hours of supply per day (Bangalore and Hy-
are over 40 per cent in the city. Rising temperatures derabad) have to do with only couple of hours of daily water
supply in the last few years. In other expanding cities as well,
and therefore energy demand for cooling, increasing
water delivery has dropped to a couple of hours a day. Water
precipitation variability, a lower number of rainy
availability, measured as litres per capita per day is quite high
days, over-extraction of groundwater and a heavily
for almost all Indian cities but delivery, computed as water
supply in hours per day in the city is rather poor in spite of
adequate availability of water.

Figure 4.2 Water Delivery (hr/day) in select Indian Cities since

Figure 4.1 Proportion of slum households and poor households 1980s
in selected cities, India, 2005-06 (Gupta et al, 2009)

1
India: Urban Poverty Report 2009. Summary. Available at: data.undp.org.in/poverty_reduction/IUPR_
Summary.pdf, Accessed 5 August 2010

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 Urban services and resilience

Table 4.1: Access to Sanitation Facilities for the Major Indian States for Urban Households (per cent) (1998) from 54th Round of NSS (Rastogi,
2006)
No latrine Service latrine Septic tank Pour flush latrine Sewerage system Other
system
Assam 2 20.1 61.1 3.3 1.0 12.5
Kerala 5.1 3.6 48.8 25.5 7.8 9.2
Punjab 14.8 1.3 23.4 6.5 50.3 3.7
West Bengal 15.2 5.1 55.8 7.2 11.0 5.7
Maharashtra 15.8 1.6 30.3 4.6 47.4 0.3
Gujarat 21.1 1.8 33.8 7.2 35.8 0.3
Rajasthan 25.5 5.2 33.3 19.3 7.2 9.5
Uttar Pradesh 28.2 17.7 32.2 10.7 11.0 0.2
Karnataka 30 1.8 22.0 18.1 27.4 0.7
Andhra Pradesh 30.8 1.2 42.9 4.6 17.9 2.6
Tamil Nadu 32.5 3.0 33.8 6.5 22.3 1.9
Haryana 32.9 9.7 7.5 16.5 32.3 1.1
Orissa 35.8 7.7 50.5 3.4 0.8 1.8
Madhya Pradesh 45.2 6.2 40.3 4.9 3.5 0.0
Bihar 45.3 5.2 45.2 3.6 0.2 0.5
Total 25.5 5.9 35.2 8.4 22.5 2.5

increase in the per capita waste generation rate. With introduced from natural and human sources.
the urban population growing at 2.7 per cent to 3.5 The increase in water temperature can alter the
per cent per annum, the yearly increase in the overall rate of operation of bio-geo-chemical processes
quantity of solid waste in the cities will be more than (degrading and cleaning) and lower the dissolved
5 per cent (Rastogi, 2006). Typically one- to two- oxygen concentration of water (Khatri and
thirds of the solid waste that is generated in cities Vairavamorthy, 2007). This may lead to increased
is not collected by the municipal systems (Zhu et al, load on water treatment plants for bringing the
2008). Waste that is collected is often disposed off in water to a recommended standard before it can
open dumpsites or burned. In low-income or squatter be released for human consumption and use in the
settlements, waste collection is often nonexistent, often cities.
because the settlements are informal and unplanned P Water-supply abstraction and treatment plants,
(World Bank, 2008). which are generally situated near water sources,
may be affected due to disasters such as floods.
4.3 Impacts of climate change on urban In severe riverine floods with high flow velocities,
services and service delivery pipelines, electrical switchgear and pump motors
may get damaged (Satterthwaite et al, 2007).
4.3.1 Water Supply and Sanitation P Climate related disasters such as floods, cyclones,
P Changes in precipitation patterns may lead to storm surges etc can also increase the vulnerability
reductions in river flows, falling groundwater of sanitation infrastructure to structural damage.
tables and, in coastal areas, saline intrusion in rivers The main impact of climate change would be, on
and groundwater-all leading to a net decline in the on-site sanitation systems such as pit latrines, is
water resources available for supply to urban areas. likely to be through flood damage (IPCC, 2007).
P Water quality problems may also increase P Flooding may also cause septic tanks and sewers
where there is less flow to dilute contaminants to overflow. Since sanitation infrastructures (or

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Climate Resilient and Sustainable Urban Development

the lack of them) are the main determinant of the JNNURM Directorate has also launched the Peer
contamination of urban floodwater with faecal Experience and Reflective Learning (PEARL)
material, damage to these presents a substantial to facilitate sharing of success stories and best
threat of enteric and other water-borne diseases. practices (GoI, 2009). For the cities not covered
under JNNURM, GoI had launched the Urban
4.3.2 Solid Waste Management Infrastructure Development Scheme for Small
Climate change has the potential to impact waste and Medium Towns (UIDSSMT). UIDSSMT
management services and sites (Bebb and Kersey, seeks to improve the urban infrastructure in
2003), by: towns and cities by enhancing public-private-
P Damaging some on-site waste management partnership in infrastructural development, and
facilities such as some gas and leachate collection promoting planned integrated development
systems, weighbridges etc of towns and cities2.
P Disruption of transport facilities impacting the P The MoUD has Standardized Service Level
collection of waste from source points and delivery Benchmark (SSLBs) for benchmarking certain
of waste to the management site. indicators for key urban services such as water
supply, sewerage, solid waste management and
4.3.3 Sewerage and Storm water drainage storm-water drainage (TERI, 2009).
An adverse impact on water supply is most likely P The GoI announced the National Urban
to have negative effects on sewerage and drainage Sanitation Policy (NUSP) in November 2008 to
systems in the city. In case precipitation is very high, comprehensively deal with the challenges in urban
it can decrease the capacity of the system making it sanitation in India’s cities. The policy envisages
susceptible to flooding and sewer overflow during transforming all towns and cities of India into 100
rainfall extremes. It is important to note that the per cent sanitized, healthy, and livable spaces; and
existing urban drainage system maybe designed ensuring sustained public health, and improved
to operate under specific weather conditions for a environmental outcomes for all its citizens. The
specific area. The age of the system can vary and, in main components of the policy are awareness
some parts these may not be adequate to deal with generation and bringing about behavior change;
future conditions of intense flooding (Berggren et al, achieving open defecation-free cities; sanitary and
2008). safe disposal of waste; promoting proper usage
and maintenance of household, community, and
4.4 India in context public sanitation facilities; extending access to
The Ministry of Urban Development and the Ministry
of Urban Employment and Poverty Alleviation
constitute the nodal authorities at the national
level responsible for formulating policies and
guidelines, designing programmes, coordinating
and monitoring activities of various central, state
and urban local bodies concerning all issues of urban
development in the country. A number of policies
and programs, schemes and development projects
are already under implementation for various urban
sectors and services. These include:
P Jawaharlal Nehru National Urban Renewal
Mission (JNNURM) (Figure 4.3), which aims at
improving urban service levels in a financially
Figure 4.3 Sector-wise sanction of projects under JNNURM as of
sustainable manner in 63 identified cities. The January 2009 (as % of total project value)

2
http://www.cmao.nic.in/Resources/JNNURM/Guidelines/UIDSSMT-%20GUIDELINES.pdf, accessed on
17 August 2010

34 Prepared by TERI for the UK Department for International Development-India

 Urban services and resilience

sanitation facilities for poor communities and sewage treatment and 30% population with
un-served settlements; and strengthening Urban low cost sanitation, septic tanks etc).
Local Bodies (ULBs) to provide sanitation services • Solid Waste Management- 100% population
by supporting need-based capacity building and coverage
training at the state level. • Drainage- 100% population coverage to
P The Rajiv Awas Yojana (RAY)was announced provide comprehensive drainage system in
in 2009 and aims at providing low-cost housing towns / cities wherever needed to help control
for the urban poor. National Urban Housing flooding of urban centres due to rainfall and
and Habitat Policy 2007 emphasizes on in-situ spread of sewage over streets.
development of slums and preparation of a special P The National Mission on Sustainable Habitats
action plan for slum dwellers with particular lists key action points for the promotion of solid
reference to the socially disadvantaged groups waste management. These include:
of urban population. Recognizing that the rise • Recycling of the waste material.
of slums is rooted in the lack of proper urban • Urban waste management.
planning, the RAY focuses on issues that lead to • Development of technology of producing
the development of slums- such as shortage of power from waste.
land, housing infrastructure and basic services. • R&D on biochemical conversion and
(Mathur, 2009). If the RAY is oriented towards wastewater management
urban reforms, it can also be an important vehicle
to mobilize the National Strategy for Inclusive Some success stories from India are discussed here.
Growth as well as the National Urban Housing Service contracts in Chennai
& Habitat Policy 2007 that aims at improving the In 1992, contracts were issued for the Operation
living conditions in slums and providing low-cost and Maintenance of 14 sewage pumping stations.
and alternate housing (Singh, 2010). The specific Following the success of this contract, 61 more pumping
activities as envisaged under the RAY include: stations and O & M of four water boreholes were
• Integrated development of notified and non- issued contracts. These stations have demonstrated
notified slums cost- reductions by nearly 45-65% in comparison to
• Provision and/or improvement of access Chennai Metropolitan Water Supply and Sewerage
and provision of basic services to the urban Board operating independently(GoI, 2007).
poor. These include water supply, sewerage,
drainage, solid waste management, road Model Municipal Laws
access, street lighting, community toilets, The Municipal Laws in India often do not enable the
market access, livelihoods centres etc. ULBs to implement reforms. Thus a Model Municipal
• Liaisoning with other schemes for the urban Law (MML) was developed by GoI in 2003 giving
poor, related to water and sanitation, health, power to the States to enact municipal legislations.
education, livelihood support, infrastructure, The main objective of the MML is to empower
connectivity etc. ULBs to leverage public funds for development of
• Development of low-cost and affordable urban sector and ensure effective service delivery.
houses along with basic infrastructure and Rajasthan, Bihar, Orissa and Sikkim have prepared
services (for ownership, rental or both). their municipal laws on lines of MML. In this context,
P The Eleventh Five Year Plan (GoI, 2007) lists the the Rajasthan Municipalities Ordinance of 2008 has
following urban services targets to be achieved by many enabling provisions to implement reforms
the end of the plan period (2012). These include: under JNNURM. The Ordinance also divided various
• Urban Water Supply- 100% population municipal functions into core, government assigned
coverage and other functions. However, water supply and
• Urban Sewerage and Sanitation- 100% sewerage is not identified as core function but a state
population coverage (which includes 70% assigned function (Vaidya, 2009).
population to be provided with sewerage and

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Climate Resilient and Sustainable Urban Development

