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Key findings from applying a future proofing approach in Bangalore and Madurai

Atkins in partnership with

IndIan CItIesDecember 2014

noticeWS Atkins International Ltd assumes no responsibility to any other party in respect of or arising out of or in connection with this document and/or its contents.

This document is an output from a project funded by the UK Department for International Development (DFID) and the Netherlands Directorate-General for International Cooperation (DGIS) for the benefit of developing countries. However, the views expressed and information contained in it are not necessarily those of or endorsed by DFID, DGIS or the entities managing the delivery of the Climate and Development Knowledge Network*, which can accept no responsibility or liability for such views, completeness or accuracy of the information or for any reliance placed on them.

© 2014, All rights reserved

* The Climate and Development Knowledge Network (“CDKN”) is a project funded by the UK Department for International Development and the Netherlands Directorate-General for International Cooperation (DGIS) and is led and administered by PricewaterhouseCoopers LLP. Management of the delivery of CDKN is undertaken by PricewaterhouseCoopers LLP, and an alliance of organisations including Fundación Futuro Latinoamericano, INTRAC, LEAD International, the Overseas Development Institute, and SouthSouthNorth.

acknowledgements We would like to thank the teams within Madurai Municipal Corporation for their immense support and assistance without which this report would not be possible. We would particularly like to thank Dr. Kathiravan Chinnathambi (IAS), Mr Mathuram (MMC) and the participants in the workshops held in Chennai and Madurai for their feedback and support during the development of this report. We would also like to thank the Mr Phanindra Reddy (IAS) and participants at the State level round tables held in Chennai August 2013 and November 2014.

This project was financed by the Climate Development Knowledge Network. The authors wish to thank CDKN and other stakeholders who were consulted in the preparation of this report for their comments, suggestion and insights. In Bangalore we would like to thank H.M. Ravindra Deputy Chief Engineer and S.M. Ramakrishna Additional Chief Engineer (Revenue) Bangalore Water Supply and Sewerage Board (BWSSB) as well as participants who agreed to be interviewed and take part in the roundtable workshop meetings.


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about the project partners

atkinsAtkins is one of the world’s leading infrastructure and design companies, with the depth and breadth of technical expertise to respond to the world’s most complex infrastructure and environmental challenges. These include responding to the increasing rate of urbanisation and the urgent transition to a low carbon economy. Atkins works with municipal authorities, national and regional government, development agencies, private sector companies, and other stakeholders to develop and implement strategic plans and investment projects to shape and manage the future growth of cities. With over 17,000 employees worldwide, Atkins is able to bring together its technical knowledge across a wide range of disciplines such as transport, water, energy, design, architecture, climate science, ecology, planning, and economics to help cities and those investing in them to act upon the long term opportunities and challenges of resource use and a changing climate. Our international work spans Africa, Asia, Europe, the Middle East and North America. Through our ‘Carbon Critical’ initiative Atkins has developed a range of bespoke tools to reduce the carbon emissions associated with major urban infrastructure programmes including a low carbon masterplanning tool to reduce city carbon footprints.

University College London: development Planning UnitUCL is one of only three UK universities in the top 20 in the 2011 Shanghai Jiao Tong world rankings, and in the latest research assessment exercise UCL was rated third overall in the UK after Oxford and Cambridge. The Bartlett Development Planning Unit (DPU) is internationally recognised for its academic and professional contributions in relation to city development in the developing world in active collaboration with partner institutions and researchers in the Global South. It is concerned with promoting sustainable forms of development, understanding rapid urbanisation and encouraging innovation in the policy, planning and management responses to the economic, social and environmental development of urban areas, giving emphasis to social justice, participatory local governance and poverty reduction. The key distinctive features of the DPU are its commitment to action research and its focus on rapidly urbanising areas in the developing world. The DPU maintains a wide network of partner organisations in Latin America and the Caribbean, Africa and South and Southeast Asia working on sustainable cities.

IIHsThe Indian Institute for Human Settlements (IIHS), based in Bangalore, is a national education institution committed to the equitable, sustainable and efficient transformation of Indian settlements. IIHS aims to establish an independently funded and managed National University for Research and Innovation focused on the challenges and opportunities of India’s urban transition. IIHS has also been designated a National Resource Centre (NRC) by the Ministry of Housing and Urban Poverty Alleviation.

dHan Foundation The Development of Humane Action (DHAN) Foundation is a professional development organisation founded in 1997. It brings highly motivated, educated young women and men to the development sector, to focus on the mission of Building people and institutions for development innovations and scaling up to enable the poor communities for poverty reduction and self-reliance. The work of DHAN is rooted in values, such as Grassroots action, Collaboration, Enabling, Innovation, Excellence, and Self-Regulation. DHAN’s purpose includes the promotion of new ideas on development themes such as microfinance, small scale irrigation, dry land agriculture, and working with Panchayats; ensuring that quality benefits reach a large number of poor; and providing the opportunity for young professionals in the development sector to practice and develop relevant knowledge, attitudes and skills needed for long term work.


Future Proofing Indian Cities – Final Report | i

Contents

00 Glossary and abbreviations iii

01 IntrodUCIng FUtUre ProoFIng Introduction 03

Future proofing cities 05

Introduction to Madurai 07

Introduction to Bangalore 09

02 FUtUre ProoFIng ProCess Doing things differently 12

Action planning 15

The opportunity 16

Action planning process 18

03 MULtI- staKeHoLder engageMent & goveranCe Multi-stakeholder involvement 23

Governance 29

04 BLUe-green InFrastrUCtUre FraMeworK Benefits of taking a network view 35

Blue-green infrastructure: a way of seeing; a way of integrating 36

05 CoMBInIng & deLIverIng ProjeCts & soLUtIons Future proofing to 2030 39

Action plan summary: Madurai 42

Project prioritisation: Bangalore 44

Policies and regulations 46

06 addressIng IndIa’s UrBanIsatIon CHaLLenge Future proofing as a means for shaping smart cities in India 55

What are the entry points for applying and scaling the approach? 58

Hanoi, vietnam

Atkins in partnership withAtkins in partnership with

Future Proofing Indian Cities – Final Report | iii

Glossary and abbreviationsglossary of terms

adaptation to climate change: Adjustment in natural or human systems (e.g. cities) in response to actual or expected climate hazards or their effects. It moderates harm or exploits beneficial opportunities of climate change. Various types of adaptation can be distinguished, including anticipatory, autonomous and planned adaptation.

agglomeration economies: Relates to the benefits firms obtain when locating near each other or ‘agglomerating’. This concept is related to economies of scale and network effects. As more firms cluster together they usually take advantage of declining production costs, more suppliers and more customers. Cities and specifically urbanisation promote economies of agglomeration.

Blue-green infrastructure services: represent the sum of natural and manmade infrastructure covering the hydrological cycle (blue infrastructure), natural habitat, ecosystems and urban greenspace (green infrastructure). The approach to blue-green infrastructure adopts a systems view in order to identify the links and interconnections between issues in order to avoid disbenefits and help to maximise win-wins. By taking this approach wider range of socioeconomic and quality of life benefits can be delivered.

Capacity to act: There is a wide range of definitions according to the specific context. We define this as a city’s capacity and willingness to respond positively to environmental risks. This is shaped by the economic and institutional attributes of a city and its actors, which determine the degree of its capability to respond to risks.

Carbon capture and storage (CCs): Technology that attempts to capture carbon dioxide originating from fossil fuel use (power generation and other industries) and then pump underground into secure storage in rock formations.

Catalytic Financing: The process whereby official financing from an agency (often the government) encourages further financing (often from the private sector).

Climate hazards: Refers to the risks posed by natural climatic processes and are often exacerbated by climate change. For example: flooding, cyclones and landslides.

Clean development Mechanism (CdM): A flexible mechanism that provides for emissions reduction projects which generate Certified Emission Reduction units.

Climate change: The United Nations Framework Convention on Climate Change (UNFCCC) defines climate change as ‘a change of climate which is attributed directly or indirectly to human activity that alters the composition of the global atmosphere and which is in addition to natural climate variability observed over comparable time periods’.

Compact city: A high density urban settlement with mixed land uses and access to an efficient public transports system. The efficient urban layout encourages walking and cycling, low energy consumption and reduced pollution.

driving force-Pressure-state-Impact-response (dPsIr): This is a conceptual framework for considering the interactions between society and the environment that is used to highlight gaps in knowledge, processes and linkages between human and environmental systems.

ecosystem services: The benefits people receive from ecosystems including products like clean drinking water and processes such as the decomposition of wastes.

externalities: An economic term describing a cost or benefit that is not transmitted through the price of an action and is incurred by a party who was not involved as either a buyer or a seller of the action causing the cost or benefit. An example would a non-car user suffering from the pollution caused by car users.

geospatial: A term describing the analysis of data using a geographical base.

greenhouse gas emissions: Emissions from the burning of fossil fuels and the manufacture of cement and include carbon dioxide produced during the consumption of solid, liquid, and gas fuels and fas flaring.

green infrastructure: Refers to an interconnected network of natural and green man-made features, such as forests, extensive grasslands, wetlands, but in cities also parks, gardens, cemeteries, trees at streets, green walls and roofs.

gini co-efficient: the extent to which the distribution of income or assets (such as land) among individuals or households within an economy deviates from a perfectly equal distribution.

groundwater table: The level of the water located beneath the earth’s surface. Often depleted by wells, irrigation and poor water management.


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Informal settlements: Term often used to describe a slum or shanty town. Often areas where groups of housing units have been constructed on land that the occupants have no legal claim to or occupy illegally. They are often unplanned where the housing is not in a compliance with current planning and building regulations.

Lock-in: As escalating commitment to an ineffective course of action that is extremely difficult or impossible to deviate from.

Low carbon urban trajectory: An alternative development pathway that reduces carbon emissions versus a business-as-usual trajectory.

Mitigation (to climate change): An anthropogenic intervention to reduce the anthropogenic forcing of the climate system. It includes strategies to reduce greenhouse gas sources and emissions and enhancing greenhouse gas sinks.

Multi-dimensional poverty (MdP): Measure that aggregates a range of indicators (e.g. health, education, income) of human wellbeing to capture the complexity of poverty.

natural resources: Naturally occurring resources used by humans. Natural resources can include, amongst others, air, water, wood, and fossil fuels.

Peri-urban: Land that is immediately adjoining an urban area.

resilience: The ability of a social or ecological system to absorb disturbances while retaining the same basic structure and ways of functioning, the capacity for self-organisation and the capacity to adapt to stress and change.

risk: There are a wide range of definitions of risk depending on the context reflecting the very different approaches to risk management taken in different approaches to risk management taken in different fields. In the context of this report, we refer to risk broadly as the potential that the ‘activities’ of cities which drive carbon emission and pressure on natural resources and ‘events’ in the form of climate hazards and external pressures on the resources used by cities will have an undesirable impact.

the global south: A generic term generally used to describe countries with a medium or low Human Development Index score, which is a comparative measure of life expectancy, literacy, education, standards of living, and quality of life for countries worldwide.

‘triple-win’ solutions: In the context of this report, policies and programmes that deliver multiple environmental benefits by (1) reducing carbon emissions and energy use; (2) responding to climate hazards; and (3) reducing pressures on regional support systems such as water and food systems and natural habitat.

Urban: Used as a collective term to fit with the different country specific definitions of cities and towns.

Urban catchment: Area surrounding a city that supplies water, food, and other ecosystems services.

Urban densification: Is a term used to describe the number of people living within an urbanised area. Often measured in the number of people in a given area. Concept closely linked to urban sustainability in theories such as New Urbanism, Transit-oriented development and smart growth.

Urbanisation: Is the physical growth of urban areas as a result of rural migration and even suburban concentration into cities. Often linked with modernisation, development and industrialisation.

Urban Heat Island (UHI) effect: The increased temperature of the urban air compared to its rural surroundings. The difference is particularly stark at night.

Urban sprawl: The outwards spreading of a city through the expansion of low-density development that increases car usage.

vulnerability: A variety of definitions exist according to the specific context. In the context of this report we define vulnerability as the degree to which a city and its inhabitants are susceptible to and are likely to be detrimentally impacted by the stresses and shocks associated with climate change, resource scarcities, and damage to vital ecosystems. The United Nations International Strategy for Disaster Reduction defines vulnerability as the characteristics and circumstances of a community, system or asset that make it susceptible to the damaging effects of a hazard. The Intergovernmental Panel on Climate Change defines vulnerability to climate change as the degree to which a system is susceptible to, and unable to cope with, adverse effects of climate change, including climate variability and extremes.

‘win-win’ solutions: In the context of this report, policies and programmes they deliver multiple environmental benefits by contribution to two of the three out of the following objectives: (1) reducing carbon emissions and energy use; (2) responding to climate hazards; and (3) reducing pressures on regional support systems such as water and food systems and natural habitat.


Future Proofing Indian Cities – Final Report | v

abbreviations used

BaU Business As Usual

Bee Bureau of Energy Efficiency

Brt Bus Rapid Transport

BwsesMP Bangalore Water Supply and Environmental Services Master Plan

BwssB Bangalore Water Supply and Sewerage Board

CaC Command and Control

CdM Clean Development Mechanism

Cer Certified Emission Reduction

CMa Chennai Management Authority

Cng Compressed Natural Gas

Co2e CO2 Equivalent (Impact of greenhouse gases expressed interns of CO2)

CMCs City Municipal Corporations

CgC City Coordination Group

CdP City Development Plan

CvtC City Volunteers Technical Corps

Ctag City Technical Advisory Group

CMa Commissionerate of Municipal Administration

Csr Corporate Social Responsibility

dPr Detailed Project Report

dtCP Directorate of Town and Country Planning

eCBC Energy Conservation Building Code

ee Energy Efficiency

esCo Energy Service Company

Far Floor Area Ratio

FsI Floorspace Index

gdP Gross Domestic Product

geF Global Environment Facility

gHg Greenhouse Gases

grIHa Green Rating for Integrated Habitat Assessment

Ha Hectares

HPeC High Powered Expert Committee

IgBC Indian Green Building Council

IHsdP Integrated Housing and Slum Development Programme

InCCa Indian Network for Climate Change Assessment

Inr/rs Indian Rupees

IPCC Intergovernmental Panel on Climate Change

Its Intelligent Transport System

It Information Technology

IdFC Infrastructure Development Finance Corporation

ICF International Climate Funds

jnnsM Jawaharlal Nehru National Solar Mission

jnnUrM Jawaharlal Nehru National Urban Renewable Mission

Kwh KiloWatt hour

Leed Leadership in Energy and Environmental Design

LPa Local Planning Authority

LPg Liquefied Petroleum Gas

MoeF The Ministry of Environment and Forests

MMC Madurai Municipal Corporation

Mw Mega Watts

Mnre Ministry of New and Renewable Energy

MLd Million Litres per Day

MLPa Madurai Local Planning Authority

naPCC National Action Plan on Climate Change

nMt Non Motorised Transport

ntag National Technical Advisory Group

nrw Non-Revenue Water

Pv Photo Voltaics (Solar panels)

Pwd Public Works Department

sPv Special Purpose Vehicle

seZs Special Economic Zones

terI The Energy and Resources Institute

tnde Tamil Nadu Department of Environment

tneB Tamil Nadu Electricity Board

tnHB Tamil Nadu Housing Board

tnsta Tamil Nadu State Transport Authority

tnsCB Tamil Nadu Slum Clearance Board

tnUdF Tamil Nadu Urban Development Fund

tnUIFsL Tamil Nadu Urban Infrastructure Financial Services Limited

tnwsB Tamil Nadu Water and Sanitation Board

tMC Thousand Million Cubic Feet

tCe Thiyagarajarrajar College of Engineering

UIdsst Urban Infrastructure Development Scheme in Satellite Towns

UIdssMt Urban Infrastructure Development Scheme for Small and Medium Towns

UFw Unaccounted for Water

ULB Urban Local Body



vi | Future Proofing Indian Cities – Final Report


Future Proofing Indian Cities – Final Report | 01

IntrodUCIngFUtUre ProoFIng

01

Atkins in partnership withAtkins in partnership withAtkins in partnership with

02 | Future Proofing Indian Cities – Final Report



overall approach to the project

The project has been undertaken over two key stages at the city level, which is consistent with the future proofing approach developed by Atkins and UCL, with later stages disseminating the lessons learned (see Figure 1.1). This report draws together the key findings from applying the future proofing approach in two cities and highlights the implications for policy makers.

Following this introduction the initial sections of the report highlight 12 key lessons drawn from applying the future proofing approach in Bangalore and Madurai.

Section 2: Highlights the action planning processes which has been used to develop future proofing plans for both cities. The process highlighted the opportunity in both cities and helped to establish priority areas to be the focus for future proofing action.

Section 3: Highlights the importance of multi-stakeholder engagement and governance to help enable an inclusive and effective approach to integrated action. It highlights several key lessons from applying the approach in both cities.

Section 4: Blue-Green infrastructure framework – the concept of blue-green infrastructure was a key conceptual tool for identifying and communicating the interrelated links between multiple issues and their effectiveness in addressing vulnerability and climate change risks.

