IN THE COURT OF SPECIAL JUDGE HUMAN RIGHTS,

GURUGRAM
CRMP NO.____3____ OF 2019
(U/A 51A(a), (b), (c), (d), (e), (f), (g), (h), (i), (j) & (k) of the Constitution
of India & U/S 30(a) of Act 10 of 1994)

IN THE MATTER OF:

Lt Col (Veteran) Sarvadaman Singh Oberoi
…Informant/Whistleblower/Petitioner-in person

Versus

Union of India through its Cabinet Secretary

….Necessary Party/Sole Defendant

VOLUME I OF VOLUME VII

PAGES 1-332

WHISTLEBLOWER INFORMATION IN THE MATTER OF PETITION

REPORTING SUSTAINED OMISSION TO ACT RESPONSIBLY AND
TRANSPARENTLY IN HUMAN RIGHTS ENVIRONMENT MATTERS
AT NATIONAL LEVEL FROM 05.07.1988 TO DATE CAUSING A SLOW
AND STEADY MARCH TOWARDS POTENTIALLY CATASTROPHIC
(AKIN TO GENOCIDE) AIR, WATER, SOIL, NOISE & RADIATION
POLLUTION

Place: Gurugram
Date: 12.09.2019
Informant/Whistleblower/Petitioner-in person
Lt Col (Veteran) Sarvadaman Singh Oberoi
1102, Tower 1, Uniworld Garden, Sector 47, Gurugram 122018
Mob: 9818768349, Email: [email protected]
 IN THE COURT OF SPECIAL JUDGE HUMAN RIGHTS,
GURUGRAM
[WITH THE UNFETTERED POWER TO ACT IN HUMAN RIGHTS
VIOLATIONS, NOW CATEGORICALLY AKIN TO INTER-
GENERATIONAL GENOCIDE OF BABIES AND CHILDREN, JUS
COGENS & ERGA OMNES, IN ACCORD WITH THREE DECADES OF
SETTLED INTERNATIONAL PRACTICE WHICH HOLD THAT
HUMAN RIGHTS ARE NO LONGER WITHIN THE DOMESTIC
PROHIBITION: PETITIONER ASSERTS THE NON-BINDING
NATURE OF SECTIONS 190 TO 259 & 340 TO 365 & 372 TO 394
CODE OF CRIMINAL PROCEDURE, 1973 QUA THE HUMAN
RIGHTS COURTS, IN VIEW OF ARTICLE 246, EXCEPTION CLAUSE
IN SEVENTH SCHEDULE, LIST III ITEM 1 AND COURT IS TO ACT
IN FURTHERANCE OF THE SETTLED PRINCIPLE OF “NO
ESTOPPEL AGAINST LAW” TO FILL IN/ INTERPRET, JUS COGENS
& ERGA OMNES, THE GAPS & LEGISLATIVE DEFECTS IN LAWS
OF HUMAN RIGHTS IN INDIA INCLUDING THE PROTECTION OF
HUMAN RIGHTS ACT, 1993 (ACT 10 OF 1994), SECTIONS 30 & 31,
SUB-SECTIONS (a) & (d) OF SECTION 12, SUB-SECTION (2) OF
SECTION 10 & REGULATION 13, APPENDIX I, SUB-CODE
NUMBERS 100.04, 200.02, 300.03, 400.01, 400.02, 600.04, 700.01,
700.02, 800.01, 800.04, 800.06, 800.14, 800.15, 900.01, 900.02, 900.04,
1000.01,1100.04, 1200.03, 1300.03, 1300.06, 1300.09, 1501.02]
CRMP NO.________ 3 OF 2019
(U/A 51A(a), (b), (c), (d), (e), (f), (g), (h), (i), (j) & (k) of the Constitution
of India & U/S 30(a) of Act 10 of 1994)
IN THE MATTER OF:
Lt Col (Veteran) Sarvadaman Singh Oberoi
…Informant/Whistleblower/Petitioner-in person
Versus
Union of India through its Cabinet Secretary
….Necessary Party/Sole Defendant

INDEX VOLUME I to VII

S. NO. PARTICULARS PG. NO.
VOLUME I
1. Index Volumes I -VII 1-5
2. Synopsis 6-32
3. List of Dates 32-38
4. Whistleblower Information/ Petition 39-54
5. ANNEXURE – P/1 : Notification S.O. 801 (E) dt. 55-57
07.07.2004 (EIA)
6. ANNEXURE – P/2 : Noise Pollution (Regulation 58-82
and Control) Rules, 2000 (S.O. 123(E) Gaz. dt.
14.2.2000
7. ANNEXURE – P/3: Notification S.O. 60 (E), 83-87
dated 27th January 1994 updated to 13.06.2002
(EIA)