Public-Private Partnership (PPP) for solid waste recovery from efficient waste disposal techniques,
management in Nagpur and building the technical expertise for effective
The Centre for Development Communication (CDC) waste management.
in Nagpur and the Municipal Corporation worked
on a PPP mode for complete coverage of the city by Sewerage and drainage
door-to-door garbage collection. The objective of the P Full coverage of sewerage, sewage treatment and
initiative was to improve solid waste management low cost sanitation facilities as proposed during
in the city through a low-cost method, while also the XI plan period, may be achieved through a mix
providing livelihood support to ragpickers. The of conventional sewerage and sewage treatment
revenue savings for the NMC (Nagpur Municipal facilities and on-site low- cost sanitation facilities.
Corporation) through this initiative has been about P Projections of extreme precipitation as indicated
Rs 20 million. Owing to the better handling and by climate models also need to be considered
disposal of the waste, the city drains are not clogged while upgrading the capacities of storm-water
during floods and related health concerns have been drainage systems.
addressed in a major way (TERI, 2009). P Amendments in municipal bye-laws are needed to
mandate city residents to connect the toilets to the
4.5 Policy recommendations existing sewerage connections, especially in areas
Water supply prone to flooding.
P A comprehensive database on the water supply P There is a need to encourage decentralized sewage
network should be developed to enable urban collection and treatment, promote reuse of grey
planners and water managers to assess the water for irrigation or flushing to reduce the load
coverage and improve service delivery. on the city’s sewerage capacity. Green buildings
P Construction of roof-top rainwater harvesting can reduce the demand placed on sewerage
structures (where feasible) and artificial recharge systems by promoting reuse of grey water and
to be mandated in buildings. treatment of wastewater before disposal (TERI,
2009).
Solid waste management P Filter drains and permeable pavements for
P A nodal unit should be established at the central percolation of rainwater and groundwater
or state level to coordinate the activities related recharge need to be constructed within the urban
to urban waste management. Furthermore, it is landscape, where possible (TERI, 2009).
essential to decentralize the municipal functions P Continuous coordination with waste disposal
upto the zonal and ward level to improve agencies at the ward level need to be maintained to
operational efficiency. ensure regular street sweeping and avoid choking
P Promoting Public-Private Partnerships: Municipal of drains with waste and litter.
laws should be amended to encourage PPP for cost-

36 Prepared by TERI for the UK Department for International Development-India

Prepared by TERI for the UK Department for International Development-India
 Green buildings: a policy
CHAPTER 5
perspective
Hina Zia and Priyanka Kochhar

Key messages 5.1 Introduction

Construction sector is one of the key elements for
economic growth, directly and indirectly. The sector
P Construction sector is resource consuming (including buildings) typically provides 5-10% of
in its entire life cycle-right from extraction of employment at the national level and generates 5-15%
materials to manufacturing, transportation, of GDP (UNEP, 2007). At the same time, this sector
construction and operation of the is resource consuming during the entire life cycle-
infrastructure/building. Buildings form a big right from extraction of materials to manufacturing,
part of this construction sector. transportation, construction and operation of the
P Climate change will further increase resource infrastructure/building. Energy consumption in
consumption by buildings as people shall seek buildings gives rise, directly and indirectly, to as
to maintain comfort levels in more extreme much as 40%1 of CO2 emissions and represents more
conditions. One of the ways to bring down this than a third of global consumption. The demand
resource consumption without impacting the for energy to run appliances such as televisions,
comfort and productivity is by promoting green air conditioning and refrigerators is also increasing
buildings. substantially with rise in living standards. This puts
P Green buildings have minimal adverse impacts additional pressure on the emissions balance, which
on the built and natural environment. needs to be countered by achieving energy efficiency
P Policy instruments of various types have the improvements. Climate change will further increase
potential to rightly promote green buildings site energy demand as people shall seek to maintain
directly and indirectly. comfort levels in more extreme conditions.
P Success of a policy instrument varies from IPCC, 2007 report clearly states potential low
country to country. India has also implemented hanging fruits (cost-effective and easily implementable)
to reduce energy consumption in buildings and thereby
a number of policy instruments to promote
mitigate carbon emissions from the sector. Most of
energy efficiency and to some extent green
these ways have been intuitively known but for want
buildings, with different degree of success.
of a clear cut implementation methodology supported
P An integrated approach to promoting green
with relevant legal tools and market dynamics could
buildings policies to create both supply push
not be realized. Policy instruments play a very crucial
and demand pull.
role for wide-scale implementation of any program and
capable of transforming market in the desired direction

1
Source: www.wbcsd.org

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Climate Resilient and Sustainable Urban Development

if implemented in an integrated manner. Green P Economic/ market-based instruments usually based

buildings entail promotion of energy efficiency, land on market mechanisms and contain elements of
sustainability, water efficiency, resources efficiency voluntary action or participation, although often
and better building environment. Such buildings have initiated/promoted by regulatory incentives;
minimal adverse impacts on the built and natural P Fiscal and financial instruments, such as taxes, levies
environment. They are designed to minimize the total for self financing systems, subsidies and grants,
environmental impact of the materials, construction, which either increase the price of polluting to the
operation and deconstruction while maximizing polluter or decrease the price of being cleaner,
opportunities for indoor environmental quality and thereby accelerate action to invest in energy
and performance; saving money, reducing waste, efficiency, abatement, adoption of renewable; and
increasing worker productivity and creating healthier P Supportive actions, that aim at the improvement
environment for people to live and work. A sustainable of knowledge levels and market transparency
building minimizes the demand on non-renewable through various ways and are always essential to
resources, maximizes the utilization efficiency of integrate with any/all of the above instruments
these resources when in use and maximizes the reuse, either through R&D, public leadership programs,
recycling and utilization of renewable resources. It awareness raising, education and information
maximizes the use of efficient building materials campaigns, training, voluntary certification
and construction practices; optimizes the use of on- and labeling, and a systematic evaluation and
site sources and sinks by bio-climatic architectural monitoring of policy implementation (UNFCCC,
practices; uses minimum energy to power itself; uses 2001).
efficient lighting, air-conditioning; efficient daylighting
integration; maximizes the use of renewable sources 5.2.1 Regulatory instruments
of energy; uses efficient waste and water management Such instruments are commonest in buildings sector
practices; and provides comfortable and hygienic indoor and are defined as organizational rules which aim to
working conditions. In a nutshell, such buildings look directly influence the environmental performance of
at the design, construction and operation of a building polluters by regulating processes and products used,
in an integrated manner. Green buildings thus have a by prohibiting or limiting the discharge of certain
paramount role to play in mitigating emissions from pollutants, restricting the consumption of resources,
the building sector. restricting activities to certain periods or areas
This chapter attempts to analyse globally and European Union has been actively pursuing energy
nationally key policy tools used to integrate energy efficiency measures. In 2006 two directives impacting
and resource efficiency with brief mention of key design, use and marketability of buildings in respect
strategies/policy packages and consequent reduction of their energy efficiency came into force which, all
in energy consumption and CO2 emissions (wherever the 27 EU Member States have to implement in full
data is available). The policies implemented in most into the laws within a predetermined time. The two
of the countries, however focus more on energy directives entail altering their building codes so that all
efficiency measures and the resultant CO2 emission new buildings constructed from the end of 2020 meet
reductions. Also, these policies are limited in scope in high energy-saving standards and existing buildings
terms of wider implications of urban resilience. upgraded for better efficiency where possible. The
Energy Performance of Buildings Directive was
5.2 Policy tools and instruments: Global introduced in January 2006 whose key requirements
scenario are:
The policy instruments used world over for promoting P Develop methodology for calculating the total
green buildings (in an integrated way or only energy energy performance of buildings forming the
efficiency improvement) could be classified into the basis of Building Regulations requirements.
following categories (summarized in Table 5.1): P Review Building Regulations at no more than five-
P Regulating instruments that due to direct or indirect yearly intervals.
intervention influence the volume of the energy or P Develop a national system of energy performance
emissions used; certification of buildings, based on whole building

40 Prepared by TERI for the UK Department for International Development-India

 Green buildings: a policy perspective

methodology. These certificates will be obligatory

for every new building; existing privately owned
Box 5.1 Top-runner Program, Japan
buildings when sold, existing rented buildings
at change of tenant and all public buildings with The “Top Runner Program (TRP)” was introduced in 1998 for
built-up area greater than 1000 m2. the energy conservation standards for home/office appli-
P Every building larger than 1,000m2, when ances and the fuel economy standard of automotives. From
undergoing a major refurbishment, must have the 2006, the standards under TRP are applicable to 21 types of
latest energy saving technologies installed, insofar equipment and heavy duty vehicles as follows; air condi-
as is economical and practical. tioners, electric refrigerators, electric freezers, electric rice
cookers, microwave ovens, fluorescent lights, electric toilet
The Energy End-use Efficiency and Energy Services seats, TV sets, VCRs, DVD recorders, computers, magnetic
Directive was initiated in May 2006, whose key disk units, copying machines, space heaters, gas cooking
requirements are: appliances, gas water heaters, oil water heaters, vending
P National energy reduction targets of 9% over a machines, transformers, and passenger/freight vehicles.
nine-year period beginning 2008 through specific TRP requires all new products must meet by a specified date
measures like double/triple glazing, passive the efficiency level of the most efficient product of that cat-
heating and solar energy. egory at the time the standard was set. Information such as
P The 27 Member States of EU have to produce manufacturer’s name, item code, price, electricity consump-
tion in use and in stand-by mode, target achievement ratio,
“Energy Efficiency Action Plans” showing how
estimated annual electricity consumption and cost, etc. is
these targets will be achieved.
readily available in print and electronic form.
P The public sector is required to play an exemplary
role in energy saving and communicating with
citizens.
P Obligations are placed on energy companies to equipment, lighting, systems and; performance
introduce schemes which will give incentives to based codes which prescribe only an annual energy
their customers to install energy saving measures. consumption level (thus providing more scope for
P National agencies must be established to take innovation). The prescriptive codes are obviously
overall responsibility for achieving these targets easier to implement whereas performance based
and plans. require interventions from specialized professionals.
Building codes need to be regularly updated to
5.2.1.1Appliance standards
remain effective, as technologies improve and costs
Appliance standards are commonly used in of energy-efficient features/appliances decline with
developed and developing countries to achieve market penetration.
energy efficiency of appliances used in commercial Building codes exist in almost all developed
and residential buildings. These cover all end-uses countries and more and more developing countries.
and fuel type products, ranging from appliances, However, their effectiveness varies from country
lighting, heating and cooling instruments (Box 5.1). to country based on compliance and enforcement
The advantage with appliance standards is that it structure. Germany is one of the few countries where
is cost-effective as it reduces transaction costs for it is more effective as it caters to both new and existing
consumers and producers. However, often it does not buildings. Another interesting example is seen in
provide enough incentive for innovation beyond the Austin city, Texas, U.S. where the city has adopted
target. Also, standards require continuous testing of a comprehensive green building programme. One
products. of the components of this programme is building
codes that incorporate strict efficiency characteristics.
5.2.1. 2. Building codes
The city also has a detailed monitoring mechanism
Building codes address the energy consumption of to monitor the impacts of various initiatives on new
an entire building or systems. These codes are of two and existing structure. As a result, from 1991 to 2007,
types: prescriptive codes that set separate performance the city’s energy consumption has reduced by 142 427
levels for envelope (wall, roof, fenestration, glazing), MWh and reduced demand by 82.8 MW.