Introduction

Introduction

In March 2013, Atkins, supported by the Development Planning Unit of University College London and the Indian Institute of Human Settlements, were commissioned by the Climate Development Knowledge Network (CDKN) to undertake action planning with the city authorities of Bangalore and Madurai, focussed on developing future proofed urban strategies in the cities. In Madurai we have been working closely with Madurai Municipal Corporation who has been the client for the project as well as Dhan Foundation who are delivery partners for the project.

The key objective of the project is to help both cities to develop an action plan which charts a clear way forward, via the development of policies and other interventions, to help them respond to climate hazards and promote a transition to a low carbon economy while reducing poverty and catalysing economic development. A special emphasis is placed on supporting and enhancing locally owned policy processes.

Section 5: Combining and delivering projects and solutions. A key part of the action plan for both cities was to develop an effective plan for tacking action and identifying interventions which can deliver multiple benefits. This section highlights how priorities within the plans for both cities were developed and sequenced. It also highlights the policy and regulatory changes needed to help underpin action.

Section 6: This section takes an over view of how the future proofing approach has applied in both cities and identifies the opportunity for the approach to address India’s wider urbanisation challenge including moves to develop a programme of 100 Smart Cities. Key recommendations and entry points for applying the approach are given.



Figure 1.1 overall approach to this project

4. Impact & cost effectIveness

IdentIfIcatIon & appraIsal of potentIal solutIons

urban dIagnostIc

future proofIng menthodology stageproject stage

stage 1

urban diagnostic

dIssemInatIon of key fIndIngs

capacIty to act

Economy Governance Planning

Finance and delivery

vulnerabIlIty

Level of poverty and inequality

Strength of basic infrastructure and services

Urban form

rIsk: urban type

1. rIsks addressed

3. capacIty reQuIred to Implement solutIons

2. abIlIty to target vulnerabIlItIes and catalyse economIc

groWth Urban poor

Basic service delivery

Jobs, capital stock, growth, competitiveness

Carbon emissions and energy use

Climate change hazard risks

Resource use and ecosystems (water, food, land

use/agriculture, materials, natural habitat)

Affordability (up-front and lifecycle costs)

Strength and legitimacy of governance required

Planning capacity required

Deliverability

5. assemble polIcy portfolIo Policy complementarity and conflicts

Balance of transformational, transition, and resilience measures

Sequencing

stage 1

city action plans on specific topic area



Future proofing is about taking an integrated approach to tackling some of the city’s deep rooted urban problems. For example, water supply issues are generally approached solely from the perspective of identifying water engineering solutions, with the potential impacts on vulnerable groups, patterns of development, food security and flooding poorly understood. When urban problems are approached in this narrow way, solutions can sometimes be ineffective, opportunities for generating wider benefits are missed, or significant unintended negative consequences can occur.

Future proofing cities

what is the future proofing approach?

In order to tackle the risks to its future growth as well as to meet the demand for adequate infrastructure and basic services, Madurai could benefit from a new approach to urban development: a ‘future proofing’ approach.1 Future proofing is about identifying and developing solutions which can respond to the risks associated with issues such as climate change, resource scarcities, and damage to vital ecosystems but in a way which catalyses broader economic development, improves access to basic services, and tackles urban poverty.

carb

on emIssIons and energy use

clIm

ate r

Isks resource and

ecosystem

rIsks

1 Future Proofing Cities (2012), Atkins in partnership with DFID and UCL source: atkins

Figure 1.2 - Future proofing approach: Integrated assessment Framework

The future proofing approach considers the growth dynamics of the city in parallel with the range of potential risks which may impact its future development. The approach involves looking at three groups of interrelated issues:

climate risks e.g. flooding, extreme heat events

resource and ecosystem risks within the city and its wider catchment e.g. water scarcity, food security, and damage to vital ecosystems due to urban growth

energy use and carbon emissions e.g. from transport, domestic and commercial consumption, industry and waste.



Benefits of a future proofing approach

Building a profile – or urban diagnostic - of these key risks, in conjunction with assessing the vulnerability and capacity of local institutions and stakeholders to respond to them can help to identify implementable solutions which can deliver multiple economic, social, and environmental benefits. This differs from most current approaches to urban development which tend to focus on targeting one or a few narrowly defined objectives (e.g. city competitiveness, green cities) rather than looking at packages of complementary policies which can meet multiple objectives. The benefits for Madurai of developing this approach include:

an explicit focus on how the city can respond to four long run challenges - resource security (e.g. water), resilience to climate impacts, the move to a low carbon economy, and protection of ecosystems

the identification of packages of complementary policies in these areas which can generate multiple environmental, social, and economic benefits, crucial in the context of limited financial resources

a focus on measures which respond to the needs of the urban poor; and

the identification of measures which can be implemented and driven forward by stakeholders within the city given current capacities.

That Madurai becomes a healthy city with functioning public infrastructures and a low incidence of water and vector borne diseases.

That the blue-green networks and ecosystems restored - with a balance between natural systems and communities the strong historical relationship with the water networks.

That the needs of a community are addressed in terms of service provision and green spaces leading to a high quality of life for all.

That mechanisms are defined to support sustainable growth and expansion of the city.

That Madurai is better able to respond to the risks climate change through strong partnerships local and city partnerships.

using the example of madurai the action plan reflected how the needs and aspirations expressed by madurai corporation stakeholders and communities during action planning in madurai. this became a shared vision of how madurai could be in the future.



the challenge

Analysis and consultations with a wide range of state and city level stakeholders as part of this project has shown that gaps in Madurai’s blue-green infrastructure is perhaps the most pressing nexus of challenges the city needs to address to safeguard its long term future. The range of issues of particular importance include increasing demand for water resources, poor water distribution infrastructure, and contamination of existing supplies which, when combined, could constrain the capability of Madurai to grow and prosper in the future.

A significant proportion of the population of Madurai lives in slum areas, some of which are located directly in the Vaigai River channel. While the Madurai Corporation are committed to providing universal water supply, underground sewage system and ensuring the city becomes slum free, these communities are currently on the front line of the increasing demand for water resources, poor water distribution infrastructure, and contamination of existing supplies. Future pressures on the blue-green infrastructure will also have a disproportionate impact on those living in multi-dimensional poverty. Slum areas will be increasingly prone to flooding, and the lack of effective sanitation is likely to lead to the spread of communicable diseases.

summary of the city

Madurai is the second largest city in Tamil Nadu. One of the oldest continuously inhabited cities in the world, Madurai developed on the fertile plain of the River Vaigai and has been a major religious centre and settlement for two millennia. Today it is an important educational, industrial and tourism hub, but retains many remnants of its historic origins. The intricate network of rivers, channel, canals, tanks and groundwater forms the city’s essential blue-green infrastructure, providing water, drainage and sanitation for domestic, agricultural and industrial use. The city is growing rapidly, and is expected to rise to over two million people by 2031. This is already leading to significant to pressures on infrastructure, housing, and basic services. Currently it is on track to locking itself into an energy intensive, high carbon, and sprawled development path.

Madurai is also facing a wide range of risks that will hinder future economic growth and quality of life unless action is taken soon to futureproof Madurai’s development. These are risks such as water scarcity, climate change, growing traffic congestion and damage to important natural habitats.

The city is likely to be particularly impacted by climate change. Madurai lies in a warm-humid climatic zone, which is hot and dry with intermittent and irregular rainfall. The expected increase in average temperatures and rainfall variability will lead to wide ranging effects on many sectors, including food and water systems, human health, buildings, transport, energy and ecosystems.

Introduction to Madurai

The severe water stress Madurai and the wider Vaigai Basin are already experiencing and the interconnectedness of Madurai’s blue-green infrastructure mean that the city will be impacted by climate change. The direct impact of climate change on blue-green systems along with indirect impacts such as the spread of communicable diseases means that addressing this nexus of issues figures high in the list of priorities for city stakeholders.

In order to improve and secure the long term resilience of the city, there is a need to integrate the issues of water resources management with the management of urban growth. This means looking at ground and surface water management, water supply and distribution, sanitation, drainage and storm water management as well as links to natural habitat and urban development and energy use - all in the context of a changing climate.

Madurai



the stakeholders

The capacity of Madurai to respond to the environmental risks to its growth and prosperity will be shaped by the strength of its governance and planning structures, and its ability to access, mobilise, and structure financing to respond to identified risks.

The Madurai Municipal Corporation is the key organisation that manages and/or coordinates most of the city level services. The Corporation has recently been expanded to include a further 28 Wards around the edge of the city and now has responsibility for meeting the deficit in infrastructure and services to this area. Unlike many other larger cities in India, all of the service provision organisations are managed by the Corporation. This implies that any specific organisational arrangement for sustainable urbanisation and future proofing must recognise that the Madurai Municipal Corporation (MMC) has an important role to play. As a result, MMC are the key service beneficiary for this project in the city.

Whilst the governance structures within Madurai are not as fractured as some of India’s larger cities, there are still a large number of other agencies involved in the planning, regulation, management, funding and delivery of infrastructure and urban development and a relative lack of coordination between them on complex technical issues.

A key part of this project has therefore been comprehensive consultation with a range of other stakeholders including the Tamil Nadu Slum Clearance Board, the Local Planning Authority, State level decision makers as well as a range of local experts, academics, land owners and other community organisations which have significantly strengthened the analysis and the development of the action plan.

Absolutely critical to this consultation has been the inclusion of a local partner, the Dhan Foundation, who have been able to bring together key public sector stakeholders and connect them with local community groups.

the result

The outcome in Madurai was an action plan which was embraced by a diverse range of city stakeholders with resolution made to adopt the plan made by local Corporator’s.

Based on this commitment a local partnership is evolving to take forward the further shaping and implementation of proposals.

The action plan proposals were discussed at meetings and roundtables involving potential State level government bodies, Tamil Nadu Urban Infrastructure Services Finance Limited (a national government and World Bank supported delivery vehicle) as well as a range of bilateral and multilateral funding institutions and philanthropic organisations.



Introduction to Bangalore

the challenge

Bangalore has significant potential to play a major role in the future development of Karnataka and Southern India. However, to continue to leverage its knowledge-based economy, the city needs to address multiple challenges across a range of sectors. A significant proportion of the city’s population lives in slum areas. The city is also growing rapidly, creating challenges in ensuring the provision of adequate infrastructure, housing, and basic services to meet the growing demands of its residents.

At the same time, Bangalore is facing a wide range of risks to its future growth and prosperity from issues such as water scarcity, climate change, damage to important natural habitats, and growing traffic congestion associated with private vehicle use. Unchecked, these issues could place a significant brake on future economic growth and improvements on the quality of life of its residents.

summary of the city

Bangalore is the capital of Karnataka. It has emerged as a global centre for ‘new’ service sector economies such as information technology and biotechnology. Several domestic and international corporations such as Wipro, Infosys, Microsoft, and IBM are located here, some on city-edge campuses, attracted partly by Bangalore’s academic institutions and the skilled workforce. (H. S. Sudhira et al., 2007). Bangalore has the highest district income in the state, contributing approximately 34% to Gross State Domestic Product (GSDP) (Directorate of Economics and Statistics, 2011). The Government of Karnataka has undertaken mega-infrastructure projects such as elevated roads, a new metro, a new airport, and establishing special economic zones.

This rapid prosperity, and the opportunities afforded by the new knowledge economy for which Bangalore is renowned, have led to a doubling of the city’s physical footprint in the last decade (Census of India, 2011; Indian Institute for Human Settlements (IIHS), 2009; Ramachandra and Kumar, 2009). However, this rapid and unplanned urbanisation has been at the cost of the city’s resources and liveability In particular, the growth on the city’s peripheries is placing pressure on Bangalore’s natural and economic resources and infrastructure. This poses environmental and health risks for the entire city, especially for low-income and other vulnerable populations such as women, children, and the elderly.

As with Madurai, the most severe and immediate risks to Bangalore’s future growth relate to water supply, sanitation and flooding. The public health, environmental health and economic implications of these are already becoming evident and will become increasingly severe as the Indian subcontinent moves into more unpredictable rainfall regimes associated with climate change.

Many of Bangalore’s lakes and surface water bodies have been seriously degraded or even built upon reducing the capability of the city to deal with heavy rainfall events and to store water. The combination of increasing demand for water resources, poor water distribution infrastructure, and contamination of existing supplies could constrain the ability of Bangalore to grow and prosper in the future as demand in the city and wider region continues to grow.

Given the severe water stress the city and wider region are already experiencing, the interconnectedness of Bangalore’s ‘blue infrastructure’ to other challenges such as managing the impacts of climate change and spread of communicable diseases, along with concerns about the environmental quality of water, addressing water security represents an urgent system wide priority for Bangalore.

Bangalore



the stakeholders

In the case of Bangalore there is no single agency at the city level that controls future urban planning and development. In fact, this power is dispersed widely among several municipal and state-run agencies, often leading to contentious decision-making as jurisdictions and functions of the various agencies tend to overlap.

The distribution of authority in Bangalore is shaped by a process of decentralization that originated with the introduction of the 74th Constitutional Amendment in 1992. Bangalore falls into the Urban Local Government (ULB) type known as a Municipal Corporation, an urban governance body made up of elected councillors and a Mayor elected for one-year turns. However, the fragmented governance arrangements mean that the ability of the municipal government to tackle local challenges in a comprehensive fashion and to direct development in a sustainable direction has thus been limited.

Consultations with key stakeholders from government agencies, NGOs, academic and research institutions has been a core element of action planning in Bangalore in order to reflect their vision and views. The goal was to work with the stakeholders, especially those in government agencies, to produce a realistic plan that would help Bangalore grow sustainably. One of the biggest challenges is in developing an understanding of an integrated approach to dealing with environmental risks, particularly because most city-level agencies do not see this as part of their mandate.

The second challenge is to bring officers from different city and state level agencies together to discuss challenges within the water and sanitation sector, since the governance of this sector in Bangalore is fragmented, with several agencies responsible for different aspects. The third is to bring government officers and other nongovernmental stakeholders together in order to build a shared understanding of issues, and inform the development of the action plan.

The project included consultation with Bruhat Bengaluru Mahangara Palike (BBMP) Municipal Corporation, the Bangalore Development Authority (BDA), the Bangalore Metropolitan Regional Development Authority (BMRDA), the Bangalore Electricity Supply Company (BESCOM), Bangalore Metro Rail Corporation Limited (BMRCL) and the Bangalore Water Supply and Sewerage Board (BWSSB).

The outcome of the consultation process was that government stakeholders had a strong preference for engaging around a focused project within a particular sector that could bring in fresh thinking to tackle wider challenges on sustainable development and poverty reduction. Given the urgent challenge around water supply and sanitation issues, it was agreed that the service beneficiary for this work should be the BWSSB.

BWSSB’s ambitions include increasing the reuse of wastewater in Bangalore, reducing leakages, and water loss, and improving revenue generation. BWSSB officers expressed interest in participating

in the future proofing and the action planning process, and were keen to see examples and a case study of how water supply and sanitation is currently working, as well as ways in which their existing goals and plans could be informed by the action plan.

the result

In Bangalore the project did not have the same degree of impact as in Madurai. Engagement took place with relevant city and parastatal government bodies around the diagnostic. Bangalore Water Supply and Sewerage Board (BWSSB) together with a range of academic and research institutions and civil society groups developed an action plan which explored how the capital investment plans of BWSSB could be enhanced to take account of climate variability risks.

Using two differing case study locations, the potential opportunities for improved planning, infrastructure and design were identified and explored. The action plan provided a costed plan for combining a range of solutions embracing water resources, water supply distribution management, wastewater and sludge collection treatment, improved services delivery and water demand management leading to a more effective approach to addressing climate risks.

Through enhanced interaction between agencies and with other stakeholders to achieve a more integrated approachThe programmes BWSSB have shaped will be strengthened and their impact enhanced as a result of following through on opportunities for future proofing their programmes in Bangalore.



aCtIon PLannIng In MadUraI

02

FUtUre ProoFIng ProCess

02



Doing things differently

Applying the future proofing cities approach in practice in two cities has shown how a future proofing approach can add value and deliver tangible benefits in helping city stakeholders to tackle the issue of climate change in parallel with their development needs.

There were similarities and differences in how the approach worked out in practice in both cities. The process of applying a future proofing approach has differed from a business as usual approach.

Criteria Madurai Bangalore

total Population

More than 1m population 2010

Projected population 2.2m x 2030

More than 5m population 2010

Projected population 14.7m x 2030

Urban slum Population

24.9% (2011) 8.5% (2011)

Institutional and governance

A smaller number of State and Urban Local Bodies.

Complex – large number of State and Urban Local Bodies.

entry point Madurai City Corporation was the beneficiary and government actor shaping the action plan

Bangalore Water Sewage and Sanitation Board was the leading government actor shaping the action plan

Key priorities shared

Future proofing blue-green Infrastructure to address climate risks and build resilience

Encompassing:

Water resources management (surface and ground water)

Water supply

Water quality

Sanitation

Solid waste management

Fluvial and pluvial flooding

Preservation of natural ecosystems and provision of greenspace.

Lack of effective access to water is seen as the highest priority in Bangalore and an issue the Bangalore Water Supply and Sewerage Board (BWSSB) wishes to tackle.

Water availability

Water distribution to reduce transmission and distribution losses

Water quality and pollution

Surface water management and water bodies

Long term water security

Pluvial flooding

For BWSSB Wastewater management, leakage reduction and proper accounting for non-domestic uses.

table 1.1 Context for future proofing: Madurai and Bangalore compared

Source: Census 2011, GO1;

World urbanisation prospects 2014



Criteria Madurai Bangalore

governance Capacity and resources within Madurai Corporation have not increased to match the level of need and rate of growth of the city.

Limited locally sourced financial resources available.

Gaps in coordination between State and Local Bodies programmes and funding has led to gaps in adequate provision.

Fragmentation between responsibilities between Tamil Nadu Water Supply and Drainage, Madurai Corporation Municipal Administration and Water Supply Department and Public Works Departments for management of water supply and distribution, groundwater and surface water drainage, and waste water and sanitation.

Links between the government sector and civil society, higher education and private sector actors in the city not fully coordinated to consolidate action.

Gaps in the formulation and coordination of plan making across sectors as well as follow up and enforcement.

Capacity and resources within city institutions have not increased to match the level of need and rate of growth of the city independent land owner decisions drive the agenda.

Dependency on external financial resources for capital projects.

Mandate for planning and governance is fractured

No single agency for governance and planning

Responsibility for climate change is not part of the official mandate of Urban Local Bodies.

Conflict between various institutional bodies hampers effective planning and a coordinated approach.

Lack of effective community participation in planning.

Gaps in the formulation and coordination of plan making across sectors as well as follow up and enforcement.


Successis dependent onestablishing an openand inclusive process

02 Using local actorsand language isimportant to createactive dialogue

05 Taking a patientapproach is neededto maximise theimpact of engagement

03

Future proofingis a helpful processin supporting partnersto define shared prioritiesand goals

01

Using action planningto explore issuesand challenges fromdifferent angles usinga global and local lens

04 Using visionto inspire06 Addressing the

gap betweenholistic thinkingand integrated action

07

Using evidenceto convince andmobilise change

08 Focussing at thecity scale is importantto gain support forclimate change action

09 Approach to developingplans and engaging withinstitutions andstakeholders should flexto respond to local realities

10

Making the caseand securing localresources is a keymeasure of success

11 Institutions at locallevel do not holdall of the keys foraddressingthe challenge

12

difference a future proofing process has made:12 Key lessons



Successis dependent onestablishing an openand inclusive process

02 Using local actorsand language isimportant to createactive dialogue

05 Taking a patientapproach is neededto maximise theimpact of engagement

03

Future proofingis a helpful processin supporting partnersto define shared prioritiesand goals

01

Using action planningto explore issuesand challenges fromdifferent angles usinga global and local lens

04 Using visionto inspire06 Addressing the

gap betweenholistic thinkingand integrated action

07

Using evidenceto convince andmobilise change

08 Focussing at thecity scale is importantto gain support forclimate change action

09 Approach to developingplans and engaging withinstitutions andstakeholders should flexto respond to local realities

10

Making the caseand securing localresources is a keymeasure of success

11 Institutions at locallevel do not holdall of the keys foraddressingthe challenge

12

Key Finding 1 - Future proofing is a helpful process in supporting partners to define shared priorities and goals.

City partners working together developed a series of shared priorities and a basis for joined up action by establishing a forum which provides a space for stakeholders to move out of their silos. It is expected that formalised mechanisms will now be established to institutionalise this way of working.

In both cities at the outset of the process the various stakeholders were working independently towards their various agendas with limited coordinated action. The future proofing approach helped stakeholder see where they had shared issues and objectives and where action could be aligned infrastructure projects which may take longer to realise.

Action planning



There is an opportunity for local communities to become more engaged in the protection and channels and tanks and to benefit from them for local supply, amenity and tourism.

Flooding can be addressed, particularly in the most vulnerable areas, through the separation of sewers and storm drains, construction of adequate surface drainage, flood storage and green infrastructure improvements.

There is potential to improve the effectiveness of the water supply system through the re-use of waste water, improvements to the capacity and efficiency of local water treatment facilities, as well as upgrades to mains water infrastructure.

The action planning process identified a range of opportunities to improve blue-green infrastructure in Madurai.

There is a major opportunity to improve the sewer network, ensuring it collects all wastewater and is delivered to the treatment works without contamination of the environment. This also needs to take into account future changes from population growth and the implications of increased rainfall from climate change.

Whilst sanitation programmes are having positive impacts in the city, there is still much work to be done. There is an opportunity to ensure the whole population of Madurai understand the benefits of sanitation and makes use of toilets (both private and community).

The collection and disposal of solid waste can be improved in the city, in particular to ensure the city’s waterways are not used as dumping grounds. This needs effort both to improve waste collection systems and infrastructure, as well as education to ensure the dangers of waste disposal in rivers are well understood.

Channels and tanks should be restored to their previous intended function, enabling better storage of drinking water and acting as balance ponds to prevent flooding.

Legislation and management of channels and tanks should be improved to prevent future encroachment, manage abstraction and establish operational rules.

Structures to improve the coordination of stakeholders and the planning for blue-green infrastructure should be considered.

A masterplan should be developed which includes policies to enable the effective management of development to protect communities and maintain and enhance blue-green infrastructure and the associated benefits to the community.

The opportunity: Madurai



Potential to improve sanitation. Some households, especially on the periphery are dependent on unimproved options like pit latrines. A small proportion of households depends on open defecation. This poses health hazards.

Addressing the issue of high dependence on a single source. The biggest hazard that the water supply system the city faces is near total dependence on Cauvery River. Any disruption in this source, temporary or permanent, poses a risk for the entire city in two ways: a. long term depletion and unavailability; and b. temporary disruptions arising out of climate, environmental, socioeconomic, and other reasons.

Unregulated supply chains can be addressed. Since BWSSB does not cater to entire water needs of the city, the households and industry are dependent on a range of other options. There is no information, and monitoring of these multiple chains resulting in the hazards of a. poor quality of water and b. unregulated withdrawal from ground sources.

The action planning process identified a range of opportunities to improve blue-green infrastructure in Bangalore.

Addressing contamination of potable water. Due to uncontrolled faecal contamination and multiplicity of household water supply sources, all households are potentially exposed to this hazard, especially poor who may not have access to BWSSB supply or effective water treatment at home.

Improving consistency of water supply, as waste is only supplied for four-five hours every alternate day or once in three days depending on the location. In some locations, public supply also tends to unreliable at times. Other supply via. ground or tanker also may not be in the household’s control.

Improving the affordability and valuation of water. The absence of tariff revisions has perhaps conveyed to households that water is cheap, even though BWSSB tariffs are among the highest in India. Rich and middle income households are hence not valuing and sustainably using water whereas poor households are paying higher prices for water.

Preventing the depletion of lakes and other water bodies. Lakes are steadily depleting due to blockages in natural drainage channels, and also dumping of sewage, solid waste, and industrial wastes.

Preventing the disruption of natural drainage channels and their contamination. Natural drainage channels are getting blocked due to unplanned development and untreated sewerage and industrial wastes are released into them.

The opportunity: Bangalore



Action planning process

Key Finding 2 - success is dependent on establishing an open and inclusive process

Using stakeholder mapping techniques with stakeholders helped to define who could potentially be involved in the process and helped to extend discussions beyond the usual suspects.

In Madurai the involvement of Dhan Foundation grounded in the locality with well developed networks and contacts was critical in mobilising and raising awareness to a wider audience using mechanisms such as the city symposium and through regular communication via social media platforms.

The involvement of stakeholders from across different sectors and establishing a safe platform for engagement through a process of interviews and meetings, dialogues and workshops.

the approach

Over a period of around one year a series of action plan proposals been shaped and supported by a range of stakeholders in each city.

The process of action planning was used to develop, deepen and share understanding between different stakeholders, as well as exploring and initiating discussion of what the opportunities could be for each city to address its existing vulnerabilities and adapt to climate risks which are expected to impact both cities.

Using the example of Madurai, the timeline over the page highlights the phases of the project and of the turning points and milestones which were pivotal to:

building platforms for engagement

reviewing the current position and creating an urban diagnostic

using the action planning process to clarify and examine the implications of the existing situation for vulnerable communities

bringing together stakeholders to engage together and consider the priority issues

exploring and selecting the range of different actions which can be mobilised to reduce vulnerability and adapt to climate risks.



Figure 1.2 - action plan timeline for Madurai

Urban Diagnostic

bUilDing momentUm

action Planning

action Plan way forwarD

28 feb to 3 mar 2013initial meetings at city

and state level

may 2013dtcp meeting

30 jun to 5 julmeeting with key organisations

(madurai corporation, tce, dHan)

19 jul1st state level meeting

lpa & mcc

21 augcma& mcc

22 augVisits to slum

areas with snpurr

23 augcca-cVtc workshop

25 to 26 augchennai roundtable

11 to 13 septmadurai symposium

12 to 18 noVWorkshops & meeting

initiation of action planning

Kiruthumal corridor action

research

Water walk

media articles & social media

final diagnostic

februaryarea case study

6 to 7 marchennai meetings

W/c 11tH mar madurai meetings

may 2014 final draft action plan

sept - noV 2014 finalisation and adoption

by madurai corporation and tamil nadu cma. nadil

24 to 25 jan 2014meetings to discuss

action plan proposals

meetings with snpurr tank visits pWd tce & state



aCtIon PLannIng In MadUraI

02

MULtI- staKeHoLder engageMent & goveranCe

03

Atkins in partnership withAtkins in partnership with Atkins in partnership withAtkins in partnership with





Multi-stakeholder engagement

Key Finding 3 - Using local actors and language is important to create an active dialogue

A process of action planning involving civil society and governmental actors facilitated by international academic and technical consultants was used to shape the development of the action plans1.Local actors and facilitators were pivotal in establishing a platform which could be used to activate dialogues linked to future proofing2. The processes was framed and situated in the local debate in a way using language and images which resonated with other local stakeholders.

For example in Madurai, an important temple city and religious centre. The pride and identity citizens have for the city and the historic traditions associated with water were used to highlight the issue of how the natural and human-made infrastructure systems providing water the city had fallen out of balance and how the link between the natural lake/tank system and drainage channels could be restored to enhance the image and identity of the city.

Dhan Foundation were helpful in relating the potential opportunities presented by future proofing the city to the wider local narratives about the past, present and future of the city using examples of past events and situations.

Situating the diagnostic and action planning with local actors helped to inspire a community based approach to tackling the issues identified using ‘bottom up solutions’. This was not confined to existing initiatives but also helped to mobilise those not already engaged and new project ideas.

1 This methodology was pioneered by the Development Planning Unit, University College London who supported the other project partners in applying the approach. For example, see Levy, C (2007) “Defining Strategic action planning led by Civil Society Organisations: The case of CLIFF, India” paper presented at the 8th N-AERUS Conference, London, September.

2 Dhan Foundation in Madurai and the Indian Institute of Human Settlements (IIHS) in Bangalore.

Key Finding 4 - taking a patient approach is needed to maximise the impact of engagement

Although framed as a linear process established over a fixed period of 12 months, the path of the project in reality took a less neat iterative process which flexed and adapted to include new actors, changes of governmental administrators and political administrations and associated changes in the level of engagement as well as new information and opportunities which emerged over the course of the action planning process. There are significant time implications for involving and maintaining the network of actors involved in the project.



More than 50 participants were taken on a transect tour along the 15 Kilometres of Kiruthumal river corridor starting at the origins of the river at Thuvariman tank to the Samanatham tank end, stopping along specific locations where:

waste water is used for vegetable cultivation

areas of severe pollution from multiple sources (house hold, factories, corporation sewage pumping stations, manholes, garages, cattle rearing, public institutions and so on)

encroachment from development

the relationship with other tanks and water channels; and

how the river supports informal settlements.

This process has had a significant impact on the participants. Many participants directly witnessed the importance of the blue-green infrastructure in Madurai for the first time. The participants learned how the river corridor changes its form along diverse locations in the city – from its origins, its various interconnections with other water channels and water tanks, the layers of land uses and old village settlements alongside, the impact of the bed concreting, the forms of pollution (including the role of the Corporation’s pumping stations and private septic tank cleaning contractors in polluting the river), the impact of waste water agriculture and the multiple vulnerabilities that the people living alongside are exposed to.

raising awareness and mobilising the local community as part of the action planning process in Madurai

The project team interacted with many people across a range of social groups and institutional settings during the action planning process. More than 100 people in 25 locations across the city were interviewed as part of Focus Group Discussions and Multi Stakeholder workshops. This included the informal settlement communities living alongside the river as well as major landowners, people working in establishments alongside the river corridor and middle class residential colonies. This process not only worked as an awareness campaign and to mobilise the local community, but also allowed the research team a deep access into the lived experience of people on the history of the river corridor, its transformation over the years and witness directly the systemic causes (for example the sewerage and water supply infrastructure, and solid waste management system) and problems faced by the community on their everyday life. More than 20 recorded voice files and other media products like videos, photographs and maps generated from this process were used in the focus group meetings and multi stake holder workshops.

A ‘Water Walk’, was held which helped the participants to conceptualise blue-green infrastructure as a fundamental part of the ecological heritage of Madurai.

Bringing complex water-related issues to life in Madurai through the River Water Walk.



Key Finding 5 - Using vision to inspire

A key ingredient to helping to frame the issues and challenges of both cities was to inspire a discussion and debate about what the future of the city could be like.

A key part of this was to highlight how the issues were interconnected and linked at each scale from the local, city as well as greater than city scales for trends and drivers relating to climate change.

The concept of blue-green infrastructure highlighting how natural and human-made systems were networked and impacted on one another helped to highlight how more coordinated action would be needed. The concept also helped to provide a vision for restoring and remaking the natural ‘life support’ systems of the city. The diagnostic was used to provide reference points to situate local debates and discussions and provide information which could be used to help define priorities and where action could be taken.

In Madurai, the network view of infrastructure and systemic opportunities for transformation was explored by stakeholders by examining the issues and challenges and opportunities by taking a transect view along a particular corridor (the Kiruthumal River) from close to its source through the city.

A series of water walks were made to highlight existing practices in the city highlighting where the corridor is impacted from lack of solid waste management, pollution and discharges from leaks and gaps in the waste water networks, water extraction and contamination of water supplies used for drinking and food production. It highlighted that localised action in isolation at a Ward level would be ineffective in providing a sustainable solution and that to achieve a more transformational solution a platform for coordinating action would be required.

Since the initial walks Dhan Foundation has extended this approach to explore other corridors throughout the city. The walks have been well supported and have helped to supplement the understanding and diagnosis of issues in the city and help to raise awareness among the community in other parts of the city.



on the Kiruthumal river corridor, which is a tributary of the river Vaigai.

The research process involved detailed documentation (mapping, photo and video) of 15 kilometres of the corridor, interviews with a wide range of people who live alongside the river, and three focus group meetings (two meetings with communities living along its edges and one with experts, government officials, major land owners along the edges, etc). This primary fieldwork and action research process lasted for about four weeks in November 2013.

The way the river corridor transforms from its natural spring origins to various locations across the city was documented in detail to understand the socio-spatial-ecological interactions and governance issues. This process revealed the complex risks and vulnerabilities that many people in Madurai are exposed to as a result of the state of blue-green infrastructure, as well as the challenges that lie ahead for Madurai’s sustainable growth. This documentation

How using a case study approach assisted action planning in Madurai

Madurai region is dotted with hundreds of small and large water tanks that are networked with its main river Vaigai and minor river Kiruthumal with the help of many distributor channels. Currently this blue-green infrastructure is severely disrupted due to the fragmented pattern of decision-making and practices of urbanisation. Identification of this network resulted in the proposition that any path that promotes sustainable urbanisation of Madurai should move beyond a geography bounded by administrative areas to one which addresses risk and vulnerabilities caused by the actual impact of development on the water systems. As a result, it was agreed that the study team should focus on a case study of a river corridor in the city to understand how the complex relationships between water supply, sanitation, development and poverty interact. This case study focused

produced a range of analytical materials that was used later for the focus group discussions and multi stakeholder workshop. The study examined the following in detail to understand the risk, vulnerabilities and the capacities to act:

origin and the way Kiruthumal corridor integrates with the network

heritage importance - cultural and ecological

relationship with pattern of land use;

impacts of the institutional governance setup

impacts of existing projects and programs

imagining the possible futures and key reflections on methods and process of restoration.



Key Finding 6 - Using action planning to explore issues and challenges from different angles using a global and local lens

A rich and multidimensional view of future proofing challenges, opportunities and solutions was developed over the course of the action planning process. This was enabled and enriched by mobilising and combining ideas drawn from different types of knowledge. This included:

local tacit knowledge from residents and citizens including knowledge from local expert advisors

local technical/academic expertise

engineering and technical expertise from urban local bodies involved in planning and managing infrastructure networks on a day to day basis

local private sector perspectives

international perspectives from Indian and outside academics and technical experts in planning, social development, climate and environment and infrastructure experts. These experts brought the lens of climate change and helped to conceptualise and develop a shared understanding which synthesised the contributions made by all actors.