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Climate Resilient and Sustainable Urban Development

5.2.1.3. Procurement regulations water-using performance of products and even

These are provisions for energy efficiency (and/or buildings. Labeling programs are extensively used
water efficiency) in the public procurement process. in most of the developed countries and of lately in
Since such tools are applicable for public sector it developing countries like India, China, Brazil, South
could be very effective in countries with large share Africa. Labeling is often combined with appliance
of the public sector. The government, as a very large standards. Some examples include:
purchaser of energy using products, has an immediate P The Energy Performance of Buildings Directive
impact on manufacturers, none of whom want to be in the European Union requires the obligatory
left out of the government segment of the market. energy certification of new and existing buildings
Some examples include: as well as display of this certification in public
P The US with its Federal Energy Management buildings. Building certification is however more
Program (FEMP) has one of the most stringent expensive than labeling of appliances.
legislative frameworks for procurement which P In August 2007, London implemented a Home
states that all federal agencies are required to Improvement Packet (HIP) and Environmental
purchase ENERGY STAR or FEMP designated Performance Certificate (EPC) programme. 2009
products. onward, all homes that are bought and sold need
P In Japan, “Green Purchase” is part of the to have HIPs, which contains all necessary legal
government policy. Under this policy official documents, as well as an EPC. EPC rates a building
organizations such as the government can purchase on a scale from A to G and also contains information
only green goods. The government procurement regarding potential for improvements.
of energy efficient products is mandatory by “Law P Singapore has a green labeling scheme with
on Promoting Green Purchasing”. mandatory provision for use of energy-labelled
P Mexico has executed an extensive PEPS (Promoting refrigerators and air-conditioners. It also has a
an Energy-efficient Public Sector) program in water efficiency labeling scheme, which labels
support with USAID to provide support to products for water efficiency, allowing consumers
municipal governments, federal agencies, and to compare the water efficiency of different
other local organizations to improve the energy products such as washing machines. As a result,
efficiency of the public sector, through energy- domestic water consumption has fallen from 165
efficient procurement and overall public sector litres a day in 1999 to 160 litres a day in 2005.
energy management. It has already covered more P In Australia, mandatory efficient labelling standards
than 30 cities and providing support to develop called WELS (Water Efficiency Labelling and
procurement policies tailored to the cities’ specific Standards) have been introduced for appliances
needs. including showerheads, washing machines,
P Since 2002, China started working on energy- dishwashers, water closets, taps and urinals. This
efficient procurement policy. In 2004, the Ministry was achieved through identical legislation being
of Finance and the National Development and adopted nationally, as well as by each state and
Reform Commission issued a policy document on territory. The WELS Scheme aims to address the
“Implementation of Government Energy Efficiency issue of high domestic water consumption by
Procurement,” calling for a staged, 3-year program providing nationally consistent water efficiency
to establish energy-efficient purchasing practices information to consumers at the point of purchase,
at all levels of government in China. The energy- and by encouraging manufacturers to design more
efficient procurement program went into effect in water-efficient products in domestic and commercial
2005. All Government organizations are required areas whilst maintaining individual choice and
to purchase efficient products. Interestingly, this accounting for regional variations in water supply
also includes water efficient products. in urban Australia (www.waterrating.gov.au).

5.2.1.4. Mandatory certification and labeling 5.2.1.5. Mandatory audit programs

This is an informative instrument and provides Mandatory audit and energy management in
information to end-users about the energy-using/ commercial, industrial or private buildings is done

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 Green buildings: a policy perspective

under this and is usually subsidized by the government. in a few European countries: first in Italy, then
Financing for such audits and the follow-up measures followed by Great Britain, and most recently in
is a big challenge. Also, the effectiveness of such France.
audits loses ground if the suggested improvements P Italy’s ESC program became operational in January
implementation part is not subsidized/ supported. 2005. Since then, Italy has achieved significantly
In U.S, 0.1 million homes are annually upgraded as more energy savings than required by its annual
a result of auditing with financial support from the program target (Vine, et al, 2008).
Government (Gillingham et al, 2006).
5.2.3 Fiscal and financial instruments
5.2.1. 6. Utility demand-side management programs
It covers utility-sponsored programs that increase 5.2.3.1. Energy or carbon taxes
energy efficiency and water conservation or the Direct taxation either as CO2-tax or as energy tax
management of demand and includes planning, has also been attempted by countries like Denmark,
implementation and monitoring of such activities. Finland, Norway, the Netherlands and Sweden and
These cover a wide palette of initiatives ranging is based either on the carbon content of the fuel or
from individual advise and counselling, energy on the actual energy use. These have not yet been
management and auditing, advice regarding new tried in developing countries due to their subsidized
installations, informative electricity bills, show and electricity tariffs.
display rooms, articles, advertisements, educational
campaigns, street lighting, distributing CFLs, etc. 5.2.3.2. Tax exemptions and reductions
Tax exemptions in the form of income tax credits
5.2.2 Economic and market-based instruments or property tax rebates are often used in various
countries. For its effectiveness, experts suggest that
5.2.2.1 Energy performance contracting/ESCO support they should be adopted for advanced technologies
Under this, a contractor (usually an energy service to overcome the first-cost barrier and should be
company ESCO) guarantees certain energy savings sufficiently high. In India, some municipalities
for a location over a period of time; implements the have associated property tax rebates with solar
energy conservation measures and in return is paid water heating/rainwater harvesting/solar lighting
from the estimated energy cost reductions achieved integration.
through the energy savings (EFA 2002). Success rate
for this mechanism varies from country to country. 5.2.3.3. Capital subsidies, grants, subsidized loans, rebates
It is effective in countries like Germany, US, China This is a very commonly used tool for increasing energy
and Brazil whereas Denmark, India, etc. are still and water efficiency/conservation in buildings.
struggling. Subsidies are often used in residential sector (Box
5.2). Such programs should be well supported with
5.2.2.2. Energy efficiency certificate/white certificate schemes information campaigns and limited in time to avoid
An ESC is an instrument issued by an authorized free-riders. Brazil has an extensive national electricity
agency guaranteeing that a specified amount of conservation program known as PROCEL started in
energy savings has been achieved (ESCs can be 1985. It provides grants to energy efficiency projects
issued either ex-post (based on the measurement of carried out by state and local utilities, state agencies,
actual performance) or ex-ante (based on engineering private companies, universities, and research
estimates). Each certificate is a unique and traceable institutes and an estimated 5.3 terawatt-hours per
commodity carrying a property right over a year (TWh/yr) of savings was achieved from 1986-
certain amount of additional energy savings and 1998 (Geller et al, 1999).
guaranteeing that the benefit of these savings has not India has an extensive program on providing
been accounted for elsewhere. incentives for renewable integration at building level
P New South Wales instituted the first program in through the Ministry of New and Renewable Energy
2003, and since then, programs have been started (explained in the subsequent section).

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Climate Resilient and Sustainable Urban Development

5.2.4. Supporting action

Box 5.2 Examples of Incentives and
disincentives 5.2.4.1 Voluntary certification and labeling programs
Germany This instrument is mostly used for appliances than for
P Support for Passive House(PassivHaus) buildings. In the long run, mandatory labeling is more
• 100% mortgages at below base rate. effective as voluntary mode can allow for inefficient
• Grants at similar rates for renovation projects. appliances avoid labeling.
• Local & Regional councils often offer further The US Energy Star Program is one of the popular
incentives successful voluntary labeling programs with an
estimated cumulative savings of 833 Mt C02 eq. by
P Exempt from Ecological Tax: 2010(Gillingham et al 2006).
• Combined heat and electricity systems with
an efficiency rate of at least 70 percent. 5.2.4. 2. Voluntary Green Building assessment systems/rating
• Natural gas power plants which convert tools
at least 57.5 percent of the energy into Building assessment systems which look at the
electricity. overall sustainability aspects of a building are strong
• For electricity generated from renewable tools to motivate the building industry and market
sources. forces. Rating systems are evaluation tool to measure
environmental performance of a building through its
P Motivation for Green Roofs: life cycle. Rating systems are instrumental in raising
• In Munster 80% of the charges for storm awareness and popularizing green buildings. There
water fee is reduced are different rating systems/assessment systems in
• In Stuttgart there is annual budgetary different countries. For instance, Building Research
allocation for new and replaced roof as green Establishment Environmental Assessment Method
roof development for public buildings. It is (BREEAM) in the United Kingdom, Comprehensive
required by regulation that all flat and slightly Assessment System for Building Environmental
sloped roofs (up to 12 degrees) of new Efficiency (CASBEE) in Japan, Leadership in Energy
development to be extensively greened to and Environmental Design (LEED) (developed and
certain standards. piloted in the U.S, now popular in many countries
including India), Hong Kong Building Environmental
P Loans for energy efficient buildings from KfW
Assessment Method (HK-BEAM) in Hong Kong,
• Kreditanstalt für Wiederaufbau (KfW)
Green Rating for Integrated Habitat Assessment
supports renovations in buildings with
(GRIHA) in India.
the aim of improved energy performance.
Loans are available for renovations and 5.2.4.3. Awareness raising, education and information campaigns
new constructions that meet the stipulated
This is a very important tool and act as a supplement
standards and can go up to75.000 Euro and
with any/combination of other policy instruments
are interest rate free during the first year.
to achieve the desired objectives. Public information
United Kingdom campaigns are designed to change individual
P Electricity generated by renewable means is behaviors, knowledge, attitudes. Such tools are more
exempt from the Climate Change Levy effective in residential sector, where other regulatory
P Photovoltaic rebate of 40-60% tools are not so effective. To create market pull, basic
P Bio-energy capital grant scheme between consumer understanding about the significance and
25000-1 million GBP. benefits of building ‘green’, both economically and
P Energy Supplier Green Energy Funds giving environmentally is very important. California, US
feasibility funds between 5000-30000 GBP had a very successful information campaign called
‘Flex your power’ in 2001 to reduce peak demand
and enable energy savings. With the help of media
advertisements, provision of toolkits to teachers,

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 Green buildings: a policy perspective

partnerships with businesses, special events with

manufacturers, the programme managed to reduce Box 5.3 Energy savings potential for fast
8.9% of peak demand and 6.7% of energy consumption growing urban settlements- Mumbai
(Bender et al, 2004). The assessment on future energy saving potential for the
fast growing Mumbai city focuses on energy efficiency for
5.3 Policy tools and instruments: Indian the residential sector in the city and in particular on the
scenario reduction in electricity demand when efficient labelled
Though India is not legally bound to a specific limit appliances for visual and thermal comfort are introduced
on energy related carbon emissions, the country is in new households. The research findings indicate that
committed to “achieving national growth objectives the total energy savings until 2025 are approximately 7.8
through a qualitative change in direction that TWh, and represent 1.6 years of base year consumption.
enhances ecological sustainability, leading to further It is also found that the demand side energy consumption
mitigation of greenhouse gas emissions” (NAPCC, would reduce by 11.8% by 2025 if use of highest rated
2008). Various initiatives of the Indian government CFLs, fans and air conditioners is mandatory by 2011(Zai-
are described briefly as follows. na. D. and T E R I, 2010).