The involvement of external academic and technical experts working with Governmental and civil society actors helped to reframe the debate and provide external challenge and present a branching point which provided the space and opportunity for local actors to shape an alternative path to business as usual approach.



and sanitation services in Bangalore; the lack of good quality water, groundwater contamination, and the impact of this on vulnerable, especially poor, populations in the city; second, to understand issues at household and neighbourhood level; and finally, to validate action plan components at the local scale. The first site is located close to the centre of Bangalore, in the older colonial Cantonment area (Site 1). The site has a range of land uses including residential, institutional and smaller commercial establishments. The second site is located on the south eastern periphery of Bangalore (Site 2), and is representative of newer forms of development in the city including large gated communities, information technology parks, and large commercial establishments such as malls.

the field study and its contribution to action planning in Bangalore

The action planning process in Bangalore included a validation exercise conducted by IIHS in two locations. These site case studies provided a grounded illustration of water supply and sanitation opportunities to address the issues experienced by communities and establishments in the context of local realities of land use and planning. The case studies also help in the framing of what potential ‘solutions’ could be and what they might look like at the local level to enable BWSSB to take forward actions within its own planning, budgeting regulatory frame. The aim of the field study was threefold: first, to validate the issues that were raised in the urban diagnostic study including issues related to disparities in access to water

the case of a vulnerable household in Lingarajapuram

M, a middle aged woman, lives with her one son and four daughters in a singleroom house in Lingarajapuram, close to the Banaswadi railway line. They have been living in this house for the last 12 years. M lost her husband eight years ago and does not work, her son being the primary earning member of the family – he works as an unskilled construction worker for approximately eight months in a year, and in other work for rest of the year. As a construction worker, his earns about Rs. 10,000 monthly. His eldest sister also brings home about Rs.3,500 monthly working as a domestic

worker. Both have been educated only up to high school. The other two sisters are still enrolled in school. The family has minimal assets – only a TV, and is heavily dependent on the PDS system both for food and cooking fuel. They have access to BWSSB water through a tap located immediately outside their house. This water is used for both potable and non-potable users, and is stored in pots at home. The water is not treated in any way before being used for drinking. At the time of interview, they claimed that they had not received water from the tap for the last 10 days. Such disruptions are fairly common. In such instances, the family procures water from the nearby Sulabh public toilet complex by paying

Re. one per pot. The family does not have a toilet, and relies on the public toilet complex, which charges Re. two per use.The house is built over a drain, and is susceptible to flooding. The case of M and her family highlight two concerns to be addressed adequately in the action plan: A. There is a need for greater focus on the poor and vulnerable households because of lower level of service delivery to them, and B. There is a need for additional of data collection and monitoring of multiple water sources to be able to assess some risks more accurately, and hence inform decision making.



Governance

Key Finding 7 - addressing the gap between holistic thinking and integrated action

During the workshops the integrated ‘systemic’ view of issues and challenges resonated and was well appreciated and championed by the range of stakeholders in each city. The need for interlinked and transformational projects was also seen as a high priority. However, there was a gap between a holistic strategy approach and what it was felt could be achieved in practice based upon governance arrangements.

The solution which emerged in Madurai to help overcome this issue was to establish partnership structures. An outline structure has included in the action plan and is being explored by Madurai Corporation and the C-TAG group to enhance and build upon existing structures.



Figure 3.1 - Proposed City partnership model - Madurai

directorate of town & country planning (dtcp),

tamil nadu

tamil nadu urban development

fund (tnudf)

the tamil nadu slum clearance

board (tnscb)*

tamil nadu electricity board

(tneb)

the tamil nadu pollution control board

(tnpcb)

public Works department

(pWd)

tamil nadu department of environment

(tnde)

madurai local planning

authority

madurai municipal

corporation

tamil nadu Housing

board (tnHb)*

support for national policies on urban poverty

reduction (snpupr)

business groups &

private sector representatives

Knowledge management

partners

city Volunteer technical corps

(cgc-cVtc)

national & city technical

advisory group (ctag)

ngo’s and civil society

groups

the tamil nadu Water supply & drainage board

(tWad)

tamil nadu state transport authority

municipal administration & Water supply

department(m.a & W.s)

commissionerate of municipal

administration(cma)

tamil nadu department of environment

(tnde)

stat

e fo

rum

cIty

ad

mIn

Istr

atIv

e fo

rum

com

mu

nIt

y fo

rum

non governmental stakeholders

regulator / decIsIon membercore authority ‘functional responsible for delivery and execution

advIsory rolecontribute to decisions through analysis of issues and options

In Madurai the proposals to establish a forum to co-ordinate and galvanise stakeholders was a proposal which was widely supported. The partnership has several strands:

Coordination

City Administrative Forum - working across Departments within the Madurai Corporation and other local delivery bodies (including representatives of the local cells of nine State Level bodies).

Tamil Nadu State Forum - a wider consultative group embracing seven further State Level bodies.

Community forum - would play an advisory and monitoring role and would include stakeholders such as City Technical Advisory Group, City Volunteer Technical Corps, research and academic institutions, civil society organisations and private sector representatives.

Project teams

A number of project/task oriented sub groups would be established to develop and report back on particular action plan Projects.

A knowledge management and project preparation partnership was proposed as a mechanism to define technical assistance and capacity building activities, a funding and resourcing strategies and social capital building programmes in the city.

In Bangalore other than the multi-stakeholder workshop it was not proposed to establish new partnerships or coordination bodies but to enhance the support for existing parastatal bodies such as Bangalore Development Authority (BDA) to enhance effectiveness.

In both cities it was felt that once coordinated and agreed implementation responsibilities for individual projects should not be spread too widely to ensure accountability. Where there were joint or overlapping responsibilities for particular projects agencies should work together but with a lead agency for managing the project should be clearly identified.

Using city partnerships to integrate action



Key Finding 8 - Focussing at the city scale is important to gain support for climate change action

Traction on climate change issues through an action planning process can be gained by mobilising city level stakeholders. The expert roundtables held in Chennai and Bangalore concluded that the city scale is the right scale to gain traction on the issues relating to climate change. This is because this is where the issues are felt the most and the scale at which intervention and actions can be made tangible.

However, there was a feeling at both workshops that the lack of institutional capacity and mechanisms for developing and coordinating plans could present a challenge in taking the action necessary. An example given was the lack of enforcement over the sinking of borewells to source groundwater.

Workshops in both cities highlighted that it was a shared responsibility of citizens, civil society and the private sector and not only government to address the issues (for example monitoring and reporting problems) but that initiatives to raise awareness and change behaviours would be needed.

Developing a sense of trusteeship and ownership of the problems through developing local city partnerships was something which was emphasised many times.



BLUe- green InFrastrUCtUre FraMeworK

04



BLUe- green InFrastrUCtUre FraMeworK



Key Finding 9 - Using evidence to convince and mobilise change

The range of available data in each city is fragmented and patchy. Information tends to be held in institutional silos and are not often published online or available. Those documents which are published according to statutory and regulatory requirementsInstitutions in both cities hold incomplete information about the water distribution, sewerage and drainage infrastructure which is not necessarily up to date so the understanding of what infrastructure exists, where and its condition is often uncertain and can present a barrier to setting priorities leading to a fire fighting approach responding to service outrages and blockages/incidents.

Assembling an urban diagnostic and using it as a basis to bring together and engage stakeholders. The process of developing and reviewing the diagnostic was helpful in synthesising a shared understanding of the range of issues and to explore interconnections between existing pattern of vulnerability in the city reflected by incidence of vector borne diseases and lack of piped water and wastewater network coverage and the areas most affected by existing climate events such as floods and storm events.

Climate change is not part of official mandate of urban local bodies in either city. Using the urban diagnostic to explore the future of the city and fast moving urbanisation trends affecting vulnerability together with slower onset climate change impacts was helpful in relating current day to day priorities to future risks.

While no detailed modelling of climate change risks and impacts had been previously undertaken at the city level in either city, mobilising and utilising data from existing sources such as national or State level assessments and relating information to the local situation in both cities helped stakeholders envisage see how slower onset issues would impact on vulnerable areas and how solutions could be built into interventions and projects already being considered.

It also helped to look at the time dimension to help stakeholders look beyond current challenges and immediate concerns and how future climate variability could impact the city. Fast moving urbanisation pressures were considered alongside slower onset climate change impacts on water resources to consider how issues could interact and affect both existing communities as well as peri-urban areas where development is focused.

The infilling and encroachment of tanks and lakes and the lack of provision of water supply and sewerage networks in new development areas were seen as key issues where the city was already storing up problems for the future and where the effects were already being felt.

This helped to shine a light on how the city was expanding and the potential opportunity to establish a new model within city expansion areas such as the Avaniapuram area in Madurai and Bellandur-Sarajapur Road in Bangalore.



Benefits of taking a network view

sustainable solutions must be holistic

Considering the systemic nature of water and blue-green systems, it is vital to have holistic solutions. This was emphasised in the workshops and discussions. For example:

rehabilitation of tanks and channels provides multiple benefits: cleaner water, enhanced capacity to deal with flood risk, biodiversity and amenity, with secondary benefits in terms of incomes and health

dealing with the sewerage system and having appropriate sanitation ensures channels are not polluted, and provides a resource via re-use; with secondary benefits in terms of health, resource re-use

solutions would only be effective if they involve the communities who live alongside channels, as well as the institutions who are charged with managing different parts of the system.

sustainable solutions must meet immediate and future needs

Water solutions will underpin poverty reduction, through saving time, avoiding illness (and medical costs), providing tourism income and reducing the risk of extreme events (e.g. flood, drought). The solutions would also build capacity, in infrastructure, governance and communities, to deal with changes in climate and resource scarcity and price increases. For community stakeholders in the city, health benefits would be highly valued and would build support for other link initiatives where the benefits may be less visible or be felt in communities in other parts of the city.

Understanding water as a system has helped to identify vulnerability in both cities

Water is a system – it flows across the city, it is used for drinking, cooking, washing, fishing, agriculture and industry and then discharged. Seeing cities through this lens has been key to reforming the issues and solutions. It has helped to identify the criticality of two aspects: the role and condition of tanks and channels; and the malfunctioning of sewerage and sanitation. In the case of Madurai, the case study of communities along the Kiruthumal River exemplified the interactions of these two issues and how they are intrinsically intertwined and linked to the third issue of water resources: pollution of the river and groundwater means that communities in many areas cannot access clean water, causing a range of health issues.

The green dimension of the blue-green infrastructure concept relates to the issue that polluted water used to irrigate agriculture along the corridor, is in turn consumed in the produce. The water flowing into the system of natural lakes also impacts on the natural habitat and biodiversity of the city.

The issues highlighted in the urban diagnostic were identified as being complex and systemic in nature. The problems and vulnerabilities experienced within communities were often traceable and linked with natural river and drainage system networks as well as physical infrastructure.

This way of seeing was powerful to stakeholders in the discussions and interactions because it help to link local challenges with the systems and risks operating at city and regional scale.



Understanding water as a system has helped to identify Madurai’s vulnerability

the historical sustainable relationship with water has become stressed.

The urban diagnostic revealed particular vulnerability to water issues. Madurai has historically had a sustainable relationship with water, but this has become stressed due to over-abstraction, sand mining of the Vaigai River, and pollution. The infrastructures of the city have not been extended or developed in an effective way, hindering the alleviation of the pressures which have grown as the population of the city has increased.

Blue-green infrastructure: a way of seeing, a way of integrating

Figure 4.1 - impact of development of Madurai’s water bodies



Key Finding 10 - approach to developing the plan and engaging with institutions and stakeholders should flex to respond to local realities.

There were some differences in how the process of working through the process of developing a future proofing action plan worked out in reality. Bangalore with a population of over 8.42 million3 people has a complex institutional landscape with agencies being responsible for different spatial jurisdictions and with State and Urban Local Bodies having overlapping responsibilities for sectors and competing agendas.

The diagnostic and project was explored with a range of agencies including Great Bangalore Municipal Corporation known as Bruhat Bengaluru Mahanagara Palike (BBMP), Bangalore Development Authority (BDA) and Bangalore Water Supply and Sanitation Board (BWSSB) and BESCOM (electricity). The level of institutional engagement with multi-stakeholder workshops to share the findings of the diagnostic was mixed.

Rather than develop an action plan through the BBMP or BDA the BWSSB emerged as the agency which wished to explore how a future proofing action plan could help to coordinate action around

water issues and how tailored strategies could be developed to respond to differing needs in different parts of the city.

The multiple supply chains for water supply exemplifies multiple overlapping and competing systems which have evolved to address the needs of consumers. Private players and individual households have stepped in to compete with BWSSB but also to bridge the gap where infrastructure gaps exist. How to regulate and manage such a situation and justify the provision of infrastructure to areas which are partially served is a particular challenge.

3 BBMP area, 2011 Census.

Given that BWSSB is not able to able to cater entire water demand for city, both households and establishments depend on other multiple sources, as indicated earlier. There little information

on each of supply chains- whether there are tankers, or bottled water. Existence of these multiple chains means that there is a higher possibility of contamination of potable water.

Source: IIHS Primary Study, 2014

Figure. 4.2 conceptual diagram illustrating multiple supply chains in the city

Category ofwater sources

suppliers Mode of supply/sources Consumers

surfacewater

groundwater

BWSSB Water Supply

Private Players

Self-supply

Piped water supply Network

Water Tankers

Neighbourhood Tube Wells both with

electrified and non-electrified

pump

Artisan wells and tube wells

Directly from surface -

Lakes, Ponds, and Canals

Domestic Residual

Commercial Establishments

Non-revenue water consumer

Industrial Establishments

Economically Weaker sections

(Non-Revenue)

Unaccounted for water

Consumer

Case study: Unregulated supply chains affects how water resources can be tackled

tankers supply water to households and establishments

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In Madurai the Metropolitan Madurai Corporation was the nodal governmental agency for the project at City level. With Madurai being a smaller city the range and number of actors to involve was smaller. However, the role and involvement of State level bodies at key points in the project was a key part of the process in gaining support for the project and the proposals included in the action plan. Engagement took place as part of the engagement process around the city diagnostic as well in conjunction with finalising the proposals.

Another key feature of the project in Madurai was to horizontally the range of partners across sectors to enable greater participation and interaction between governmental and other partners. While groups such as the City Technical Advisory Group and City Volunteer technical Corps had been formed the level and frequency of engagement was limited.

The Civil society sector through Dhan Foundation and the Thiyagarajar College of Engineering represented significant resources for the city in terms of knowledge and expertise. Considerable social capital is vested in these institutions based within the community and who work at ground level in developing and implementing solutions. The formation of an enhanced partnership which draws upon the strengths and capabilities of Urban local bodies and other institutions emerged as a key actionable outcome of the project.



CoMBInIng & deLIverIng ProjeCts & soLUtIons

05



Key Finding 11 - Making the case and securing local resources a key measure of success

Mobilising technical expertise to frame projects in ways which can be considered by governmental actors and donors was an important part of the project. The prospect of moving towards tangible and deliverable projects was a key incentive for governmental stakeholders which helped to provide incentive for engagement over the life of the project.

The process of framing was useful in leading to a series of projects and interventions which were no only locally informed but also formally expressedMobilising the local and international technical experts enabled a programme to be framed using technical language and terms so it could be used by the Corporation and other stakeholders to make the case for securing additional resources for implementation.

Involvement of technical experts with knowledge of project and technical feasibility, funding parameters and the features of projects which would make them attractive to potential funders was helpful in this regard. This helped to distinguish the approach of future proofing from a business as usual approach to stakeholder engagement and action planning.

Both cities already had a series of project priorities and programmes which they were seeking support for. Some of these project have been framed as single sector civil engineering works but without necessarily articulating how interventions would help to build resilience to reduce the vulnerability of communities to climate risks.

In other cases projects had the potential to deliver significant co-benefits such as health benefits (e.g. reduction of vector borne diseases through improved sanitation). However, in some cases maximising the effectiveness of projects required the definition and implementation of supporting soft infrastructure investments in community awareness and capacity building programmes.

Re-framing projects to adopt a more integrated and comprehensive approach to tackling the issues can help to unblock stalled projects and maximise the potential benefits which can be delivered through enhanced project design to maximise the positive impact.

A programmatic approach to developing a series of sequenced an interlinked projects and actions highlighted the potential for the city to make a transformational leap forward which could not otherwise be achieved through incremental and disjointed action.

Key to making the shift from a business as usual approach is the formation and strengthening of partnerships within the city which provide a basis to co-ordinate action across sectors and have the potential to mobilise resources from across all sectors within the city and to make an effective case for securing external resources.

In Madurai, gaining formal support and adoption of plans through endorsement of Corporator’s means that Madurai Corporation and the Tamil Nadu Commissionerate of Municipal Administration can use the plan to now inform and contribute to the process of updating the City Development Plan and Master plan.

In Bangalore, by tacking a more integrated systems view of the issues and challenges Bangalore Water Supply and Sewerage Board has explored how their programme could be enhanced to deliver a more holistic solution. For example, recognising the issue and need to address surface water management, flooding and drainage issues in developing solutions for and liaising with BBMP Public Works Department when developing interventions to address their core mandate of water supply and sewerageThere is also greater awareness of how their approach to action could be tailored to the particular needs of different localities within the city and where liaison with other agencies could lead to wider range of benefits flowing from projects.



Combining & delivery: Projects & solutions - Madurai

Improving adaptive capacity and focusing on critical system links before addressing slower moving long term risks

Figure 5.1 illustrates how the range of measures has been viewed over a 16 year period to 2030, which is also closely aligns

with the upcoming city development plan for Madurai.

The early years of the action plan to 2020 focus on strengthening adaptive capacity and infrastructure deficits of the city, focusing on critical linkages and hotspots which can deliver the most significant immediate benefits. These measures would make an immediate impact to vulnerable communities and in terms of infrastructure

provide a necessary foundation for future measures.

From 2020-2030 the plan includes a broader range of projects to enable the city to future proof its expansion and to address longer term risks such as climate impacts within the water basin catchment of the city as well as flood risk.

Figure 5.2 shows how further studies and data gathering can lead to identification, design and engineering of physical solutions. It can be summarised into five key clusters of actions.

Bottom left - Social capital building and community led initiatives.

Middle left - Enabling actions for sanitation, sewer rehabilitation and solid waste management.

top left - Enabling actions for channel and tank restoration, flood risk mitigation and water resources management.

Bottom middle - Government and future proofing planning actions.

top right - Implementation of more capital intensive infrastructure improvements.

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2

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4

5

Figure 5.1 - Indicative schedule of actions - Madurai tIme

2013 2020 2025 2031+

short term long termmedIum term

3a1a

1b

3c1c

2a

4

3b

10a 10e

8d

8a

9a

8b 8c

8c

6a

6d

5a

7a

5b

9b

8b8e

11a 11b

14

13

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10b 10c 10d

enabling actionsWater resources management and flooding

capital Intensive Infrastructure

Improvements

enabling actionsSanitation and solid waste

governance and future proofing planning

social capital building and community led initiatives

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5



Figure 5.2 sets out the six themes which form the framework for 14 proposed future proofing projects focussed on the blue-green infrastructure of Madurai. Appendix B provides details on the methods of how the projects were selected and developed using future proofing techniques of evaluation and selection. Figure 5.2 also shows how the six themes will be integrated across four dimensions:

Action Plan summary:Madurai

The strategy for future proofing the blue-green infrastructure for Madurai is to build up a programme of projects and actions which reduces vulnerability and address climate and water security risks while delivering multiple benefits to the community.

The actions and projects reflect the range of issues which stakeholders in the community identified as priorities.

Figure 5.2 – tackling risk and vulnerability together in Madurai

tacking risk and vulnerability together in madurai requires integration action across sectors

SHORT TERM vULNERABILITy

LONGER TERM RISkS

The ThemesEnabling Infrastructure

ImprovementsPolicy Regulatory

ImprovementsStrengthening Social

Capital and Governance

Sanitation inc. Sewer system rehabilitation

sewer system rehabilitation sanitation – capacity building

Improved solid waste management

mproved solid waste management

mproved solid waste management

Rehabilitation of channels and tanks and green infrastructure

improvementschannel and tank restoration channel and tank community

involvement

Flood and surface water management

flood & surface water infrastructure improvements

flood & surface water capacity building

Water resources supply-demand balance

Water resources infrastructure improvements

Water resources capacity building

Future proofing land use planning

green city plan linking to the city development plan masterplan

platform for community participation to develop

and deliver city plans

proposals for blue-green infrastructure coordination

chan

nel a

nd ta

nk p

rote

ctio

n an

d m

anag

emen

t



enabling infrastructure improvementsSanitation, including sewer system rehabilitation within the existing urban area, is the key issue which needs to be tackled most urgently because sustainable change on the other issues cannot be delivered without it.

Action to address solid waste management so that channels and sewerage infrastructure does not become blocked can be addressed in parallel.

As these two actions take effect for different branches of the network it will be possible to make sustained progress in rehabilitating channels and tanks. Without separation of sewage, any action will have a limited impact.

As the channels and tank system is restored, it will strengthen drainage systems which will lead to protection from localised flooding during the monsoon, as well as less frequent floods. Action can then shift towards physical interventions to address flood risk along the Vaigai.

Actions to directly address the water resources supply-demand balance in the Vaigai feature lower down the list of priorities. This is because action to address sanitation and sewer system rehabilitation and restoration of green infrastructure corridors will have the effect of increasing the efficiency and effectiveness of water supply and enable the city to improve its resilience by becoming more self sufficient for its water resources needs over time.

strengthening social capital and governanceWhile capital improvements will take time to be fully delivered in the city, social capital can be used to initiate action and deliver improvements in an ongoing basis across the themes. The action plan proposals identify how community based organisations and initiatives are an essential part not only of coping with and managing the issues and gaps but can complement and work alongside government driven initiatives which are capital intensive in terms of finance.

Policy and regulation improvements Spanning the six themes are improvements to policy, legal and regulatory mechanisms and systems which are needed to help sustain change and align incentives between different interests within the city. Measures extend from enforcement of development permits through to fines and penalties relating to dumping of waste for example.

Future proof planningGovernance and future proof planning is something which can be strengthened immediately and is a necessary enabling factor to unlock and strengthen infrastructure delivery. Proposed actions extend across governance mechanisms and partnerships for infrastructure coordination and delivery; a green city plan linking to the CDP/masterplan update which can ensure that policies and safeguarding of and is in place to reduce exposure to risk.



In both cities the effectiveness of the policies were considered. In Bangalore issues of the impact in addressing vulnerability, criticality and complexity of implementation used to help develop the Action Plan strategy.

Impact on vulnerability (of households, systems or resources): All the projects in the long run would help reduce vulnerability, and increase resilience. However, some projects have the potential to have immediate impacts. These kind of projects include ensuring universal water supply, ensuring sanitation, and collection of wastewater and septage management.

Criticality of timing and sequence: Some projects can only commence if certain other projects are finished. For example, recycling of waste water requires waste water collection and treatment facilities to be in place first. Also, generating awareness is also essential for sustainingmany projects.

Complexity of implementation: Certain projects are likely to be complex, owing to design or the existing policy and institutional environment. It would be best to take up such projects later, after the successful completion of some of the earlier projects. For example both the regulatory projects - regulation of tanker supply, and regulation

of ground water - require clarity on goals, powers and procedures, apart from the risk of opposition if introduced without recourse to alternatives.

Trade-offs need to be made between implementation, complexity, vulnerability and impact. Hence certain complex projects could have significant impact and could be commenced earlier, if appropriate institutional capacity, resources and political appetite for change are in place.

Figure 5.3 presents prioritisation of the projects, according to the criteria described above, which have been evaluated and selected according to these criteria.

Project prioritisationBangalore

Figure 5.3 - Prioritisation of the future proofing projects Bangalore

THEMES AND PROJECTS Vulnerability Criticality Complexity

Water resources

Storm water harvesting in lakes Medium Low Medium

Regulate groundwater access and use Low Low High

Regulation of tanker supply Low Low High

Water supply dIstrIbutIon management

Reduction of non-revenue water in BWSSB distribution Medium Medium Medium

Improved and sustained O&M at BWSSB Medium High Medium

Waste Water and sludge collectIon and treatment

Augment setting up full cycle collection and treatment of waste water High High Low

Septage management in city High High Medium

Improved servIce delIvery to households and establIshments

Ensure universal access to safe drinking water High Medium Low

Ensure universal access to household sanitation High Medium Low

Water demand management (ensurIng Water suffIcIency)

Increase recycle and reuse of treated wastewater Low Low Medium

Utilising large reservoirs for decent4ralised supply of drinking water Low Low High

Demand management through devices efficiency Low Medium High

Creating awareness within various stakeholder and collating platforms for stakeholder engagement Medium High High

Source: IIHS Analysis, 2014

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8

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Implementation issues

Some implementation issues are common across projects.

Coordination: When a particular project requires more than one lead agency to implement the project, coordination between the agencies is of paramount importance. However, currently there are no mechanisms/ procedures and no incentives in place to ensure this coordination at the operational level. The structure and procedure followed by the Supreme Court to tackle New Delhi’s air pollution might be useful here as a model.

Capacity issues: Though not clear from the above table, there are serious capacity constraints within the institutions. There is lack of availability of trained and competent personnel. There is lack of procedures and systems for projects to be implemented to high standards.

Institutionalisation: To ensure sustained changes, it is necessary that the changes are institutionalised, instead of mere implementation of projects. Currently, as projects are implemented; there is little institutional learning and conversion of project achievements into standard operating procedures.



Policies and regulations

In both cities, there are some projects that require new policy framework, or probably changes in the legal framework to empower institutions to take on additional responsible. This section highlights some of the key changes that are required. These changes are required not only to implement projects, but also to sustain changes.

Figure 5.4 and 5.5 summarise the proposed policy changes for each city.

Figure 5.4 - Key regulatory and policy changes required for enabling action plan projects - Bangalore

theme actIons needed for creatIng enablIng envIronment

Water resources Regional planning at BMRDA level for comprehensive water resource management.

Clear ownership/custodianship of lakes within BBMP and facilitation of coordinated activities within each watershed.

Detail and implement the procedures for enforcing the Karnataka Ground Water Act and Rules, 2011 to create a database of bore wells, monitor abstraction and control abstraction.

BBMP bye-law for facilitating regulation of tanker supply.

Licensing and right-of-way controls on tanker supply of water.

Statutory master plan (BDA)-Linking considerations of water and sanitation in Plan guidelines.

Enforce RWH for new buildings and campaign increased adoption in existing buildings.

Water supply distribution management

Regulatory framework for guiding water utility performance parameters and ensuring adequate investments in O&M.

Waste water and sludge - collection and treatment

Develop city sanitation plan for BBMP as guided by NUSP with planning at ward and neighbourhood level.

Encourage ward-level adherence and performance on cleanliness through competitions.

Improved service delivery to households and establishments

Rational Tariff policy with lifeline supply and telescopic pricing towards enabling water conservation.

Create incentive for BWSSB to adhere/achieve service level benchmarks.

Water demand management City water policy to be developed with a visionary plan of utilising multiple sources and reducing dependence on water imports.

Provide incentives for adopting water-use efficiency fixtures to catalyse market.

Mandate use of recycled water for non-potable uses in larger complexes, establishments, campuses and private layouts.



project action responsibility mechanism

channel and tank protection and management

establishment and refinement of operational rules

pWd with tWad and tnpcb. guidelines adopted by state level bodies and madurai corporation in parallel.

abstraction management – enforcement of existing rules

tWad additional resources deployed.

discharge regulation and management tnpcbmadurai corporation (linking to development permits)

coordination and enforcement between the two bodies.additional penalties may be required.

encroachment management pWd (management), tnpcb (enforcement) and madurai corporation and dtcp (policies)

improved policies in cdp. capacity building and resources for follow up (pWd and tnscb with community organisations).

pinfrastructure coordination

enablement of proposed coordination structures

madurai corporation through local byelaw

infrastructure standards and coordination procedures to enable appropriate phasing

madurai corporation through local byelaw

green city plan linking to the city development plan and masterplan

policies on channel and tank protection developed by madurai corporation planning team and dtcp lpa team with pWd, tWad, tnpcb and tnde.

city development plan.

identification of zoned areas/overlays for flood protection areas and supporting policies.

policies developed jointly by madurai corporation planning team, dtcp lpa team with pWd and tWad.

areas shown on city masterplan. policy approach with criteria for development linked to design standards to regulate development adopted via cdp/masterplan.

identification and zoning for protection of natural habitat areas and establishment of management norms.

developed by madurai corporation planning team and dtcp lpa team with support from department of environment and pWd).

developed and adopted through cdp/masterplan process.

identification and planning of urban green space with design and management standards

developed by madurai corporation planning team and dtcp lpa team and pWd.

developed and adopted through cdp/masterplan process.

planning policies and design standards for new communities/ eco neighbourhoods

developed by madurai corporation and dtcp lpa team.

locations identified and policies and standards developed through cdp process.local byelaw needed to supplement state level planning standards.

land consolidation and management measures to enable - town planning schemes.compensation and incentive structures to enable effective protection of safeguarded land and appropriate management and stewardship.

developed by dtcp state legislation and guidelines building upon frameworks at national level.

Figure 5.5- suggested changes to policy and regulatory framework - Madurai

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addressIng IndIa’s UrBanIsatIon CHaLLenge

06



Key Finding 12 - Institutions at local level do not hold all of the keys for addressing the challenge

While the city scale was highlighted as the right scale for mobilising action Urban local bodies and other locally based institutions require the support and buy in from State and national level agencies to make the change.

The introduction of the 74th constitutional amendment in 1992 devolved planning regulation and development authority to Urban Local Bodies (ULBs). However, resources and much of the power over development in terms of finance and approval rests with State and national government.

Local byelaws and improved coordination working within existing legal and institutional structures could provide a starting point for some early wins. However, for major regulatory and policy changes identified within the action plans to be introduced would require amendment to or additional regulation at State level.

In addition, to deliver major capital projects for infrastructure there is a need to source external finance to support investment. The level and value of revenue which could be mobilised from local taxes and user charges in support of loans for capital investment is limited. As a result grants or loans from state or national government and or supporting co-finance from the private sector or multilateral and bi-lateral international financial institutions donors are required. The capacity and authority to broker and guarantee rests at State and National government and requires appropriate political support at these levels in addition to agreement at urban local body level.

The action plans were used to engage a range of potential institutions with potential for providing resources and support in connection with projects.



this section highlights the opportunities for addressing India’s wider urbanisation, climate and resource security risks and poverty reduction challenges by applying a similar future proofing process in other cities.

Consideration is given to how future proofing could be mobilised in support of the 100 Smart Cities Programme and the National Urban Renewal Mission.

Introduction: the challenge ahead

The key principles and issues to be considered when applying the approach are then highlighted.

The section concludes with the possible entry points for Municipalities, City Corporations and other Urban Local bodies. The role which State and National level government and international multilateral and bilateral agencies could play is also highlighted. The role which civil society the private sector and other actors is also considered.

India’s urbanisation is at the crossroads

The two cities of Madurai and Bangalore where the future proofing approach has been piloted as part of this study are representative of many of the challenges facing a wide range of India’s cities.

With the level of urbanisation now past 30% and increasing to 50% by 2050, there is a need for India to make a step change in addressing the needs and challenges facing urban areas.

30%Urbanised 201035%Urbanised 203050%Urbanised 2050

Source: United Nations Population DivisionIndia’s urbanisation trajectory

Figure 6.1 - India’s urbanisation trajectory



Several influential high level reports have underlined the scale of the challenge nationally and have made a valuable contribution to the debate on how urbanisation can be managed.

The UN Habitat State of the World Cities Report 2014 highlighted that slum dwellers accounted for 29.4% of the urban population in 20091.

The High Powered Expert Committee reviewing India’s Infrastructure Investment needs highlighted that the population of India’s cities is forecast to rise by 245 million people between 2010 and 2030 with 70% of the building stock required yet to be built. The urban infrastructure investment needs for Indian Cities is estimated at Rs 39.2 Lakh Crore for the period 2012-20312.

The World Bank India Urbanisation Review highlighted the range of challenges facing cities of different sizes and types3. It highlighted several areas for policy reform including accommodating urban expansion through land policies; reforming policies relating to urban densities, aligning accessibility and infrastructure improvements with zoning and addressing connectivity and service delivery.

The review of progress on the JNNURM highlighted the slow progress in disbursing funds due to insufficient capacity to develop and prepare the case for projects and programmes at local level4. There are often technical gaps in Detailed Project Reports which mean that

projects cannot proceed. In addition, there is often insufficient matching funds and revenues coming forward from the State and local level for projects for projects to be financed on a sustainable footing. The lack of appetite for reform and capacity for revenue collection was highlighted as a particular issue.

The thrust of the reports are consistent in the fact that India needs to move to a sustainable urbanisation model. Such an approach can meet the needs of the people providing economic opportunity and prosperity for all, reducing vulnerability through tackling poverty and inequality, and addressing the environmental issues and challenges facing cities including those presented by climate change. The gaps in capacity at city level in terms of skills and financial resources is also a reoccurring theme.

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Guw

ahat

i (G

auha

ti) -

Indi

a

Sola

pur -

Indi

a

Khar

toum

- Su

dan

Amrit

sar -

Indi

a

Mys

ore

- Ind

ia

Chen

nai (

Mad

ras)

- In

dia

Asan

sol -

Indi

a

Nas

hik

- Ind

ia

Band

ung

- Ind

ones

ia

Mal

ang

- Ind

ones

ia

Ho C

hi M

inh

City

- Vi

et N

am

Vija

yaw

ada

- Ind

ia

Coim

bato

re -

Indi

a

Tiru

ppur

- In

dia

Bhiw

andi

- In

dia

Jala

ndha

r - In

dia

Sem

aran

g - I

ndon

esia

Port

Har

cour

t - N

iger

ia

Nag

pur -

Indi

a

Pune

(Poo

na) -

Indi

a

Kozh

ikod

e (C

alic

ut) -

Indi

a

Rajk

ot -

Indi

a

Ludh

iana

- In

dia

Visa

khap

atna

m -

Indi

a

Delh

i - I

ndia

Ahm

adab

ad -

Indi

a

Koch

i (Co

chin

) - In

dia

Thiru

vana

ntha

pura

m -

Indi

a

Bang

alor

e - I

ndia

Chitt

agon

g - B

angl

ades

h

Mum

bai (

Bom

bay)

- In

dia

Durb

an -

Sout

h Af

rica

Sura

baya

- In

done

sia

Port

Eliz

abet

h - S

outh

Afri

ca

Peka

n Ba

ru -

Indo

nesi

a

Ekur

hule

ni (E

ast R

and)

- So

uth

Afric

a

Khul

na -

Bang

lade

sh

Chan

diga

rh -

Indi

a

Cape

Tow

n - S

outh

Afri

ca

Joha

nnes

burg

- So

uth

Afric

a

Jaka

rta

- Ind

ones

ia

Bang

kok

- Tha

iland

Rajs

hahi

- Ba

ngla

desh

Pret

oria

- So

uth

Afric

a

Benc

hmar

k ci

ties

source: atkins’ urban risk database. the benchmark cities include 12 cities in middle and high income countries (see appendix 1).