5.3.1 Standards and Labelling Scheme

envelopes, mechanical systems and equipment,
The Bureau of Energy Efficiency (BEE), a statutory
including heating, ventilation and air conditioning
body under the Ministry of Power, Government of
(HVAC) system, interior and exterior lighting system,
India has several programs which target high energy
service hot water, electrical power and motors.
end use equipments and appliances to lay down
Under section 14 (p) of the Energy Conservation
minimum energy performance standards. Energy
Act, 2001, Central Government has powers to
labelling on voluntary basis was launched in May
prescribe ECBC for commercial buildings (at present
2006 and currently applies to equipments/appliances
having a connected load of 500kW or contract demand
(Frost Free refrigerator, Tubular Fluorescent Lamps,
of 600kVA) or building complex for efficient use of
Room Air Conditioners, Direct Cool Refrigerator,
energy and its conservation. State governments
Distribution Transformer, Induction Motors, Pump
have the flexibility to modify ECBC to suit local or
Sets, Ceiling Fans, LPG, Electric Geysers and Colour
regional needs. The ECBC is presently voluntary but
TV). Each appliance is ranked on a scale of five stars,
is expected to be made mandatory in future. In order
with more stars indicating higher efficiency and more
to mainstream compliance with ECBC, the BEE has
power savings – thus the program motto of “More
taken several initiatives.
Stars, More Savings”. The labels provide information
P ECBC shall be mandated in eight states of India,
about the energy consumption of an appliance, and
namely, Delhi, Haryana, Maharashtra, Andhra
thus enable consumers to make informed decisions.
Pradesh, Tamil Nadu, West Bengal, Gujarat and
The benchmark for energy performance of appliances
Uttar Pradesh by 2012 .
is reviewed periodically by the BEE and so far,
P Extensive training of architects, engineers and
progressive standards for various appliances have
consultants is being undertaken by the BEE across
been established up to 2015 (Box 5.3).
India.

5.3.2. Energy Conservation Building Code 2007

According to BEE figures, an ECBC compliant
The Energy Conservation Act 2001 provides for building uses 110 kWh/m2/year as compared to
the establishment of state energy conservation the national benchmark of 180 kWh/m2/year. To
agencies to plan and execute programs. The Act led encourage adherence to ECBC code, the BEE has
to the formation of Bureau of Energy Efficiency that supported the following activities in Government/
started the formulation of the Energy Conservation Public Sector buildings:
Building Code (ECBC). The objective of the ECBC P Ministry of Health and Family Welfare – Ministry
is to reduce the baseline energy consumption by of Health and Family Welfare is developing six All
setting minimum energy performance standards India Institute for Medical Sciences (AIIMS) like
for commercial buildings, including for building

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Climate Resilient and Sustainable Urban Development

institutions under the “Pradhan Mantri Swasthiya

Box 5.4 Sustainable building- Centre for
Yojana”(PMSSY) scheme at Bhopal, Jodhpur,
Environmental Sciences and Engineering at IIT
Rishikesh, Patna, Bhubanshewar and Raipur.
Kanpur
These are being developed as ECBC compliant
buildings. BEE is providing assistance to them Centre for Environmental Sciences and Engineering at IIT
through their empanelled ECBC expert architects. Kanpur is the first 5 star GRIHA rated building, in which an
P National Thermal Power Corporation - BEE integrated approach has been adopted to comply with the
is providing assistance to NTPC for their design, construction and operation guidelines set forth by
Administrative cum Lab Building of Energy GRIHA. Quantitative and qualitative measures have been
Technologies at Greater Noida for being compliant incorporated to achieve and surpass GRIHA established
to ECBC. The expert architect is providing performance benchmarks for key resources such as energy
suggestions on their existing plans for building and water. Building design and envelope has been optimised
envelope, electrical systems, HVAC and lighting through selection of appropriate wall and roof construc-
to meet with the code requirement to the extent tion and thorough adoption of solar passive measures and
possible. integration of shading devices for windows and roof, which
P The Government of Delhi has approved mandatory reduce energy demand to condition the spaces. The energy
implementation of ECBC in government buildings/ performance index has improved from an initial of 240kWh/
building complexes (new construction) including m2 per annum to 98kWh/m2 per annum, registering an
energy savings of 58% through GRIHA compliance UNEP-
buildings/building complexes of municipalities/
TERI (2010).
local bodies, boards, corporations, government
aided institutions and other autonomous bodies
of the city government. developed to rate commercial, institutional and
P Further, the National Mission on Sustainable residential buildings in India emphasizing national
Habitat, which is a part of the National Action environmental concerns, regional climatic conditions,
Plan on Climate Change released by the Prime and indigenous solutions. It integrates all relevant
Minister’s Council on Climate Change, emphasises Indian codes and standards for buildings and acts as
promotion of energy efficiency in the residential a tool to facilitate implementation of the same. From
and commercial sectors through the extension of January 2010, it is mandatory for all government and
the Energy Conservation Building Code (ECBC), public sector undertakings (PSUs) to make future
use of energy efficient appliances and creation of buildings compliant with GRIHA.
mechanisms that would help finance demand side Various GRIHA compliant projects that integrate
management; providing further impetus to the appropriate design measures for the building
policy initiative. envelope, integration of day lighting with artificial
lighting, use of efficient air conditioning systems, use
5.3.3 Green Rating for Integrated Habitat Assessment of controls and integration of passive strategies have
Endorsed by the MNRE, Green Rating for Integrated registered energy savings up to 60%.
Habitat Assessment (GRIHA) is a five star rating
system for green buildings which emphasises passive 5.3.4 Scheme for star rating of office buildings
solar techniques for optimizing indoor visual and In order to accelerate the Energy Efficiency activities
thermal comfort encourages the use of refrigeration- in commercial buildings, the Bureau of Energy
based and energy-demanding air conditioning efficiency (BEE) has developed the scheme for star
systems only in cases of extreme thermal discomfort. rating of buildings. The programme is based on actual
In order to address energy efficiency, GRIHA performance of the building, and rates office buildings
encourages optimisation of building design to reduce on a 1-5 star scale with 5-Star labelled buildings being
conventional energy demand and further optimise the most energy efficient. The Star rating Programme
energy performance of the building within specified provides public recognition to energy efficient
comfort limits (Box 5.4). A building is assessed on buildings, and creates a “demand side” pull for such
its predicted performance over its entire life cycle buildings. Buildings with a connected load of 500 kW
from inception through operation. GRIHA has been are considered for BEE star rating scheme.

46 Prepared by TERI for the UK Department for International Development-India

 Green buildings: a policy perspective

5.3.5 Development of building regulations and guide- Box 5.5 Development of Building Regulations
lines for energy efficiency and Guidelines for Energy Efficiency,
Various government agencies (at State and City level) Bengaluru (TERI University, 2009)
across the country have taken specific initiatives to
Bengaluru, the silicon valley of India is experiencing rapid
integrate energy efficiency guidelines in the exiting
growth in population. The power demand from the build-
bye-laws. Compliance with these guidelines by the
ings that house this population is resulting in rapid growth
building sector offers immense potential to avoid of energy demand in the metropolis. Demand is projected to
emissions. To name a few, Ahmedabad, Hyderabad, increase from 1850MW in 2010 to 3950MW in 2020. This
Kolkata, Haryana and Bengaluru have been proactive has thrown up the challenge of increasing energy efficiency
in integrating energy efficiency guidelines with in the city, a major part of which includes energy efficiency in
building byelaws (Box 5.5). its buildings. This is because buildings alone are major con-
tributors to energy consumption and energy efficient build-
5.3.6 Initiatives of the Ministry of New and Renewable ings provide huge opportunities for conservation of energy
Energy (MNRE) resources. The current building by-laws of Bangalore do not
cover all aspects of energy efficiency that are required to be
MNRE has initiated several programmes focusing
integrated in the built-environment of the city. Hence, TERI
on the utilisation of renewable energy sources University in partnership with a few other organisations has
in buildings. The MNRE has a solar buildings developed a framework to integrate energy-efficiency regula-
programme that provides financial support for the tions with the existing building by-laws of the city.
design and construction of energy efficient and solar The guidelines include aspects like solar passive design
passive buildings . Emphasis during the tenth five- for new buildings, roof treatment to reduce heat absorption by
year plan (2002-2007) was to provide central financial the buildings, installation of energy efficient lighting systems,
assistance for the development of efficient building use of equipment and appliances that are labeled by the Bu-
guidelines to be implemented by community housing reau of Energy Efficiency (BEE), solar water heating systems
development organizations or corporations and and mandatory energy audit. According to the framework,
to encourage the adoption of building integrated these guidelines should be integrated with existing building
bylaws as a mandatory requirement, technical guidelines de-
photovoltaics (BIPV).
signed for them and their benefits should be pointed out. This
The ministry has taken the following supportive
integration will help to convert the city into an energy-efficient
measures to promote the installation and use of solar
metropolis. It has been studied that mandatory integration of
water heating systems. energy efficiency requirements, benchmarks and renewable
P MNRE provides Central Financial Assistance energy within the existing building codes of Bengaluru - as
(CFA) at 50 % of the cost of Detailed Project Reports recommended by this project shall have significant impact
(DPR) for public or private institutional buildings on mitigating emissions from the building sector over time.
to a maximum of two lakh rupees, 50 % released Mandatory compliance with the energy efficiency guidelines
on completion of DPR and rest at beginning of (for the commercial built up area alone) starting from the end
construction. MNRE also covers 10 % of the cost of the current five year plan (i.e. by 2012) shall contribute to
of construction of public, governmental, or State reducing approximately 55% emissions in 2012 alone. The
Nodal Agencies’ buildings to a maximum of 50 specific energy efficiency guidelines recommended to avoid
lakh rupees, with 25 % released on commencement upto 55% of carbon emissions from the building sector in the
city of Bengaluru have been detailed around the following
of construction and rest dependent on progress.
broad strategies:
The goal was to construct 10 solar buildings in 8
P Solar passive design for new buildings;
states in 2006-2007 alone.
P Roof treatment to cut heat gains;
P The MNRE also provides financial support
P Window design for day lighting, ventilation and to reduce
for workshops, seminars, and orientation
solar heat gains;
courses related to solar buildings for engineers,
P Energy efficient lighting design; and
planners, builders, architects, housing financing
P Energy efficient HVAC design.
organizations, and potential house owners up

2
The projected demand has been validated through inputs received during stakeholder workshops held across various climatic
zones of India.

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Climate Resilient and Sustainable Urban Development

to two lakh rupees. MNRE funds publications systems, materials and products compliant with
of documents on solar building including the ECBC. Even though the ECBC is available for
popular literature, technical books and manuals, voluntary adoption by the commercial buildings,
promotional material in different languages, and its integration within the GRIHA framework and
award competitions, for up to two lakh rupees per mandatory compliance if the building project is
activity. GRIHA compliant has generated a pull and demand
P MNRE has partnered with the Center for for expertise on the code.
Innovation, Incubation and Entrepreneurship The BEE has set up discussion forums for
to implement the Solar Innovation Program, stakeholders associated with supply of various ECBC
which incorporates research and development of compliant materials and energy systems. Further,
technologies related to solar thermal, photovoltaics, ESCOs and energy auditors are currently being
and passive solar building design. The Solar accredited by the BEE in order to meet the demand
Innovation Program is essentially a competition generated for the specific professionals. As a part of
open to teams of entrepreneurs, researchers, and an ongoing project with the Asia Pacific Partnership
students to design new applications for solar for and the BEE, TERI has prepared an estimate of future
rural or urban areas within India. market demand for various building materials,
P In addition to states such as Haryana, West Bengal, lighting systems, HVAC systems and equipments that
Karnataka, Rajasthan, Uttaranchal, and Andhra would be required to mainstream ECBC compliant
Pradesh, cities such as Bangalore, Thane, Nagpur high performance commercial buildings in India. The
and Rajkot, solar water heating is mandatory/ findings of the study2 indicate:
incentivised for certain types of buildings. P Demand for various products such as wall and
P The MNRE has also launched and incentivised roof insulation, glass and efficient energy systems
GRIHA (Green Rating for Integrated Habitat is likely to rise significantly in future.
Assessment) as a national rating system. P ECBC compliant roof insulation is likely to rise
over 11 times from 2011 up to 2030.
5.3.7 Energy Auditing P ECBC compliant wall insulation and glass is likely
In March 2007, the conduct of energy audits was to rise over 2.5 times from 2011 up to 2030.
made mandatory in large energy consuming units P ECBC systems is likely to rise over 9 times 2011 up
in nine industrial sectors. These units, notified as to 2030.
“designated consumers” are also required to employ
“certified energy managers”, and report energy 5.4 Barriers and challenges
consumption and energy conservation data annually. Each of the above discussed policy instrument has its
BEE and the Central Public Works Department own advantages and challenges. Studies point that
(CPWD) have also partnered to train a team of a combination of regulatory and market tool, with a
energy audit consultants to perform audits of several well laid-out educational campaign is very effective
important government buildings and to contract the (Koeppel et al 2007; TERI, 2009). An integrated
implementation of the recommendations. They expect approach to building green buildings policies
annual savings of more than 30 GWh per year with to create both supply push and demand pull is
payback of less than two years. BEE has continued effective than any in isolation. For instance, building
the training and accreditation of new energy auditors codes “push” the market by creating the minimum
and has proposed to expand energy audits beyond performance requirements while incentives/tax
governmental buildings and to commercial and even exemption encourage compliance with code and
residential buildings. capacity building targeted at both the industry and
ECBC and its large scale adoption by the end-users help in overall implementation. Finding
building and construction industry through various the most effective set of policy tools for a country
strategies such as large scale awareness generation is challenging and influenced by the stage of
on the code, integration of ECBC within GRIHA and development, cultural factors, government efficacy,
integration of the code within the National Habitats industry development, etc. It is however, very
Mission has led to a market demand for energy difficult to quantitatively analyse the implication

48 Prepared by TERI for the UK Department for International Development-India

 Green buildings: a policy perspective

of such policy packages; though qualitatively such users do not know the significance, monetary and
evaluation has been attempted (Koeppel, et al, 2007). environmental benefits of green homes/offices;
Guiding the construction sector towards a greener architects, engineers and construction people are
and less energy intensive path by means of policy not trained during their education to cater to the
instruments has their own set of challenges and needs of green buildings, etc.
barriers as discussed below: P Political constraints: Selection of right policy
P Economic barrier: This is the commonest barrier tool and having the will to enforce requires strong
faced in developed and developing countries. political desire. There could also be possibilities of
Consumers either do not have the capacity to bear inter ministerial clash. Government might not be
the high up-front costs (developing countries) or interested in promoting green buildings or even
they don’t know/believe in benefits of energy/ if it knows the benefits there could be resistance
water efficiency investments. from builders lobby, industry people, etc., which
P Hidden costs/benefits: Green buildings also have therefore, requires a very strong motivation and
hidden costs and benefits which often remain grit to enforce the right policy tool in the right
hidden to end-user in the financial flows. For manner. Water tariffs, especially in developing
instance, transaction costs associated with green countries are highly subsidized/skewed (one of
building solutions, extended time duration, the prime reasons for over consumption/misuse)
incompatibility of technological solutions and government do not want to touch these in fear
especially in case of retrofits, etc. Similarly, of public resistance. Thus, political barrier
associated benefits such as healthier indoor and P Enforcement barriers: Policy instruments which
outdoor air-quality and its health/efficiency have the largest potential of making an impact
impacts remain unaccounted for as they are not such as building codes/energy codes, their
directly visible. enforcement is a big challenge. It requires details
P Market failures: Market failures that result in like compliance manuals, forms, compliance
split incentives, e.g. the ‘ developer-buyer’ split software, institutional capacities with well trained
where the developer invests extra efforts, money officials, effective monitoring and verification
and time to make a project green and has to sell system, and above all a strong political will for
the property without any extra premiums and implementation.
the buyer/end-user enjoys the benefit by paying
less for the energy and water bills and enjoying 5.5. Policy recommendations
a healthier environment; ‘tenant-landlord’ split With regard to these policy instruments, India is at a
where business tenants pay the energy bills but very interesting stage. Certain policy instruments have
landlords control the properties and associated already been put in place and others will roll out with
energy services. implementation plan of the ambitious Sustainable
P Behavioral constraints: Howsoever green/ Habitat Mission. To implement a combination of the
energy efficient/water efficient one may design a above mentioned policies, following is recommended
building, the net saving depends on the behavioral at National and State level:
pattern and lifestyles of end-users which is the
most difficult part to achieve. This is a challenge National level
faced by both developed as well as developing P A National Green Building policy which can be
countries. made a part of the National Urban Policy by the
P Information barriers: Lack of knowledge by Ministry of Urban Development. This will serve
various stakeholders including designers, as the guiding document for all the states to build
architects, engineers, construction people their own state specific Green Building policy and
and end-users is often a big hurdle both in model legislation.
developed and developing countries for wider P All new construction in all the Central
implementation of any green building/energy government Ministries and Public Sector Units are
efficiency program. This information barrier could already trying for green rating as per the recent
be different for different stakeholders such as end- Government Order. On similar lines all existing

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Climate Resilient and Sustainable Urban Development

buildings of Central government ministries should P Apart from these minimal mandatory
undergo energy and water audits and implement requirements, building certification system (e.g.,
the recommendations in a limited time frame. GRIHA) should be popularised to recognise high
performance buildings. Financial, Height and/
State level or density bonuses could be provided to all rated
P Each State should prepare a state specific Green buildings.
Building policy and to legislate the preparation P Benchmarking and certification of buildings at the
of Building bye laws incorporating principles of time of rental and sale should be put into place
Green Buildings by each Development Authority. and initially should be made mandatory for all
P The State should also issue a statutory order commercial buildings with a built-up area above
to make a mandatory provision that all public a certain range. To begin with, the certification
buildings to be built in future will be green system should be simple and just a quantitative
buildings (at least ECBC compliant) and to make a assessment of total energy consumption over the
plan for energy and water audits of all prominent year per square metre.
government buildings which should be retrofitted P Mandatory and subsidized audits (energy and
with energy and water conserving measures. water) for already existing public buildings,
P Procurement legislations for energy and water followed by high efficiency retrofit to make them
saving equipments, appliances, fixtures should be role model/ demonstration projects.
introduced for all public buildings in at least Class P Mandatory audits could be done for industrial
I and Class II cities by the State government. and commercial buildings above a certain built
P Each Development authority should amend up area and energy use.
the Building bye laws of municipalities and P Voluntary audits of other private buildings should
Corporation coming under their respective be incentivised through appropriate measures.
jurisdiction in a defined time frame. P Create a new wing in the local government
especially dedicated to ‘Green Buildings’ or convert
ULB level the existing units of “Energy Efficiency Cell”
P Building byelaws and codes need to be revised (wherever present) to a holistic “Sustainability
and rewritten at ULB level integrating aspects Cell”. This wing would take inputs from building
of Green buildings (stated in the earlier section) centers (wherever available), research centers,
and Energy Conservation and Building code and state designated agencies of new and renewable
various policies at the federal level. This should be energy besides giving building approval. The cell
done in consultation with all the stakeholders. would also get inputs from the Sustainability cell
P These regulations should include a combination at State level.
of mandatory rules and voluntary guidelines such P Builders: Builders are apprehensive of the
that minimum energy performance standards incremental cost they bear to build green buildings
should be compulsory for all new buildings with whose benefits automatically get transferred to the
flexibility in the ways to achieve the same. consumers. This could be overcome once there is
P A minimum energy performance/prescriptive enough demand in the market for green buildings
requirement should be made mandatory at least which is possible through market transformation
for commercial buildings and for high rise and big and a strong education and public outreach
residential buildings with a built up area greater program.
than some range.

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 Green buildings: a policy perspective

Table 5.1 Review Of Key Policy Instruments (Excluding Supportive Action)

Policy Estimated reduction in
Instrument Description Mode Leading examples CO2 emissions
Regulatory
Appliances/ Popular tool used in both developed Mandatory/ • Japan: Top Runner program very • Japan (estimated 31
equipment and developing countries; Shift the voluntary effective and innovative Mt CO2 in 2010)
distribution of energy-efficient models • US: Long history of appliance • US ( estimated
sold in the market upward by removing standards; first implemented by reduction of 108 Mt
the inefficient ones; Requires industry California state in 1974 CO2 from 1990-
involvement, testing procedures and • China (started in 1989; very extensive 1997)
protocols in terms of the number of appliances • China (estimated
and equipments covered) reduction of 250 Mt
CO2 in 10 years)

Buildings More effective if mandated; could Mandatory/ • U. K: 40% of new buildings comply
be prescriptive or performance voluntary • Japan (voluntary mode)
based; easier to implement for Singapore (mandatory)
new construction than for existing Germany: applicable for both new and
buildings; need legal framework, existing buildings
compliance infrastructure, skilled • India: voluntary code for new
staff; Need to be regularly updated construction (ECBC)
Procurement Effective tool where there is a large Mandatory/ • US: very effective through the Federal US (estimated 9-31 Mt
regulations share of public sector; needs to be voluntary Energy Management Program (FEMP) CO2 reduction in 2010)
well supported with legal framework, • Italy: It is mandatory for energy China (estimated 3.6 Mt
existence of other policy measures efficiency but still compliance is low CO2 reduction)
such as labelling • China: Introduced recently in 2004,
evaluation of the success rate not
available
• Mexico: Interesting case where federal
program failed but streamlined city
level initiatives in four municipalities
were successful
Certification Mandatory provision of information to Mandatory/ • EU: Energy Performance Directive
and labelling end users about the performance of voluntary requires obligatory energy certification
products and buildings of new and existing buildings
• China: Mandatory labelling for few
and voluntary for other appliances/
equipments
• India: voluntary program of BEE
appliance/equipment labelling
scheme
• Australia: Mandatory WELS (Water
efficiency labelling and standards)
scheme for water efficiency
Mandatory Could bring diverse results but Mandatory • US: RESNET(National standard US (estimated 22-30%
audit necessarily need to be combined for home energy audits) applies to savings)
programs with financial incentives and existing homes and quite successful
adequate capacity building; need in US with almost 1,00,000 homes
to be combined with effective annually getting upgraded as a result
implementation of recommendations of auditing
• India: Energy audits mandatory since
2007 for “designated consumers”
in large energy consuming units in
industrial sector

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Climate Resilient and Sustainable Urban Development

Policy Description Mode Leading examples Estimated reduction in

Instrument CO2 emissions
DSM Utility driven demand-side Mandatory/ US US ( estimated savings of
programs management programs are often voluntary 36.7 Mt of CO2 in 2000)
effective
They are often boosted by regulatory
incentives or mandatory charges
on electricity prices (public benefit
charges)
Economic and market-based
Energy It means a contractor guarantees Voluntary US: First and most successful US(estimated savings of
performance certain energy savings for a location country(comparison basis) in terms of 3.2 Mt CO2)
contracting/ over a specified period; implements energy performance contracting
ESCO support the appropriate measures and is China: Started in 1994-95 the program
paid from the estimated energy cost is mostly successful with few defaulters;
reductions; need a mature financial well supported program by the Federal
sector willing to lend for energy government; high potential of ESCO industry
efficiency projects, unsubsidized to grow further
energy prices and supportive legal, Brazil: ESCOs have been able to take
financial and business environments. advantage of financial
resources from electric power utilities,
developing projects for
utility customers as one means to meet
energy efficiency investment requirements
mandated by ANEEL, the national electric
power regulatory agency, under Brazil’s
public benefit wire-charge mechanism
Energy Tradable certificates for energy Voluntary Italy: Operational since January 2005 and Italy(In the first year
efficiency savings, often called “white the initial reports suggest high success rate of implementation,
certificate certificates”; have high institutional estimated savings of 1.3
/white costs; more suited for countries with Mt CO2)
certificate existing trading scheme for renewable
schemes energy
Fiscal and financial
Energy or Implemented as carbon or energy Mandatory Denmark, Finland and Poland have taxes Denmark (energy
carbon taxes taxes; reduce emissions in two ways based on carbon content of the fuel consumption in residential
by reducing the overall demand Germany and Norway have taxes based on sector reduced by 15%
and providing revenue base for energy use between 1977-1991)
reinvestment by the government in
green building programs
Price elasticity for energy should not
be low