Figure 6.2 - the different income levels and projected economic growth of cities versus population dynamics of cities across developing cities:

jabalpur

varansaI

vadodara

1

2

3

5

6

7

8

9

10 35,000

30,000

25,000

20,000

15,000

10,000

5,000

0

4



1 United Nations Department of Economic and Social Affairs, Population Division (2012) World Urbanization Prospects: The 2011 Revision, United Nations, New york,

2 High Powered Expert Committee (2011) Report on Indian Urban Infrastructure and Services. Government of India.

3 World Bank (2013) Urbanization Beyond Municipal Boundaries: Nurturing Metropolitan Economies and Connecting Peri-Urban Areas in India. World Bank, India.

4 Grant Thornton (2011) Appraisal of Review of JNNURM for Ministry of Urban Development.

Underlining climate change risks and vulnerabilities as part of the urban equation

The Future Proofing Cities report published by DFID in 2012 highlighted the environmental risks and challenges facing India’s cities and how these could be magnified by the scale and pace of change (see Figure 6.2).

The report highlighted from a top level profile that the risks vary significantly between cities. The report found that it is possible to group cities into a broad typology based on the most significant risks faced (see Figure 6.3).

0.00

0.00

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0.00

0.00

0.01

0.01

0.01

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Kisa

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RC

Mbu

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- DRC

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DRC

Kins

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- DR

C

Kano

- N

iger

ia

Mai

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ri - N

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Blan

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-Lim

be -

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awi

Mat

ola

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- N

iger

ia

Lilo

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alaw

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r - In

dia

Addi

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iger

ia

Kath

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al

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Nai

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nya

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ia

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eria

Ibad

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ka -

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Dar e

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pur -

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Jaip

ur -

Indi

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Alla

haba

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ndia

Luck

now

- In

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Alig

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Mom

basa

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Raw

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an -

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Mee

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agar

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mu

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Raip

ur -

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chi -

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- Nig

eria

Dhar

wad

– In

dia

0

5

10

15

20

25

30

35

0

5

10

15

20

25

30

35

Ranc

hi -

Indi

a

Accr

a - G

hana

Durg

-Bhi

lain

agar

- In

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Tiru

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li - I

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Bhub

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- In

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Hà N

oi -

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Beni

n Ci

ty -

Nig

eria

Pale

mba

ng -

Indo

nesi

a

Dhak

a - B

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ades

h

Jam

shed

pur -

Indi

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Isla

mab

ad -

Paki

stan

Hyde

raba

d –

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a

Hyde

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d - P

akis

tan

Aura

ngab

ad -

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Mad

urai

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Kolk

ata

(Cal

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a) -

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a

Da N

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- CP

- Vie

t Nam

Sale

m -

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t - In

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ti) -

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pur -

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a

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- Su

dan

Amrit

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a

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ore

- Ind

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Chen

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Port

Har

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Nag

pur -

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(Poo

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Kozh

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a

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ot -

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a

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dia

Visa

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m -

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a

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i - I

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ad -

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a

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i (Co

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vana

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m -

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a

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alor

e - I

ndia

Chitt

agon

g - B

angl

ades

h

Mum

bai (

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bay)

- In

dia

Durb

an -

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h Af

rica

Sura

baya

- In

done

sia

Port

Eliz

abet

h - S

outh

Afri

ca

Peka

n Ba

ru -

Indo

nesi

a

Ekur

hule

ni (E

ast R

and)

- So

uth

Afric

a

Khul

na -

Bang

lade

sh

Chan

diga

rh -

Indi

a

Cape

Tow

n - S

outh

Afri

ca

Joha

nnes

burg

- So

uth

Afric

a

Jaka

rta

- Ind

ones

ia

Bang

kok

- Tha

iland

Rajs

hahi

- Ba

ngla

desh

Pret

oria

- So

uth

Afric

a

Benc

hmar

k ci

ties

GDP per capita, 2010 in ‘000s (constant $2005) (thousands)

maduraI bangalore

Ratio of GDP growth to population growth 2010-2025

The report highlighted the range of policies and measures which can be used to tackle multiple environmental risks in was which reduce vulnerability and build capacity to act. The report highlighted that there can be no one size fits all in terms of solutions. However, future proofing provides a process for working through the issues and tackling the issues in a holistic way.

The report underlined the importance of examining future proofing issues in detail at local level to understand the full implications within the city and its wider urban catchment.

This project has applied the approach at local level in two cities in a real world context over a year and a half. The project has shown how the approach of combining an integrated urban diagnostics with an action planning process to develop a plan can be useful for cities to tackle their climate change issues and vulnerability together. The approach is directly relevant to the 100 Smart Cities programme which also seeks to tackle issues in a holistic manner and to establish a model for urban development which can tackle the interlinked issues facing India’s cities.



Figure 6.3 - typology of risks facing selected south asia cities

legend type 1 cities – Energy intensive sprawled cities with high carbon footprints type 2 cities – Cities with major climate hazards

type 3 cities – Cities with risks to regional support system(s)

type 4 cities – Cities with multiple risks

type 5 cities – Cities with low current risk profile

unknown risk type – Cities with unknown climate risks due to data availability



5 Ministry of Urban Development (2014) draft Concept Note on Smart City Scheme. http://indiansmartcities.in/downloads/CONCEPT_NOTE_-3.12.2014__REvISED_AND_LATEST_.pdf

Future proofing as a means for shaping smart cities in India

The integrated approach which the future proofing approach is directly relevant to the 100 Smart Cities programmes. While the concept and definition of the programme is being developed the concept note published in October 2014 provides an indication of the direction of travel5.

The smart cities pillars provide a description of the range of different policy areas which can be tackled to contribute to quality of life and employment in cities.

The importance of governance and institutional infrastructure is highlighted as a critical factor in identifying and framing the type of instruments required for a particular city and determining how appropriate solutions can be developed and implemented along with finance and capacity.

SOC

IAL

INFR

AST

RU

CTU

RE

PHY

SIC

AL

INFR

AST

RU

CTU

RE

INST

ITU

TIO

NA

L IN

FRA

STR

UC

TUR

E

ECO

NO

MIC

INFR

AST

RU

CTU

RE

EMPLOYMENT

SUSTAINABILITY

QUALITYOF LIFE

Figure 6.4 - How

future proofing

relates to the

smart city

concept

The focus of the smart cities framework is on addressing infrastructure gaps in order to meet service delivery benchmarks for a range of “smart cities” indicators across transport, spatial planning, water supply, sewerage and sanitation, solid waste management, storm water drainage, electricity, telephone connections, wi-fi connectivity, healthcare facilities, education, fire-fighting and others (including green buildings and renewables).

The focus is on the quantity and level of service/access criteria rather than the quality of provision. The Smart City Scheme components are considered individually rather than in combination.

the role which a future proofing Cities approach can play

The future proofing approach is relevant to achieving progress towards Smart cities as it provides a framework for working through and setting priorities for achieving the level of service goals identified. A

summary of how the future proofing approach can be applied to support decision making is provided below.

Firstly, the added value Future Proofing can bring is that the issues of climate risk and resource availability are considered in the context of setting and meeting goals. This enables cities to better manage their long term growth and urbanisation in the context of environmental change in addition to addressing immediate short term needs.

The second benefit from future proofing is integration. It provides a basis for considering issues and opportunities together so that action can be coordinated on a cross sector basis. This can be used to link interventions and projects to achieve multiple goals and maximise the ability of actions to catalyse growth.



The third benefit is that the future proofing approach considers the capacity required to implement solutions. The costs of particular solutions are considered in the context of what is required to support effective delivery considering governance, planning and deliverability.

Figure 6.6 - the interaction of environmental risks and capacity to act

source: atkins

high capacity

high capacity

economy governance plannIng fInance and delIvery

focus on cheap, cost effective investments with significant short-medium term economic co-benefits e.g. no/low regret options

focus on investments requiring relatively limited governance capabilities and that rely more on private sector capital and entrepreneurship with limited need for government support

focus on investments which can be planned on sector or bi/ tri-sector basis without the need for participatory and integrated planning

focus on financing and delivering easily understandable investments that do not require wide and deep financial sectors, and can simply blend public, private, and catalytic development financing

greater ability to invest in more costly, capital intensive solutions with longer pay-back periods e.g. higher regrets options

greater ability to mobilise and coordinate investments requiring broad based support from stakeholders at vertical and horizontal levels

greater ability to invest in strategic responses requiring participatory and integrated planning with a broad distribution of responses across government and civil society

greater ability to finance and deliver complex investment programmes/projects mobilising capital and expertise from multiple sources

low capacity

low capacity

Figure 6.6 – reviewing the capacity to act at city level is important in developing an approach which can be effective in practice and identify areas where there could be a need for capacity building to help deliver projects.



Policy Framework: decision-support tool

Based on an integrated diagnostic of their urban type, vulnerabilities, and capacity to act, cities can start to develop a programme for future proofing through a five stage process. First, identifying the environmental risks solutions can address (i.e. climate change mitigation, adaptation, resource efficiency). Second, their potential

to address vulnerabilities and deliver wider economic development benefits. Third, the capacity required for implementation. Fourth, assessing in further detail their impact and cost effectiveness in delivering environmental, social, and economic benefits. Fifth, bringing these elements together to assemble policy portfolios. This is particularly pertinent given the climate hazards and resource related water

and security risks many cities face as well as the energy intensive development path many cities are following. By considering these issues in the context of the pattern of urban vulnerability they can be built into the overall approach of targeting action to addressing infrastructure gaps rather than being seen as a side issue.

4. Impact & cost effectIveness

IdentIfIcatIon & appraIsal of potentIal solutIons

urban dIagnostIc

capacIty to act

Economy Governance Planning

Finance and delivery

vulnerabIlIty

Level of poverty and inequality

Strength of basic infrastructure and services

Urban form

rIsk: urban type

1. rIsks addressed

3. capacIty reQuIred to Implement solutIons

2. abIlIty to target vulnerabIlItIes and catalyse economIc

groWth Urban poor

Basic service delivery

Jobs, capital stock, growth, competitiveness

Carbon emissions and energy use

Climate change hazard risks

Resource use and ecosystems (water, food, land

use/agriculture, materials, natural habitat)

Affordability (up-front and lifecycle costs)

Strength and legitimacy of governance required

Planning capacity required

Deliverability

5. assemble polIcy portfolIo Policy complementarity and conflicts

Balance of transformational, transition, and resilience measures

Sequencing



smart and future proofed

The experience of applying the future proofing approach with stakeholders in two of India’s cities has highlighted some key components which could support the development of the Indian Smart Cities programme.

not only about supply side of infrastructure. The future proofing approach highlighted that for existing challenges in both cities to be tackled effectively, a combination of infrastructure enabling actions as well as policy reforms and social capital building activities were required. Tacking this approach can tackle both existing infrastructure shortfalls as well as provide a sustainable basis for city growth and expansion.

Infrastructure for development - The future proofing process highlighted how a programmatic approach to defining projects to address multiple interlinked issues can be effective in delivering wider co-benefits at the same time. For example, some of these benefits such as the health benefits from reducing water borne diseases were seen as among the most important issues for vulnerable households. Alleviating flood risk through establishing a green space network can enable space for water on a temporary basis whilst addressing deficiencies in urban green space.

Undertaking diagnostic assessments covering energy and low carbon assessments for climate change mitigation; climate change adaptation; resources; and vulnerability at the same time as considering future development and infrastructure needs enables effective policy integration and increases the likely effectiveness of the plan.

addressing climate change risks while tackling vulnerabilities should be viewed as an ongoing process rather than a one off activity.

dynamic data needs – in order to manage uncertainty there is a need for hypothesis, professional judgement and a process of triangulation/validation using multiple data sources to build a picture which is “good enough” to shape strategies and

action plans. However, this is not a substitute for more detailed data collection and pre-feasibility required to support key decisions and concept and detailed design.

stakeholder engagement - The process of developing an integrated plan needs to actively involve and engage the community, private sector and other knowledge partners as active participants in the process beginning at an early stage.

no one size fits all - While the process can be the same in every city, the process for planning and engagement needs to be created around the dynamics in the city in terms of institutions and stakeholders. The process for future proofing took time to establish and embed. A continuous process of engagement and alignment are needed to keep the process on track.

regulations and standards are required to make implementation effective - New instruments for governance are likely to be needed including platforms for coordination, as well as policies, standards and regulation.

Forming city level partnerships can be a critical factor in making integration a reality - Establishing knowledge and learning partnerships with educational institutions, civil society partners and technical expertise at an early stage can bring different kinds of knowledge to build a picture of the issues. Until the net is cast wide there is a risk important issues may be overlooked.

Plans should be transformational but implementable - responding to the scale and pace of change cities face. This recognises that plans should take a long term perspective but combining the need for flexibility to be built in to enable revisions to be built in in response to economic cycles and enhanced information on climate risks for example. The approach to implementation should be considered from the outset. Early win projects can help build support for the plan.

what are the entry points for applying and scaling the approach? what can cities and state level governments do.

Cities can start to implement a future proofing approach by considering their existing position in connection with policy and plan making, people and partnerships, finance and key events. State and national government agencies also have an important role to play in guiding and shaping action.

Policy and plan making

1. Use State Level Climate Change Action Plans as a starting point for considering the issues facing the city and building support.

2. Review/undertake state urbanisation reviews and strategies to understand existing patterns of development.

3. Use the preparation or review of the City Development Plan (CDP) as to build in climate change considerations into planning. Future proofing can identify the components and policies required.

4. The preparation of a Detailed Project Report (DPR) can provide a catalyst for considering opportunities for addressing climate risks and reducing impacts on vulnerable communities in advance of a more comprehensive strategic planning exercise.

5. Within established legal and regulatory frameworks room should be made for innovation of processes and allow for new solutions to be piloted.

People and Partnerships

6. City leaders – political and administrative should create opportunities for dialogue to breakdown silos within and between organisations. This could take the form of knowledge sharing sessions and group challenges to promote collaborative behaviours.

7. Awareness raising – this should be integral to the process and engage the whole community providing opportunities for people to play an active part. Use of social media, community sensitisation through city walks to key problem areas as well as traditional communication methods



should be used. Local community based initiatives can be used to build momentum and support for longer term projects.

8. State and Urban local bodies should understand civil society and non-governmental projects and programmes which are active in their jurisdiction. Scaling the impact of existing community programmes and projects could represent an early win opportunity to scale or broaden quickly and embed city partnerships.

9. The national law for larger firms to contribute 1% of their revenue to CSR activities represents an opportunity to engage the private sector and local Chamber of Indian Industry (CII) chapters.

10. Knowledge and learning partnerships engaging relevant faculties within local universities and joining city peer to peer networks provide opportunities for exchanging information and ideas on what works.

Finance

11. Budgeting – the annual budgeting process provides an opportunity to consider how expenditure can be directed to achieve multiple goals as well as consider opportunities for revenue generation to finance plans. Participatory budgeting processes and tools could be used as a way of opening up a discussion of how to improve the effectiveness of spending.

12. Grant funds and challenge funds – Many international organisations and philanthropic organisations have grant or challenge fund programmes. The prospect of funding could provide the impetus to take forward pilot projects and small scale planning and community led initiatives.

13. Climate Finance. The Green Climate Fund and other international climate funds are directed towards supporting loan and grant instruments which are targeted towards addressing climate mitigation and or adaptation actions. By framing infrastructure programmes to incorporate climate risks at the same time as addressing existing gaps and future needs can enable access to this source of funding to establish more effective and “future proofed” projects.

14. National governmental programmes – A future proofing action plan can help to make the case for attracting support from national programmes and funds such as those associated with the National Urban Renewal Mission and National Sustainable Habitat Mission for example.

Using events and circumstances to shift gear

15. India is subjected to climate related extreme weather events each year including flooding. While unfortunate, these events can often provide a branching point or catalyst for mobilising action to develop longer term actions beyond disaster risk reduction. Having a focus on particular vulnerable or problem locations within cities can also be helpful in developing early win projects.

16. The opportunity for major new development taking place as part of a new township or rehabilitation of an existing community can provide a platform for taking an integrated approach to tackling issues at a comprehensive level.

17. Political change can provide a basis for shaping plans and projects.

actions for national and state governments

a guiding hand

18. National and State level governments should provide leadership and support for building effective cross sector co-operation between State and Urban local bodies for taking action. Sometimes there could be a need to help unblock issues and challenges which may emerge. Higher level agencies can help to align incentives and align stakeholders to recognise the shared value which may be developed through a collaborative approach to projects and actions.

19. Establishing the field of play through establishing frameworks, regulations and standards for embedding processes and procedures can help to institutionalise best practice.