52 Prepared by TERI for the UK Department for International Development-India

Prepared by TERI for the UK Department for International Development-India
 Mitigating the
CHAPTER 6
emissions from the urban
transport sector
Akshima Tejas Ghate and Malancha Chakraborty

Key messages 6.1 Background

Transport sector in most developing countries’
cities is experiencing an increasing share of personal
P Metropolitan cities in developing countries are fast motorized traffic, which has had impacts in terms
becoming one of the key drivers of economic growth, of increasing traffic congestions, travel times, road
which has resulted in increasing per capita income in accidents, pollution and most of all increasing
these cities. Increasing per capita incomes have had dependence on fossil energy. The increasing use of
direct impact in terms of growing motorization rates in fossil fuels in urban transport sector has resulted in
these cities, which has been the precursor to most of the rising GHG emissions. According to IPCC (2007), 95%
urban transport related challenges that these cities face. of the total energy used in transport sector globally
P It is expected that by 2020, the number of motor vehicles comes from a single fossil resource, petroleum. The
in the world will double from the present level and will sector was responsible for 23% of the world’s energy-
increase to about 1.3 billion, the fastest growth being in related GHG emissions (6.3 Gt) in 2004, about three
the growing cities of Latin America and Asia. quarters of which came from on-road vehicles. The
P Developing countries’ cities are experiencing an undesired share of non-OECD countries in the total global CO2
trend of declining share of public transport and non emissions from transport sector in 2004 was 36%. This
motorized transport. is expected to increase to 46% by 2030 if the current
P The current urban transportation situation in Indian cities trends of transport growth in these countries continue
is adopting a high energy and carbon intensive pathway (IPCC, 2007). According to the World Energy Outlook
as the share of personal modes is increasing rapidly and 2009, global energy-related CO2 emissions are
public transport and non-motorized transport shares are expected to increase to over 40Gt by 2030, of which
declining. emissions from transport sector would be around 9Gt
P Cities need to arrest their current pattern of transportation (more than one-fifth) despite significant mitigation
policies built into the reference scenario (ITF, 2010).
growth in order to bring down their CO2 emissions, which
The current trends of per capita increase in diesel and
calls for a shift of urban traffic movements to mass
gasoline consumption in transport sector of many
transport having least tail-pipe emissions and to non
developing countries indicate the beginning of this
motorized systems. Cities should adopt an ‘Avoid, Shift
trend (Figure 6.1).
and Improve’ approach in their transportation planning.
It is implicit that of all the transport sector
The main goals should be to:
emissions, cities represent a significant proportion
• Reduce utilization of personal modes of transport,
due to concentration of transportation activities within
• Increase usage of public transport and non motorized their administrative boundaries. It is estimated that
transport, and the on-road passenger transport activities in twenty
• Promote use of clean fuels and technologies in three million plus cities in India had a share of about
addition to properly maintaining the in-use vehicular 25% in country’s total on-road passenger transport
fleet. activities in 2001 (Ghate and Sundar, In press). A

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Climate Resilient and Sustainable Urban Development

Figure 6.1 Growth in per capita consumption of diesel and petrol in transport sector of select developing countries (World Bank indicators)

recent study conducted by World Bank in China Metropolitan cities are fast becoming one of the key
estimates that the urban transport sector of 17 select centres of economic growth, which has resulted in
Chinese cities contributed 54 Mt CO2 in 2006 (WB, increasing per capita income in these cities. Increasing
2009). According to the World Bank, the share of CO2 per capita incomes have had direct impact in terms
emissions and energy use by urban transport in China of growing motorization rates in these cities, which
is significant and likely to grow very rapidly. The has been the precursor to most of the urban transport
current shares of urban transport sector of developing related challenges that these cities face. Figure 6.2
cities in CO2 emissions are expected to increase very shows the vehicle ownership levels in a few developed
rapidly if the current trends of motorization continue. and developing countries of the world. It is evident
In the current era, when it is universally agreed that that with the increase in per capita income, vehicle
there is a need to bring down CO2 emissions in view ownership levels increase, a trend that is occurring
of the climate impacts it has, it becomes imperative to in most of the middle income developing countries
arrest the CO2 emissions from urban transport sector like South Africa, Brazil, Colombia, etc. Although
of developing countries’ cities. This calls for action vehicle ownership in these countries is low at present,
on part of cities to identify and implement mitigation it is observed that the motorization pattern in most
interventions that will reduce their transport sectors’ developing countries bears strong similarity to US,
impact on climate change. The paper discusses the which implies that cities in developing countries are
typical growth trends of developing countries’ cities, most likely to follow the mobility pattern similar to
with a focus on Indian cities and suggests mitigation that of cities in US (Acharya S R, 2005). It is expected
options to respond to these trends. that by 2020, the number of motor vehicles in the world
will double from the present level and will increase
6.2 An overview of urban transport sector in to about 1.3 billion1, the fastest growth being in the
developing countries’ cities growing cities of Latin America and Asia (Sperling
Developing countries of the world are experiencing and Clausen, 2000).
a very rapid pace of population growth, especially in Though Figure 6.2 does not include two wheelers;
the urban areas, which has put tremendous pressure but in the context of developing countries, the growing
on infrastructure services in these countries. The number of two wheelers is a phenomenon that cannot
growing concentration of population in a few large be ignored. Growing number of motorized two-
cities is a phenomenon typical to most countries. wheelers has been one of the main reasons for fast

1
This figure does not include motorized two-wheelers.

56 Prepared by TERI for the UK Department for International Development-India

 Mitigating the emissions from the urban transport sector

Figure 6.2 Motor vehicles2 and passenger cars per thousand population in select countries (World Bank Indicators and MoRTH, 2009)

motorization in developing countries. As an example, energy, a trend that needs to be arrested in order to
two wheeler population had a share of about 72% in reduce CO2 impact of the sector.
the total registered vehicular fleet of India in 2006. Cities need to arrest their current pattern of
The exponential growth in number of two-wheelers transportation growth in order to bring down their
in developing cities can be linked to the affordability CO2 emissions, which calls for a shift of urban traffic
levels of vehicles in these countries where middle movements to mass transport having least tail-pipe
income class has been expanding over time. Figure emissions and to non motorized systems. The main
6.3 depicts the two wheeler ownership levels in a few goals should be to:
developed and developing countries. Developing P Reduce utilization of personal modes of transport,
countries like India and China have already surpassed
many developed countries in terms of two-wheelers
per 1000 population, a trend that is fast catching up
with other developing countries also.
In addition to growing rate of motorization,
specifically, passenger cars and motorized
two-wheelers, developing countries’ cities are
experiencing an undesired trend of declining share of
public transport and non motorized transport (NMT).
According to ADB (2009), public transport shares
have been eroded by either motorized two wheelers
or cars in most developing cities. The current trends of
transport sector growth in most developing countries’ Figure 6.3 Two wheelers per thousand population in select
cities have resulted in increasing dependence on fossil countries (MoRTH, 2009)

2
Motor vehicles given in the figure include cars, buses and freight vehicles but do not include two-wheelers. Motor vehicles and
passenger cars ownership data for India is for 2006

Prepared by TERI for the UK Department for International Development-India 57

Climate Resilient and Sustainable Urban Development

Figure 6.4 Avoid, shift and improve approach for urban transport sector (Dalkmann and Brannigan, 2007 in ADB, 2009)

P Increase usage of public transport and non P Improve and augment public transport and non
motorized transport, and motorized transport systems (both in terms of
P Promote use of clean fuels and technologies capacity and quality)
in addition to properly maintaining the in-use P Discourage use of personal vehicles by using
vehicular fleet. appropriate policy and planning instruments
P Ensure efficient movement of traffic by
To achieve the above goals, cities need to adopt the implementing relevant traffic demand
‘Avoid, Shift, and Improve’ approach in transport management measures and technologies)
planning as advocated by the Asian Development P Other action areas
Bank (ADB, 2009) and reiterated by the Bellagio P Encourage use of clean fuels and technologies
Declaration3 in May 2009 (figure 6.4). The approach P Adopt mandatory standards for fuel economy and
focuses on: emissions
P Avoiding the need to travel (Avoid); P Ensure proper monitoring of the performance of
P Shifting travel to more sustainable modes (Shift); in-use vehicular fleets
or P Use information technology as substitute to
P Improving the sustainability of modes (Improve) physical mobility
(ADB, 2009).
A few cities have successfully implemented a few of
In line with the mitigation strategy that needs to be the above approaches, either with a generic goal to
adopted for transport sector in cities, following are improve their existing transport situation or a specific
the key action areas that cities need to: goal to reduce their CO2 emissions impact. A few
P Practice integrated transport and landuse planning global best practices are discussed in the next section.

3
http://www.slocat.net/bellagio-process/targets-and-progress/, last accessed on 18 July, 2010.

58 Prepared by TERI for the UK Department for International Development-India

 Mitigating the emissions from the urban transport sector

years ensures that the buses are in good conditions

6.3 Global best practices
and pollution level is under control. The integrated
The global best practices documented in this paper
transport network in Curitiba is managed by URBS
include initiatives by city authorities to improve
(Urbanizao de Curitiba), a state owned company
their urban transport situation. City authorities have
created in 1963. URBS monitors and coordinates
realized that the key solution to the current urban
the system, operates the bus lines and maintains the
transport problems is to arrest the declining rate of
infrastructure of the system. Consequetly, Curitiba
public transport share and reduce the utilization
ranks first in the use of public transport system among
of personal modes. Different cities have adopted
all the Brazilian state capitals, with 75% of commuters
different approaches to achieve this modal shift. These
using the system on weekdays . The fuel consumption
initiatives are citied as international best practices by
of Curitiba is 30% lower than the fuel consumption of
various researchers, organizations and governments
eight comparable Brazilian cities (TERI, 2009).
and are a model example to be followed by the other
cities. Few case studies that have been discussed in
6.3.2 Strategies to improve transport system in Bogota
this chapter include:
In the 1990s, Bogotá implemented effective programs
P Curitiba started practicing integrated transport
to simultaneously restrain vehicle ownership,
and landuse planning to achieve modal shifts.
improve conditions for walking and biking, and
P Bogota planned and successfully implemented
enhance bus transit. In the late 1990s, the government
a dedicated bus transport system, supported by
opened two lines of a planned 22-corridor bus rapid
demand management measures.
transit system (modeled after Curitiba’s), built 200
P Singapore adopted an integrated approach
kilometers of a planned 300-kilometer network of
to transport sector that focused on planning,
bike lanes, expanded numerous sidewalks, added
operation and management aspects.
a 17-kilometer pedestrian zone, and implemented
P London used a pricing tool (congestion pricing)
a number of demand management measures. Cars
to reduce the use of personal modes in the Central
with license plates ending with one of four numbers
Business District.
were not allowed to operate within Bogotá during
P Shanghai has developed integrated schemes to
the morning and evening peak, parking fees doubled,
develop public transport and NMT infrastructure
gasoline taxes were increased 20 percent, and bollards
in the city.
were built on sidewalks to prevent people from
parking illegally. All these measures were boosted
6.3.1Integrated transport and landuse planning in
by occasional car-free days, car-free Sundays, and
Curitiba
other promotional efforts. In the first four years, the
The transportation system of Curitiba began to evolve percentage of trips made by private cars and taxis
in the late 1960s with the formulation of the master dropped from 19.7 percent to 17.5 percent, and bike
plan for the city. The master plan of Curitiba focused trips increased from 0.5 percent to 4 percent of all trips
on integrated land-use and transport planning as a tool (Sperling and Clausen, 2000).
to meet the challenge of growing urban limits rather
than the policy of large scale highway construction 6.3.3 Singapore’s land transport policy
followed by most other Latin American cities.
The Land Transport Policy of the Ministry of
Road hierarchy and land control system, assigning
Transport, Singapore aims to develop a quality land
priorities to buses, and proper zoning laws were
transport system—one that would be integrated,
put into effect. Integrated systems with trunk and
efficient, affordable, with smooth flowing traffic,
feeder routes, express lines and inter-district routes
and which will meet people’s needs and support
were introduced in addition to night routes, special
economic and environmental goals. To meet this goal,
education routes and automatic combined ticketing.
the Ministry identified a four-pronged approach that
To increase convenience and boarding efficiency,
included the following.
Curitiba developed boarding tube stations and low
P Integrating land use and transport planning
floor buses with turbo engines and wider doors.
P Increasing public transport penetration
Regular maintenance and renewal of fleet in every ten
P Managing the demand and use of private vehicles

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Climate Resilient and Sustainable Urban Development

P Expanding the road network and optimizing road sidewalks for pedestrian traffic, and is building
capacity an extensive rapid transit rail system to serve new
satellite cities. Shanghai is executing an ambitious
A white paper prepared by the LTA (Land Transport plan to decentralize the extremely crowded city, with
Authority) in 1996, charted out the measures coordinated investments in rail transit and major
Singapore needed to take in order to have a world highways. Shanghai has adopted strong disincentives
class transport system. Buses were identified as the for car ownership, including high taxes on vehicles
major public transport in Singapore and recognizing and registration caps (Sperling and Clausen, 2000).
this, the LTA, together with the bus operators, made a
number of bus improvements, which included giving 6.4 Urban transport in India
priority to buses, offering differentiated services, As the transport demand in Indian cities has increased
providing services for new towns and settlements, substantially in the past few years, the intra-city
better information systems, better pedestrian access transport provision has been an important subject of
facilities, refurbishing bus stops with amenities like concern. Increasing number of personal motorized
drinking water, telephones, proper lighting, and so vehicles, increasing household incomes, and economic
on. In Singapore, the PTC (Public Transport Council) development in cities have added to this growing
regulates bus service standards, routes, and fares demand, which is usually larger than the available
while balancing the commuters’ interests with the capacity of transport infrastructure and systems and
need to remain financially viable. Singapore has been has led to problems like congestion, pollution, road
able to demonstrate a successful public transport injuries and fatalities, etc. The transport handicap in
system by simultaneously restraining the ownership Indian cities can be attributed to the shifting modal
and utilization of private vehicles by introducing the split in favour of personal vehicles and reduction
vehicle quota system and electronic road pricing, in the use of public transport system; inadequate
respectively (TERI, 2009). transport infrastructure and its inefficient use. In
2006, the twenty-three metropolitan cities in India,
6.3.4 Congestion Charge in London each with over one million population, accounted for
London suffered the worst traffic congestion in the about one-fourth of the total vehicles registered in the
UK. It was estimated that the city lost between £2-4 country. As indicated in figure 6.5, about 41% of the
million every week in terms of lost time caused by total cars and 23% of the two-wheelers in the country
congestion. The Mayor of London, who was appointed were registered in these metropolitan cities in 2006
in 2000, enacted a scheme to meet the travel demands (MoRTH). The public modes in most Indian cities,
of the city. He introduced the congestion charge in on the other hand constitute only 2-3% of the entire
2003, as a part of a wider, comprehensive transport vehicular fleet (TERI, 2008).
strategy. Payment of the charge allowed one to enter, Public transport system in Indian cities has not
drive within, and exit the charging zone. The aim been able to keep pace with the increasing demand
was to reduce traffic congestion and improve journey for urban transport. In most cities dedicated public
times by encouraging people to choose other forms of transport is absent and a combination of para-
transport if possible. All funds raised from congestion transit modes like jeeps, autos etc. acts as public
charging are spent on London’s transport facilities transport further accentuating the problems of heavy
(Ghate and Sundar, In press) atmospheric pollution, congestion, high costs, higher
energy consumption and safety. The bus services
6.3.5 Transport planning in Shanghai in urban areas are either run by publicly owned
Shanghai has a sophisticated planning organization State Transport Undertakings (STUs) or private bus
that coordinates transportation decisions with other operators. Whereas dedicated city bus services are
land use and city planning policies. The municipal known to operate only in 17 cities; rail transit exists
government has considerable control over land use only in 4 out of 35 cities with population in excess
and can coordinate housing and transit investments. It of one million (Singh S.K, 2005). Inadequacy, poor
has built grade-separated lanes for bicycles and slow- condition, overcrowding, of public transport system
moving scooters along most major roads and separate has resulted in shift of passengers from public

60 Prepared by TERI for the UK Department for International Development-India

 Mitigating the emissions from the urban transport sector

Figure 6.5 Comparison of share of vehicles registered in metropolitan cities with the rest of the country in 2006 (MoRTH, 2009).

transport to either two-wheelers or cars or various planning in all cities so that travel distances are
other modes of intermediate public transport (three minimized and access to livelihoods, education,
wheelers auto-rickshaws and taxis). This trend has and other social needs, especially for the marginal
been a major cause of most of the transport related segments of the urban population is improved
problems in Indian cities. There have been a few P Bringing about a more equitable allocation of road
initiatives on part of the government and urban space with people, rather than vehicles, as its main
authorities to improve the current state of transport in focus
cities. A few good examples pertaining to policies and P Encouraging greater use of public transport and
projects being implemented in India are discussed in non-motorized modes
this section. P Enabling the establishment of quality focused
multi-modal public transport systems that are
6.4.1 National Urban Transport Policy, India well integrated, providing seamless travel across
The Government of India announced a National modes
Urban Transport Policy (NUTP) in 2006 to meet the P Establishing institutional mechanisms for
challenge of India’s rapid urbanization phenomena enhanced coordination in the planning and
and the resultant increase in the urban travel demand. management of transport systems
The policy aims at meeting the mobility needs of P Introducing Intelligent Transport Systems for
the current and projected population and ensuring traffic management
sustained flow of goods and people in urban areas. P Reducing pollution levels through changes in
Some key objectives of the policy are listed below travelling practices, better enforcement, stricter
(GoI, 2006): norms, technological improvements, etc.
P Incorporating urban transportation as an P Building capacity (institutional and manpower)
important parameter at the urban planning stage to plan for sustainable urban transport and
rather than being a consequential requirement establishing knowledge management system that
P Encouraging integrated land use and transport would service the needs of all urban transport

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Climate Resilient and Sustainable Urban Development

professionals, such as planners, researchers, sector in order to respond to the growing challenges
teachers, students, etc in the sector (GoI, 2008).
P Promoting the use of cleaner technologies
6.4.4 Traffic and transportation planning and BRT in
6.4.2 Jawaharlal Nehru National Urban Renewal Indore
Mission Indore is a fast growing industrial city of Madhya
The Government of India launched the Jawaharlal Pradesh with a population size of about 1.6 million
Nehru National Urban Renewal Mission (JNNURM) in 2001. Like any other metropolitan city, Indore is
in 2005, which aimed to rejuvenate the urban milieu facing the challenges of growing urban population
through implementation of a number of projects and the resultant transport demand. In line with the
with active private sector participation. Cities with objectives of the National Urban Transport Policy,
million-plus population, state capitals, and cities of a Comprehensive Traffic and Transportation Plan
cultural and tourist importance were to be included for Indore (CTTPI) was prepared in 2004 with a
under the Mission. This major initiative sought to focus on planning for a public transport system that
bring about comprehensive improvements in urban meets the increasing travel demands of the city in an
infrastructure, by commitment of substantial funds efficient, convenient, safe and economical manner.
for this purpose and required a series of reforms that The plan has proposed development of an extensive
would make the investments sustainable. Some of the road network system of radial and ring corridors,
policy objectives in the NUTP are being realized as development and operation of Light Rail Transit
proposals and projects under the Jawaharlal Nehru System, development and operation of bus system,
Urban Renewal Mission (JNNURM), which has development of passenger and goods terminals, a
selected 63 cities in India and is implementing an parking policy, traffic management particularly in
urban reforms agenda of which urban transport is a the CBD and establishment of metropolitan transport
component (GoI, 2006 and GoI, 2005) authority.
Indore City Transport Services Ltd (ICTSL) has
6.4.3 National Action Plan on Climate Change’s Mis- been established as a Special Purpose Vehicle (SPV) to
sion on Sustainable Habitat provide the public transport services in Indore. ICTSL
The Prime Minister’s National Action Plan on is also developing a Bus Rapid Transit System (BRTS)
Climate Change (NAPCC) outlines desired actions in the city. A pilot corridor has started functioning with
within the transport sector that would influence approximately 1000 buses operating on the corridor
energy efficiency and would help reduce transport every day. It is planned that the existing bus service of
emissions. National Mission on Sustainable Habitat ICTSL will operate on BRTS corridors along with the
in NAPCC emphasizes the need for a modal shift New High Capacity Buses with certain modifications.
towards public transport and better urban planning Special low floor buses are being used, which are
for reducing the need to travel and to shorten travel convenient for people to board; are accessible to the
distances The Mission suggests setting up of Unified physically challenged and assure level boarding.
Metropolitan Transport Authorities in all million An optimum fare structure has been evolved to
plus cities, besides setting up of Traffic Information provide equitable access to poor and to make BRTS
Management Control Centres in all million plus cities more attractive to the upper middle class as against
for better traffic management to reduce congestion their personal vehicles. ICTSL has come out with a
and idling of vehicles. The mission supports granting business model for collection of fares using Smart
financial assistance on the basis of reform based cards. Overall the pilot corridor and other upcoming
agenda like that of JNNURM. It proposes similar corridors of BRTS in Indore are well planned and
dedicated central urban transport fund through levy coordinated by a single agency i.e. ICTSL. Other
of cess on private vehicles and fuels and then direct important features of the system include Passenger
the funds to states and cities to implement transport Information System, well-managed common
related reforms. The mission also advocates the need infrastructure, security services, common ticketing
for capacity building measures in urban transport facilities, etc. The sources of revenue for the entire