Knowledge products and other manuals and toolkits can help support this process and enable programmes to be scaled effectively.

20. National and state level institutions will be responsible for defining and administering programmes at city level. In developing the metrics, criteria and performance standards for projects they can incentivise and channel funding to help achieve smart city and future proofing goals as well as monitor and evaluate performance.

21. Institutional structures and mechanisms which may be required to enable implementation are likely to require the support of national and state level bodies who are also likely to be responsible for formulating and adopting regulations and their approval.

22. Land reform is likely to be needed to fully achieve a planned and sustainable blue green infrastructure network in order that goals for safeguarding at risk areas and a more comprehensive basis for planning and infrastructure delivery can take place allowing for appropriate land assembly and compensation to take place. This issue has received significant attention at national level.

23. State level bodies can support cities in their thrust towards cross sector working. They can change the terms of the debate and ensure that all relevant players are brought to the table including the inclusion of non-governmental partners. Through application of policy at national level they can ensure that city programmes and projects are framed to deliver climate change mitigation and adaptation goals and alleviate poverty in their design.



aPPendIx a: teCHnICaL notes

07



Figure a-1 - Pillars of the smart city.

source: moud

Appendix A: Overview of smart city pillars and future proofing policies

QUALITy OF LIFE

PHysICaL InFrastrUCtre

Power

water supply

solid waste management

sewerage

Multimodal transport

Cyber connection

Connectivity (roads, rail)

disaster

Housing

education

Heathcare

entertainment(Parks and greens, music,

culture and heritage, sports, tourist sports)

Inclusive planning (SC/ST, backward incentives)

Building homes

InstItUtIonaL InFrastrUCtUre

speedy service delivery

enforcement

security

taxation

Institutional Finance/banking

transparency and accountabilty

skill development

environmnetal sustainability

ICt based service delivery

People’s participation in decision

Citizen advisory committee

eConoMIC InFrastrUCtUre

gdP contribution

job creation

Livelihood activities

Market growth

soCIaL InFrastrUCtUre



policies relevant to urban types

gov

ernm

ent

and

regi

onal

diversification of energy sources and distribution

reform pricing of energy e.g. reviewing energy subsidies

adaptive social protection programmes (e.g. combining drr and cca)

programmes to improve social cohesion e.g. gender and race relations

insurance programs (targeting the poor e.g. microinsurance)

public health programmes and hazard planning to tackle vector borne diseases and climate related risks

diversification of agriculture away from climate and resource sensitive areas

implementation of sustainable tourism policies

economic diversification of urban economy

reform water pricing

use of less fossil fuel intensive food sources within supply chains

upgrade skills of labour force to promote labour flexibility and innovation in responding to climate related and resource shocks

policies to support low carbon, resource efficient, and climate resilient innovation and deployment

reduce barriers of entry for small and micro businesses to help adjustment and innovation in responding to climate related and resource shocks

schemes to encourage intra-country or fdi into low carbon, resource efficient, and climate sensitive technologies/sectors

land management policies and property rights

city

and

loc

al

mixed use zoning

mass transit orientated development plans

pedestrian and bike orientated development plans

increased density incentives/standards

infill and brownfield incentives

transit orientated nodes

air quality management

restricted development on vulnerable land

relocation of development from vulnerable areas

strategic planning of key infrastructure in lower risk locations and buffer zones

greenbelt/growth boundaries

greenspace zoning

sect

or: t

rans

port

brt

park and ride

low emissions Zones

metro and urban rail systems

standard bus services

improvements in public transport information

public transport lanes

managed/regulated para-transit e.g. minibuses

fleet replacement with low carbon, energy efficient vehicles (e.g. car scrappage schemes)

fuel switching in transport fleet

driving and parking management and calming measures (demand reduction) (e.g. parking restrictions)

parking privileges for low carbon vehicles

car clubs/pooling

Hybrid and electric vehicles incentive programme

tougher minimum emissions/fuel economy standards

High quality walking and cycling infrastructure

intelligent transport systems

Vehicle quota systems

public transport temperature/other tolerance standards

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energy efficient street lighting

use of local and resource efficient materials in building construction e.g. procurement modalities

off grid energy and water supply

construction waste management

solar orientation for new build neighbourhoods / cities

retrofit to address natural hazards/ climate risks

storm and flood resilient new build

implementation of building codes or design/appliance principles for new build (minimum energy and water use performance, 'passive heating or cooling', ground clearance, flood compatible uses on ground floors)

retrofit existing buildings to improve resource efficiency and thermal performance

fully integrated eco-villages/neighbourhood schemes

demand management schemes targeting built environment

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Figure a-2 – Future Proofing Cities policies

The table and descriptions on the following page provides an overview of more than 100 policies which can be used to address environmental risks spanning across sectors.



This matrix illustrates the policies likely to be most immediately relevant to different urban types given the most important existing identified risks.

For cities with a low risk profile, cities will need to take steps to identify in further detail emerging risks. These cities will continue to grow and develop and should look for opportunities to combine measures from across the different categories to future proof their development and avoid locking themselves into long lived, maladapted development paths.

* desalination plants often have a significant trade-off between climate change mitigation and adaptation benefits (see later)

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micro generation

sustainable use of biofuels

cHp/district Heating or cooling

smart grids

large scale renewable generation at city scale

smart metering

improved energy access (renewable) to unserved communities

energy from waste (e.g. landfill gas capture)

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improved industrial processes e.g. energy, water efficiency

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protection of groundwater resources

desalinisation plants*

sustainable urban drainage schemes

exploration and development of alternative water sources

building simple latrines

protection of water catchment areas

greywater harvesting

improved provision, management and maintenance of water and sanitation systems (including waste water treatment plants)

climate resilient / water efficient landscaping

demand management e.g. leakage management, metering, volume charging

Watershed reforestation/restoration

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reforestation in flood buffer areas

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early warning systems

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anticipatory planning processes and mechanisms for responding to food price volatility (inc in relation to urban climate impacts)

urban agriculture and local markets

urban agroforestry to improve forest goods and services

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creation, enhancement, management, and monitoring of habitats and important species

erosion control e.g. wind breaks and strip farming

soil fertility maintenance

protection and enhancement of aquatic, coastal and marine ecosystems

restrictions on pesticides/chemicals

tree planting programmes/reforestation

measures to avoid deforestation in catchment

mitigation of urban Heat through greening (inc. heat tolerance measures)

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slum upgrade, including innovative high sufficiency unit design

sustainable and affordable houses for the poor

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cities with multiple risks



The table below provides a more detailed description of the policy options for future proofing.

no. policy category general description

1 diversification of energy sources and distribution

shifting energy sources away from a high dependence on fossil fuel towards renewable energy sources.

2 reform pricing of energy e.g. reviewing energy subsidies

reform of subsidies programmes which artificially reduce fossil fuel prices versus market rates and encourage greater use.

3 adaptive social protection programmes (e.g. combining drr and cca)

an interlinked approach that combines key elements of social protection (sp), disaster risk reduction (ddr) and climate change adaptation (cr). the approach tackles unsafe living conditions, seeks to address the underlying causes of vulnerability, and promote people’s ability to adapt to a changing climate.

4 programmes to improve social cohesion e.g. gender and race relations

programmes to improve social cohesion can directly or indirectly assist in building resilience and adaptive capacity to respond to climate and environmental risks. for example, measures to strengthen social cohesion can support communities to respond quickly and in a unified way to climate related disasters.

5 insurance programs (targeting the poor e.g. micro insurance)

micro insurance schemes are risk-pooling tools that spread the risk of a disaster among many people. insurance programmes provide safety nets for the urban poor by reducing their reliance on humanitarian aid in the event of a climate-related disaster.

6 public health programmes and hazard planning to tackle vector borne diseases and climate related risks

measures to strengthen public health programmes. these could include developing climate proofing plans, policies and strategies and strengthening public health infrastructure including disaster and emergency preparedness. Highly climate-sensitive diseases, such as vector borne diseases (malaria, dengue) are expected to worsen as the climate changes.

7 diversification of agriculture away from climate and resource sensitive areas

measures to diversify agriculture away from climate and resource sensitive areas. this could include adopting production systems that are resilient to land and water modifications e.g. crop rotations, agroforestry, crop-livestock associations, and crop-fish systems. agricultural productivity can be seriously impeded by climate change (e.g. higher temperatures and decreased rainfall) and damage to natural ecosystems (e.g. water).

8 implementation of sustainable tourism policies

tourism which aims to make a positive impact on the environment as well as economic and social development. policies can relate to the husbandry of natural resources, management of pressures on infrastructure, energy, water and waste, and optimising the presence of tourism to benefit local communities.

9 economic diversification of urban economy

reducing overall dependency over time on sectors of the economy such as commodities and fossil fuels which are non-renewable resources as well as sectors in geographical areas that are more likely to be affected by climate risks such as agriculture and tourism.

10 reform water pricing setting tariffs/user prices that more accurately reflect the consumption and treatment costs of water. for example, a cost recovery approach can help to conserve water resources and encourage greater water efficiency among agricultural, industrial, commercial and domestic consumers.

11 use of less fossil fuel intensive food sources within supply chains

reducing the food sector's dependence on the high and fluctuating prices of fossil fuels through methods which reduce transport related food miles through improved distribution networks and supply chains which reduce transport related emissions and wastage. in addition, agricultural production techniques which are less dependent on oil based fertilisers or non-renewable energy resources which may be needed for heating/cooling.

Figure a-3: Future Proofing policy options




12 upgrade skills of labour force to promote labour flexibility and innovation in responding to climate related and resource shocks

policies which enhance the skills and education of the workforce have the effect of improving adaptive capacity and resilience. this means that communities can more easily adapt to changing circumstances linked to, for example, climate change. Higher skilled populations have a greater capacity to transition to new sectors which can provide economic and employment growth.

13 policies to support low carbon, resource efficient, and climate resilient innovation and deployment

policies to support r&d and innovation in sectors related to the green economy can assist in catalysing development which is more energy and water efficient. the development of new clean technologies can serve to reduce material consumption and environmental impacts across the product lifecycle. process innovation can reduce the embodied and operational energy related to economic activity.

14 reduce barriers of entry for small and micro businesses to help adjustment and innovation in responding to climate related and resource shocks

the encouragement of business start ups and a regulatory framework which is supportive of small and medium sized enterprises (smes) can help build innovative capacity within the economy. new entrants to the market can provide a disruptive force catalysing new economic activity in the economy.

15 schemes to encourage intra-country or fdi into low carbon, resource efficient, and climate sensitive technologies/sectors

leveraging foreign direct investment (fdi) can be an efficient mechanism for diffusion of modern and more energy and water efficient technologies. schemes such as the joint initiatives linked to the clean development mechanism (cdm) for example, can speed up the transfer of knowledge and skills to support developing countries adopt resource-efficient production technologies.

16 land management policies and property rights

land management policies relate to the ownership, use, protection and husbandry of land. a system of defined property rights is an important foundation to enable effective environmental protection and management of climate risk in cities. property rights and defined ownership of land cadastrals is a first step towards managing land effectively. land use policies can be used to promote or restrict activities which may take place on land. policies and schemes to promote particular management regimes can be used to maintain ecosystem service functions relating to land which may be important in reducing exposure to climate risk (e.g flooding, landslides, and soil erosion).

17 mixed use zoning allowing a variety of land uses together in one area e.g. residential, commercial, and community uses. Zoning and other land use laws can be used to encourage compact, mixed use and walkable development.

18 mass transit orientated development plans

a mixed use area that is relatively high density and is designed to have good access to public transport. Higher density mixed use development at public transport nodes seeks to reduce car dependency and encourages use of public transport by locating trip-generating activities near one another and by supporting a network of mixed use centres to accommodate these activities, people can avoid unnecessary travel.

19 pedestrian and bike orientated development plans

a pedestrian and bike friendly area that combines land design practices e.g. compact development, mixed use, traffic calming, and pedestrian/public transit-orientated development. getting more people cycling, both for their daily commute and for recreational purposes can be achieved through local cycle networks employed through a combination of land design practices including compact development, mixed use, traffic calming, and pedestrian and public transit-orientation.

20 increased density incentives/standards promoting medium and higher density development can be an effective tool in reducing the energy intensity of development and make efficient use of land. more compact forms of development can have lower energy requirements. Higher density more compact urban form can underpin the viability of public transport networks and decentralised energy networks. compact development with a mix of uses reduces the need to travel and increases opportunities to utilise non motorised modes for short distance trips. minimum density zoning is a regulatory tool that can encourage more compact development. it should be noted that higher density can concentrate exposure to environmental risk. High density development tends to be less able to be adapted without recourse to redevelopment.




21 infill and brownfield incentives re-using previously developed and infill development reduces pressure on undeveloped areas and makes efficient use of land. the redevelopment of vacant, underutilised infill and brownfield sites can be encouraged through economic incentives, reformed zoning, land use restrictions, and permit streamlining to encourage development of empty or underutilised industrial facilities and derelict properties.

22 transit orientated nodes major transport interchanges, such as train stations and/or bus stations that are designed and planned within a community to encourage people to walk to them and not rely on use of cars to access them.

23 air quality management sets objectives and standards to secure improvement in air quality (e.g. encouraging lower car emissions). air quality in compact areas can be improved through actions, such as promoting low-carbon vehicles, clean and renewable sources of energy that do not involve combustion, and management of industrial emissions.

24 restricted development on vulnerable land

limiting development and redevelopment on vulnerable land to low density/low intensity uses (such as open space). Vulnerable land is an area that is vulnerable to hazards such as flooding, cyclones, and sea level rise.

25 relocation of development from vulnerable areas

completely prohibiting development on land that is vulnerable to hazards such as flooding, cyclones, and sea level rise and relocating it to safer locations e.g. on land that is higher above sea level.

26 strategic planning of key infrastructure in lower risk locations and buffer zones

coastal roads, railways and airports are vulnerable to sea level rise, therefore such infrastructure could be relocated or rerouted around hazard-prone areas.

27 greenbelt/growth boundaries defining growth management boundaries such as greenbelts and green wedges can protect areas from inappropriate development. policies can be used to grow the urban structure and form of the city in ways which reduce energy intensity of transport patterns. boundaries can also be used to safeguard sensitive land uses and protect areas from development which are subject to climate risks. growth boundaries can be used to concentrate development and facilitate regeneration and renewal of existing urban areas.

28 greenspace zoning pro-active planning of greenspace and green infrastructure is necessary to provide healthy living environments and support ecosystem service functions to the cities. polices can be used to support provision of parks and open spaces, active planting, and proper maintenance and preservation of trees and vegetation. urban greening of streets and buildings can provide shading and help to alleviate the urban heat island effect through cooling. networks can be planned to support multiple functions such as recreation, drainage, wildlife corridors, flood mitigation etc.

29 brt a public transit mode that uses buses to provide a light rail quality of service that is more efficient than regular bus systems. in cities this can encourage the modal shift from more private vehicles towards public transportation that can bring a range of benefits, including reduced congestion and air pollution.

30 park and ride car parks located on the edges of metropolitan areas/cities with connections to public transport that allows people to travel into the centre. park and ride can assist in reducing traffic congestion by encouraging people to use public transport in an urban area and be strengthened with restrictions in parking capacity in the urban centre.

31 low emissions Zones to drive a catchment zone without paying a daily charge, heavy diesel polluting vehicles (larger vans, minibuses, lorries, and coaches) must meet certain emissions standards that limit the amount of particulate matter (a type of pollution) coming from their exhausts.




32 metro systems a metro system is a rapid transit system that provides a high capacity and frequency service for passengers. these passenger transport systems are grade separated from other traffic (underground or elevated) and has the added benefit of less land use, less environmental impact, and a lower cost.

33 standard bus services standard bus services are road vehicles that are designed to carry passengers that operate on fixed or flexible routes and schedules.

34 improvements in public transport information

public transport information provides details about a public transport service. improvements to public transport information could include, up-to-date timetables at all bus stops, verbal and electronic updates at bus and train stations for those with visual and hearing difficulties and an out-of-hours telephone line for timetable information.

35 public transport lanes dedicated lanes that segregate public transport from other traffic and can improve the operational speed of public transport as they encounter major traffic congestion. this can lead to improved public transport service quality, reliability, and energy consumption.

36 managed/regulated paratransit e.g. minibuses

paratransit systems are operated by individuals and small business. services can vary from taxi or small bus services (operating along a route that can stop to pick up or discharge passengers at request) to a fully demand responsive transport system (offering on-demand call-up door-to-door service from any origin to any destination in a service area.)

37 fleet replacement with low carbon, energy efficient vehicles

replacing older, less efficient vehicle fleets with modern buses that are more fuel efficient than standard diesel buses, which can lead to reduced greenhouse gas emissions.

38 fuel switching in transport fleet the process of changing the regular diesel fuel used in public transport services to alternative fuel sources (e.g. biodiesel fuel). switching fuels has economical/environmental benefits including prolonging engine life and reduced pollution emissions.

39 driving and parking restrictions and calming measures (demand reduction)

driving and parking restrictions to reduce the number of vehicles on the roads. traffic calming measures can be used to control the speed of vehicles so that they adopt slower and uniform speeds. these measures (e.g. reducing car parking spaces) can also be used to influence driver behaviour towards using public transport over cars.