62 Prepared by TERI for the UK Department for International Development-India

 Mitigating the emissions from the urban transport sector

system include fare-box collection, advertising right doors, low floor, 90 persons capacity and clean fuel
along the corridors and on the buses, parking charges Euro-III Standard. The BRTS also has features like an
and revenue through multi application of smart cards Intelligent Transport System, viz. operations control,
(Indore City Transport Services Ltd, 2006). automatic vehicle tracking system, electronic fare
collection, real-time passenger information systems
6.4.5 Delhi Metro and traffic management. All these elements are
The Delhi Metro Rail project, comprising of two phases classified as high-end, making Janmarg the first full
of approx. 65 km and 124 km respectively, of at-grade, BRT system in India. Ahmedabad BRT has received
elevated and underground trains, is an example prestigious (international) Sustainable Transport
of a world class technology being implemented Award 2010 during TRB, US Conference besides a
successfully in an Indian city. The system consisting National Award for best mass transit project in India
of automated fare collection machines, passenger in 2009 during Urban Mobility India Conference4.
information systems, feeder services and state-of the-
art operating technologies, was awarded the best transit 6.4.7 CNG in Delhi
project by MoUD for its planning, implementation During the 1990s Delhi was declared as one of the
and maintenance practices. It was also awarded as the most polluted cities in the world. Not only were the
best environmental friendly project by the Ministry. complaints of respiratory diseases in Delhi rising but
Delhi Metro became the first railway project in the the pollution was becoming visible too. The SPM
world to be registered at the United Nations under levels in the city had recorded to as high as 7.6 times
the clean development mechanism (CDM) scheme, the permissible limits by the year 1998. It was realized
enabling it to earn carbon credits. The Delhi Metro Rail that the sulphur content in diesel, if reduced could
Corporation will earn Certified Emission Reductions lead to a decrease in the level of emission to a great
(CERs) for use of regenerative braking system in its deal. On the other hand, though, in India, the diesel
rolling stock (trains). The money from sale of CERs consumption had grown by nearly 70% between
will be used to offset additional investment and 1990 and 1997. After the launch of ‘Right to Clean Air
operation costs incurred in implementing the project Campaign of the Centre for Environment (CSE) and
activity, to stimulate research and development to subsequent pressure from public and the civil society;
reduce emission of green house gases and to give The Supreme Court of India took’ suo-moto’ note of
extensive training to train operators for optimum the situation and asked the Government for an action.
regeneration (Annual Report 2008-09, Ministry of The Supreme Court of India in 1998 issued a
Urban Development, Government of India). number of measures to be implemented in Delhi.
These measures among others included:
6.4.6 Ahmedabad BRTS “Janmarg” P Replacing all pre-1990 autos and taxis with new
Ahmedabad is in the process of creating a complete vehicles using clean fuels by March 2000
BRT system, called “Janmarg”, which will match P Replacing all buses more than eight years old to
the international standards of a BRT system. It will CNG or other clean fuels by March 2000
connect the central city with outlying industrial, P Converting the entire city bus fleet to CNG by
institutional and residential areas through a network March 2001.
of over 88 kms. Key features of this project including:
P Overall length - 88 km (to be covered in two phases) The initial protest by the politicians and auto-
P Furnish of 4 minutes through peak hours manufactures (anti CNG lobby) was nipped by the
P Average speed of buses - 26-28 km per hour Supreme Court of India by imposing a fine on delay
P Number of buses operating per day - 23 (Rs 500 per bus per day). It also charged a penalty
P Total passengers per day more than 36 thousand. of Rs 20,000 on the Union Government for failing to
ensure supply of CNG. The Government set up two
The system has focussed on all traffic, vehicle and user committees to ensure uninterrupted supply of CNG
related aspects, and includes buses with wide central and prepared an action plan to ensure inspection of all

4
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Climate Resilient and Sustainable Urban Development

CNG retrofitted buses and supported to implement P Integrated transport planning needs to be practiced
the CNG conversion. By end of year 2002, all buses in in the cities. The National Urban Transport Policy
Delhi had been converted to CNG (MoEF, 2010). encourages state governments to adopt transport
policies in consonance with the NUTP. It also calls
6.5 Way forward for Indian cities upon state governments to discourage the use of
The current urban transportation situation in Indian personal vehicles and increase the share of public
cities is adopting a high energy intensive pathway as transport. The JNNURM has made funding for
the share of personal modes is increasing rapidly and transport projects in cities conditional upon the
public transport and NMT shares are declining. Cities proposals being in conformity with the NUTP.
are faced with numerous challenges like increasing There is a need to ensure the right implementation
population, vehicle ownership levels, sprawls, and of NUTP and JNNURM funding.
travel demands that need to be addressed in the P Measures that discourage the use of personal
most energy efficient way. Cities need to respond motor vehicles would have to go hand–in-hand
to these challenges through a combination of urban with measures that encourage the use of non-
planning, infrastructure, policy and technological motorized modes, as they are “greener” modes
interventions, which can be effective in altering the of travel. All safety concerns of cyclists and
current path of transport development and make it pedestrians have to be addressed by encouraging
less energy intensive and more sustainable. Most the construction of segregated rights of way for
of the best practices discussed in the paper indicate bicycles and pedestrians. This can be done by (i)
that modal shift as a result of integrated transport investing in a segregated right of way for bicycles
planning, improved public transport and reduced and pedestrians; (ii) converting crowded areas
use of personal vehicles has a significant impact on like marketplaces into no-vehicle zones; (iii)
reducing energy use and CO2 emissions. However, improving bicycle technology; (iv) providing
such best practices are very few in case of Indian cities. safer parking facilities for bicycles in workplaces;
Cities in India, therefore, need to adopt an ‘Avoid, and finally, (v) promoting cycling and walking as
Shift and Improve’ approach in their transportation healthy activities (TERI, 2007).
planning. They need to plan appropriate interventions P Institutional arrangements for dealing with urban
to reduce reliance on personal vehicles, make them transport are fragmented between ministries.
more fuel-efficient and increase the share of public The Ministry of Road Transport And Highways
transport and non-motorized transport that will lead is responsible for administering the laws relating
to a significant reduction in energy consumption. to public transport and laying down emission
Way forward for transport sector in Indian cities is standards; the Ministry of Urban Development
recommended below: has formulated the NUTP and is responsible for
promoting sustainable urban transport and the
Necessary city-level interventions Ministry of Heavy Industry is responsible for
P The focus of development in urban transport the automobile industry. All three ministries
should be on increasing shares of public transport have suggested/laid down policies that will help
trips as they are more clean, energy efficient and to discourage the use of personal vehicles and
socially integrating. Owning and driving personal promote public transport. However, these are not
vehicles should be made difficult using fiscal being implemented in an integrated manner. There
instruments (congestion charges, high parking is a need for a unified system where various facets
fee, tolls, etc.) and at the same time the quality of transport like planning, pricing, operations,
of public transport facilities should be improved management, enforcement, etc. are dealt together.
significantly in order to attract the personal vehicle The concept of Unified Metropolitan Transport
users. Authority (UMTA) for overseeing all activities

64 Prepared by TERI for the UK Department for International Development-India

 Mitigating the emissions from the urban transport sector

related to urban transport in a city should be P Old vehicles (personal and commercial) need to
encouraged. be phased out by subsidizing the scrapping of old
vehicles.
Necessary interventions at National level P Private investment in public transport should
Other recommendations for reducing impact of urban be encouraged by amending the laws relating to
transport on climate change include: public transport.
P There is need to establish fuel economy standards P Roadmap for emission standards after 2010 needs
in the country as many studies have shown that the to be laid out immediately.
introduction of fuel economy standards will result
in a significant reduction in energy consumption. The recommendations discussed above can go a long
The US, Europe, Japan, China and Mexico have way in reducing the energy consumption and resultant
mandated fuel economy standards while India is CO2 emissions from transport sector of Indian cities.
yet to do so. These standards are achievable and There is a need to develop a detailed and integrated
need to be introduced immediately. strategy for urban transport sector, which is in line
P Promotion of clean alternative fuels and with NUTP, NAPCC and other sustainable mobility
technologies like biofuels, hybrid vehicles, electric principles. This strategy needs to be implemented by
vehicles etc. by subsidizing the introduction of developing integrated institutional mechanisms and
these technologies. capacities in the cities.
P A well established mechanism for periodic
inspection and maintenance of in use vehicles has
to be put in place.

Prepared by TERI for the UK Department for International Development-India 65

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 Glossary

Adaptation Geographic Information Systems

Adjustments in ecological, social, or economic systems Software used to store, analyse, manage and present
in response to actual or expected climatic stimuli data in its geographic and spatial context.
and their effects or impacts. It refers to changes in
processes, practices, and structures to moderate Green buildings
potential damages or to benefit from opportunities Green buildings entail promotion of energy efficiency,
associated with climate change. land sustainability, water efficiency, resources
efficiency and better building environment. They
Climate are designed to minimize the total environmental
Climate is described in terms of the mean and impact of the materials, construction, operation and
variability of temperature, precipitation and wind deconstruction while maximizing opportunities
over a period of time, ranging from months to millions for indoor environmental quality and performance;
of years saving money, reducing waste, increasing worker
productivity and creating healthier environment for
Climate variability people to live and work.
Climate variability refers to variations in the mean state
and other statistics (standard deviations, occurrence Hazards
of extremes, etc.) of climate on all spatial and temporal A potentially damaging physical event, phenomenon
scales beyond that of individual weather events. or human activity that may cause the loss of life
or injury, property damage, social and economic
Climate change disruption or environmental degradation.
Climate change refers to a “change in the state of the
climate that can be identified (e.g., by using statistical Integrated Urban Planning
tests) by changes in the mean and/or the variability Integrated Urban Planning entails comprehensive
of its properties, and that persists for an extended spatial planning across sectors, which takes a holistic
period, typically decades or longer. approach towards improving a city.

Disasters Low-carbon development

A serious disruption of the functioning of a community A strategy for development that doesn’t rely on
or a society causing widespread human, material, carbon emission processes and promotes the use of
economic or environmental losses which exceed the non-fossil fuels.
ability of the affected community or society to cope
using its own resources.
Climate Resilient and Sustainable Urban Development

Light Detection and Ranging (LIDAR) by the degree to which the social system is capable of
A remote sensing technology that measures properties organizing itself to increase its capacity for learning
of scattered light to find the range of a distant object from past disasters for better future protection and to
by emitting laser pulses and calculating its reflection. improve risk reduction measures.

Mainstreaming Risk
Integration of climate change related policies and The probability of harmful consequences, or expected
measures into developmental planning process and losses (deaths, injuries, property, livelihoods, economic
decision-making. activity disrupted or environment damaged) resulting
from interactions between natural or human-induced
Mitigation hazards and vulnerable conditions
Human interventions to reduce the sources or enhance
the sinks of greenhouse gases Sustainable city
A city where achievements in social, economic, and
Public-Private Partnerships physical development are made to last and it has a
A service or venture which is funded and operated lasting supply of the natural resources on which its
through a partnership between the government and development depends (using them only at a level of
private sector actors. sustainable yield).

Resilience Urban sustainability

The capacity of a system, community or society The capacity of cities to endure change while
potentially exposed to hazards to adapt, by resisting or promoting integrated resource use that aims to meet
changing in order to reach and maintain an acceptable human needs while preserving the environment and
level of functioning and structure. This is determined promoting improved quality of life.

74 Prepared by TERI for the UK Department for International Development-India