40 parking privileges for low carbon vehicles

parking privileges, such as parking permits allow drivers access to a specific parking space. the provision of preferential car parking spaces for low carbon vehicles can encourage use over regular vehicles.

41 car clubs/pooling Vehicles (usually cars and vans) are provided to members on a pay-as-you-drive basis. clubs can be organised on a community basis or by private businesses with 'car stations' located in an area that is easily walkable for a large cluster of members.

42 Hybrid and electric vehicles incentive programme

financial incentives for consumers to purchase a plug-in electric vehicle where the government provides a subsidy that reduces the up-front cost of eligible cars.

43 tougher minimum emissions/fuel economy standards

setting minimum fuel economy standards for all new cars through legislation.

44 High quality walking and cycling infrastructure

High quality on and off-road walking and cycling routes are pathways that have good lighting, signposting, and are segregated from other forms of traffic. improving infrastructure to support walking and cycling encourages the widespread uptake of these activities.




45 intelligent transport systems advanced applications that aim to provide innovative services relating to different modes of transport and traffic management that enables various users to be better informed and make safer, more coordinated, and 'smarter' use of transport networks.

46 Vehicle quota systems systems that allow authorities to control the amount of cars on the road. Quotas are usually reviewed on a regular basis.

47 public transport temperature/other tolerance standards

incorporates new design standards to strengthen resilience to climate hazards and other environmental risks, which could include the alignment of routes, elevation of routes, major drainage improvements, and improvements to ventilation of underground routes

48 smart work centres (inc internet development)

provision of a physical flexible workspace close to their residences can result in reduced transportation demands and increased productivity of the workforce.

49 energy efficient street lighting street lighting (e.g. led) that is more energy efficient than incandescent bulbs of the same luminance, which can lower power consumption and provide a longer and more predictable product lifetime.

50 use of local and resource efficient materials in building construction e.g. procurement modalities

use of materials in development that can be found locally from sustainable sources. using these materials in new developments can save a significant amount of energy that would be used in transportation of materials sourced further away. local materials can also strengthen the local economy and reinforce local identity through new building design.

51 off grid energy and water supply off-grid energy and water supply serves locations that do not have access to national/major energy/water supply grids. off-grid developments are autonomous and do not rely on municipal services for water or energy supplies. off-grid developments can utilise renewable energy sources to improve efficiency e.g. solar power.

52 construction waste management the removal, separating, and recycling of waste materials that are accumulated on development sites. disposal of construction waste needs to be carefully managed for possible hazards. there are also opportunities for recovery (flooring/door panels) and the possibility of reusing materials (rubble) elsewhere on a development site.

53 solar orientation for new build neighbourhoods / cities

passive solar design integrates a combination of building features to reduce the need to use energy to cool, heat or light a building. new developments will optimise cooling during hotter months (e.g. shading, natural cooling) while maximising heating (e.g. insulation, south-facing windows) during the colder months. the concept can extend to whole neighbourhoods or cities.

54 retrofit to address natural hazards/ climate risks

retrofitting an existing development so that it is more resistant to natural hazards/climate risks. adapting existing buildings to cope with the stresses that the structure may be subject to from particular hazards or hazard scenarios. examples of retrofitting include adding bracing to stiffen walls, reinforcing pillars, adding steel ties between walls and roofs, installing shutters on windows, and improving the protection of important facilities and equipment.

55 storm and flood resilient new build new development structures that are more resistant to the impact of storms and floods. a precautionary approach should be taken to ensure that future buildings are able to cope with climate change by designing roofs to withstand higher wind speeds etc.

56 implementation of building codes or design/appliance principles for new build (minimum energy and water use performance, 'passive heating or cooling', ground clearance, flood compatible uses on ground floors)

a set of standards that are established and enforced by the local government for the structural safety and performance of buildings. standards relating to the design and construction of new buildings can include standards relating to energy efficiency and building fabric performance, standards relating to energy and water efficient fixtures and fittings and use of materials. building codes can also specify standards to respond to environmental risk such as floods, earthquakes and other natural hazards to ensure that buildings can be resilient to future risks.




57 retrofit existing buildings to improve resource efficiency and thermal performance

retrofitting an existing development to improve its resource and energy efficiency. retrofitting and introducing energy conservation measures can result in higher performance buildings that reduce energy consumption and the cost of heating, cooling, and lighting of buildings.

58 fully integrated eco-villages/neighbourhood schemes

the establishment of new communities or retrofit of existing communities incorporating a wide range of sustainability measures across different sectors such as buildings, energy, waste, water, transport, greening, food production, community services, and social and economic needs. some countries such as india and china have set specific standards and codes for the development of green eco-townships or eco-cities.

59 demand management schemes targeting built environment

demand reduction approaches, include the introduction of 'hard' measures that reduce energy demand, such as cavity wall insulation, double glazing etc. in addition, 'soft' measures, which focus on the management and control of various end-use devices can lower energy consumption e.g. through the adoption of new demand management and pricing schemes.

60 micro generation small-scale generation of heat and electric power by individuals, small businesses and communities to meet their own needs, as alternatives or supplements to traditional centralised grid-connected power. this approach is useful for places that suffer from unreliable grid power or are located a long distance from the electrical grid.

61 sustainable use of biofuels biofuel feedstock can provide a supply of an alternative source of renewable energy which can reduce dependency on fossil fuels. a sustainable source of feedstock is required which does not compromise other environmental, social and economic objectives. it is also important to consider the energy intensity of transportation and associated emissions which could remain dependent on fossil fuels.

62 cHp/district heating or cooling instead of supplying heat or power via national transmission and distribution networks, decentralised systems distribute heat/cooling within localised networks for residential and commercial heating and cooling. depending on the source of feedstock, systems may also generate electricity which can be fed to the grid. systems are an efficient source of heat and power generation, as losses from transmission and distribution can be minimised.

63 smart grids an electrical grid that uses information and communications technology to gather and act on information. these intelligent systems can generate a good improvement in energy efficiency in electricity networks (power plants / wind farms) and energy usage in residential and commercial uses.

64 large scale renewable generation at city scale

renewable and low carbon energy installations that support cities or metropolitan areas. some cities are increasing the amount of renewable energy available to its residents. by making urban power grids smarter and more flexible, the share of renewable energy generation in the energy balance can be increased.

65 smart metering use of electrical or gas meters that records consumption of electric energy or gas and communicates that information at least daily back to the utility for monitoring and billing purposes. smart energy monitoring enables users to see how much energy they are using and the related costs that will help them in controlling and managing their energy use.

66 improved energy access (renewable) to unserved communities

promoting the development of affordable, reliable, and clean energy services for the poor, unserved communities through support services, such as financing programmes and subsidy policies, monitoring regimes and regulation.

67 energy from waste (e.g. landfill gas capture)

the process of generating clean energy from gas captured from landfill waste.




68 improved industrial processes e.g. energy, water efficiency

improving the energy and water efficiency of industry in urban areas. efficient energy use can be achieved through improved technologies and processes e.g. recycling and reusing waste streams.

69 protection of groundwater resources approaches to protect groundwater resources held underground in aquifers. many aquifers include sources of freshwater which have accumulated over an extended period of time. the extraction and use of water from ground water needs to be carefully managed to avoid over-exploitation. licencing of wells can be used as a tool to manage water resources sustainably. groundwater recharge schemes can be used as a mechanism to replenish groundwater stocks over time. in coastal areas over abstraction of groundwater can lead to seawater intrusion reducing the agricultural productivity of land and food security.

70 desalinisation plants* desalinisation is the process of removing salt and other minerals from saline water. setting up desalinisation plants can allow a drinking water source to be produced where traditional freshwater sources are limited.

71 sustainable urban drainage schemes sustainable urban drainage systems (suds) seek to avoid some of the problems of flooding, pollution and damage to the environment associated with much existing urban drainage.

72 exploration and development of alternative water sources

the development and use of alternative water sources, such as recycled water (including sewer mining), treated stormwater or seawater.

73 building simple latrines the most simple approach to improved sanitation; an inexpensive option where waste and wastewater collection systems are absent. if sited correctly, latrines prevent contamination of localised water sources with waste and help prevent associated adverse impacts on public health.

74 protection of water catchment areas a catchment (or drainage basin or watershed) refers to an area of land where surface water will converge or drain to the same point. the quality of the water at that point is therefore dependent on activities and water use in the catchment, and can be improved through various methods such as land use controls, pollution controls and limits on vegetation clearance.

75 greywater harvesting collecting wastewater produced from domestic activities in buildings (other than toilets); for example, clothes washing, showers, bathtubs, and dish washing. greywater recycling systems collect this water, treat it and re-use it for purposes that do not require drinking water quality.

76 improved provision, management and maintenance of water and sanitation systems (including wastewater treatment plants)

process of removing contaminants from wastewater with a purpose of producing an environmentally safe fluid waste stream (or treated effluent) and a solid waste (or treated sludge) suitable for disposal or reuse. advanced technology can now be used to re-use sewage effluent for drinking water.

77 climate resilient / water efficient landscaping

landscaping with low water needs. use of landscaping strategy and planting suited to local conditions can lead to the creation of a self-sustaining landscape that requires minimal supplemental water and provides other environmental benefits e.g. maintaining local biodiversity.

78 demand management e.g. leakage management, metering, volume charging

reducing the demand for water/energy through measures that improve the efficiency of the end uses of water/energy and through measures that can encourage behavioural change. a combination of communication and education programs, incentives, regulation and internal water efficiency improvements that encourage users to manage their water usage more efficiently.

79 Watershed reforestation/restoration a watershed (or catchment or drainage basin) refers to an area of land where surface water will converge or drain to the same point. reforesting watersheds can lead to reduced soil loss, keep sediment out of streams, reduce the speed of stormwater runoff and increase biodiversity.




80 Waste collection and solid waste management

the collection, transport, processing, management and monitoring of waste materials. managing and treating solid waste rather than direct disposal onto land or into water courses reduces pollution risks and impacts on water quality. collection and management rather than burning means that carbon emissions and pollution from combustion can be reduced. several waste treatment technologies are available which enable re-use and recycling of materials in ways which result in lower emissions than disposal to landfill which generates methane, a greenhouse gas. some technologies use waste as a renewable feedstock to produce electricity.

81 city/neighbourhood recycling/composting/green exchange schemes

community or neighbourhood waste collection and management schemes involve decentralised sorting of waste materials and composting of organic waste. separation of materials enables them to be re-used or recycled to prevent waste of potentially useful materials.

82 coastal defences (hard infrastructure) man made coastal defence structures (e.g. sea walls) to provide protection from the action of wind, waves, and tidal flows.

83 riverbank stabilisation measures to maintain, stabilise, and repair the banks of rivers (e.g. through vegetation, sacks and blocks, and retaining walls). this river edge is important as it holds soil and prevents property from washing away due to climate hazards and other environmental risks.

84 flood resilience or resistant infrastructure design

flood resistance involves designing an infrastructure asset, or adapting an existing infrastructure asset so that floodwater is excluded during flood events and infrastructure can function normally without disruption.

85 reforestation in flood buffer areas reforestation and efficient methods of soil management (e.g. crop rotation) are measures that can improve flood control in an area. forest removal, either partial or total, results in increased stream flows and higher groundwater levels.

86 emergency evacuation plans/disaster response (e.g. heat waves/public buildings)

systems that aim to ensure continued functioning in emergency situations. these plans are often multi-layered to address a range of issues e.g. flood and cyclones. they also set out evacuation procedures and arrangements for temporary housing, food, and medical care.

87 early warning systems a system deployed by an individual or group to inform of a future hazard e.g. flooding and cyclones. its purpose is to enable the deployed of the warning system to prepare for the danger and act accordingly to mitigate or avoid it.

88 improve irrigation systems improving the application of water to agricultural areas in urban catchments. Water-saving technologies (e.g. drip irrigation) can save water, increase yields of produce and reduce the rate of salinisation.

89 anticipatory planning processes and mechanisms for responding to food price volatility (inc in relation to urban climate impacts)

food price volatility is the continual fluctuation in the cost of food reflecting imbalances in the demand and supply of food. food production is impacted by weather events and climatic factors every year. food distribution and supply chains affect the price of food experienced in a local area. authorities can anticipate volatility by maintaining buffer stocks of key food staples which can be utilised during times of higher food prices. localisation of food production and distribution networks can be an option which provides alternative sources of supply when international prices are high. agricultural methods which lead to sustainable increases in productivity (e.g water efficient irrigation systems) can also be used to build resilience to climate events. some countries and urban areas have the opportunity to increase the area under cultivation to meet the needs of their population.

90 urban agriculture and local markets the practice of cultivating, processing, and distributing food in or around urban areas which may include community smallholdings and allotments. producing food in or in close proximity to existing urban areas reduces transport costs and emissions and harnesses labour and other resources available in urban areas. bio-intensive production methods can be used to yield a diversity of crops and livestock.




91 urban agroforestry to improve forest goods and services

integrated approach to the retention and planting of trees and shrubs with crops and/or livestock to create more sustainable land use systems. the trees can ameliorate the effects of climate change by helping to stabilise erosion, improving water and soil quality and providing higher yields of produce.

92 monitoring and protection of habitats and important species

the identification and monitoring of habitats and biodiversity is important as a first step in identifying priorities for protection. Habitats which are of international, national or local significance should be formally designated for protection from development. some habitats may require restoration or management to enhance their ecological value.

93 erosion control e.g. wind breaks and strip farming

erosion control measures can include growing rows of plantation of trees to provide shelter from high winds and other climate hazards and to protect soil from erosion. at a broader scale, strategic planting can ensure that soils and land for agricultural cultivation in urban catchments are protected from erosion.

94 soil fertility maintenance maintaining the capacity of soil to provide plants with enough nutrients and moisture to produce crops. soil plays an integral role in the global climate, indirectly through supporting vegetation and performs an important carbon regulating role. soil also influences the microclimate close to the ground through heat storage which is affected by surface soil conditions, organic matter and moisture content. a range of techniques and solutions are available which can be used to improve soil fertility.

95 protection and enhancement of coastal and marine ecosystems

measures to protect coastal and marine ecosystems including the coastal zone and shoreline as well as near shore waters and the wider ocean. these areas contain a range of sensitive environments and natural habitats. coastal and marine ecosystems accommodate a wide range of ecosystem service functions. coastal wetlands such as mangroves, marshes, and seagrass meadows for example are significant carbon sinks and provide habitats for many species of fish and shellfish which can be sustainably managed as a food resource. coastal environments also provide protection from storms, tidal surges, and other extreme events, and maintain water quality, provide a habitat for biodiversity, and provide a recreation resource which has both amenity and cultural value.

96 restrictions on pesticides/chemicals restrictions on chemicals used for managing insects or other organisms harmful to cultivated plants or to animals. certain types of pesticides can reduce biodiversity and damage ecosystems by, for example, reducing the prevalence of weeds and insects and hence the food species of other animals. alternatives which may be appropriate in certain circumstances include 'smart' pesticides, resistant crop varieties, and ecological methods of pest control (ipm).

97 tree planting programmes/reforestation replanting an area with forest cover. trees can help to mitigate climate change by sequestering carbon dioxide as they grow. in addition, trees and vegetation can help to mitigate the effect of climate impacts (e.g. flooding), as well as enhancing biodiversity and providing a wide range of other ecosystem services.

98 measures to avoid deforestation in catchment

measures to avoid the clearance or clearing of a forest or stand of trees. the retention of trees provides multidimensional benefits at the local, national and international levels.

99 mitigation of urban heat through greening (inc. heat tolerance measures)

an urban heat island (uHi) is a metropolitan area which is significantly warmer than the prevailing climatic conditions. the uHi magnifies climate risk (e.g. extreme heat and heatwave events). the urban heat island can be reduced by increasing tree and vegetative cover, creating green roofs (also called "rooftop gardens" or "eco-roofs"), installing cool/reflective roofs and using cool pavements. the planning and design of buildings subject to local topography can be used to promote through breezes and natural cooling.




100 low cost enhanced efficiency stoves introducing new apparatus for cooking into households that use fuels from sustainable sources can significantly lower energy use in comparison to older appliances and are often safer in design (e.g reducing indoor air pollution with significant health benefits).

101 slum upgrade, including innovative high sufficiency unit design

upgrading of informal settlement areas can include a range of measures to address the basic needs of the community. measures included within programmes relate to provision of water, sanitation, and electricity, measures to protect against environmental hazards, improvements and upgrading of housing, and improved provision of local social facilities and access to employment opportunities. the upgrading of informal settlement areas can lead to improved living standards and encourage greater energy efficiency through upgrading of housing. projects can also enable access to safer drinking water, sanitation, wastewater, and solid waste management.

102 sustainable and affordable houses for the poor

improving access to affordable housing for the urban poor can provide a secure basis for households to reside within the city. energy and water efficient construction can help households manage these costs allowing income to be used on other things. programmes can also result in health benefits. units can be constructed to have a lower lifetime building cost and reduced maintenance requirements.

The Atkins logo, ‘Carbon Critical Design’ and the strapline ‘Plan Design Enable’ are trademarks of Atkins Ltd.© Atkins Ltd except where stated otherwise.

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For more information please contact: Martin teddertel: +44 (0) 7834 50 7530

email: [email protected]

roger savagetel: +44 (0) 7802 91 5911


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