Page 1 of 54
8. ANNEXURE – P/4 : Notification S.O. 1533 (EIA) 88-129
dt. 14.09.2006
9. ANNEXURE – P/5 : Prime Minister released on 130-177
30.06.2008, India's National Action Plan on
Climate Change, (NACC 2008) prepared under the
guidance and direction of Prime Minister’s Council
on Climate Change on the date at New Delhi.
10. ANNEXURE – P/6 : Role and mandate of the 178-180
Ministry of Environment, Forest and Climate
Change as per the Government of India (Allocation
of Business) Rules, 1961
11. ANNEXURE – P /7 : Letter dt. 05.07.1988 of then 181
Union Minister of Environment and Forests, late Sh.
Ziaur Rahman Ansari (1925-1992), while releasing
the First “State of the Forests Report, 1987”
declaring “Ecological Renaissance”
12. ANNEXURE – P /8 : Report dated 31.05.1996 We 182
must know” Down To Earth Vol 5 No 1 p.5 (A
collusive Rajasthan Government forced to part with
information of pollution by industry of the farmland
of poor farmers)
13. ANNEXURE – P/9 : Report dated 31.05.1996, 183-184
“Uproar over a burning issue” Down To Earth Vol
5 No 1 pp.22-23 (report as to how water and air is
polluted by incinerators used for Municipal Solid
Waste)
14. ANNEXURE – P/10: Report dated 31.05.1996 185-189
“Hospital waste: management morass” Down To
Earth Vol 5 No 1 pp.29-33 reports how millions of
tons of hospital waste is disposed of in unscientific,
unhealthy and uneconomic manner in India.
15. ANNEXURE – P/11 : Report dated 31.05.1996 190
“Time to sit up” Down To Earth Vol 5 No 1 p.58
(discusses outcome of impending negotiations
consequent to the United Nations Conference on
Economic Development, 1992 (UNCED)
16. ANNEXURE – P/12: Report dated 31.05.1996 191
“India way ahead in tackling waste” Down To Earth
Vol 5 No 1 p.59 (also discusses how 20 % of the
world’s population has brought the planet to its
knees)
17. ANNEXURE – P/13: Editorial dated 15.06.1996 192
Down To Earth Vol 5 No 2 p.6, Padma Bhushan,
late Sh. Anil Kumar Agarwal laments that “…
biggest challenge before this government will be to
create systems of governance that bring about a
healthy balance between environment and
development. With a population ready to cross a
billion…”
18. ANNEXURE – P/14: Report dated 15.06.1996 193
“Forestry convention: lair in the woods” Down To
Earth Vol 5 No 2 p.5 (discusses the dangers of
Page 2 of 54
 handing over control of our forests to global
agencies for the development of a set of criteria and
indicators (C&I) for the “sustainable management
of forests” with “a single set of criteria for the
entire forests of the world”)
19. ANNEXURE – P/15: Report dated 15.06.1996 The 194
tiny killers” Down To Earth Vol 5 No 2 p.7
discusses the dangers of ‘fine particle pollution’
from “coal fired plants, diesel burning trucks and
buses, petrol-powered cars, industrial boilers and
even wood burning stoves.”
20. ANNEXURE – P/16: Report dated 15.06.1996 To 195-197
be healthy, wealthy and wise …. activists must fight
for better prevention and health education” Down
To Earth Vol 5 No 2 pp.55-57 Padma Bhushan, late
Sh. Anil Kumar Agarwal laments “Felling of
tropical forests have generated diseases like the
recent Ebola virus epidemic in … Kyasanur Forest
Disease in Karnataka. Due to the mismanagement
of the sub-Himalayan flood plains, drainage,
congestion and constant waterlogging appear to
have revived kala azar in Bihar. …. exposed to
numerous little known chemicals. Delhi’s citizens
have the highest concentration of DDT in their body
fat in the world, because of the pesticide’s wide-
spread use. There is also very little concern in India
about toxic waste disposal.”
21. ANNEXURE – P/17: Down To Earth Vol 5 No 2 198-199
pp.58-59, dated 15.06.1996, Sh. AN Yellappa
Reddy, former special secretary to the Karnataka
Department of Environment and Ecology“It is
wiser for industry to invest in pollution control…
negligence of any environmental consideration
while taking policy decisions. There is no concern
whatsoever, both at the administrative and
ministerial levels. …”
22. ANNEXURE – P/18: Statistical Report dated 200
15.06.1996 “Carbon. Carbon every where” Down
To Earth Vol 5 No 2 p.62 reveals that in 1996 per
capita emission of global emission of carbon
equivalent of 6000 (million) tonnes annually of
CO2 emissions was many times higher in developed
countries
23. ANNEXURE – P/19: Report dated 30.06.1996, 201
Another wait and watch” Down To Earth Vol 5 No
3 p.5 reveals the scant regard for environment, “…
in the furious debate inside and outside Parliament,
environment was not the issue.

24 ANNEXURE – P/20: Judgement dated 08.03.2019 202-216

passed by the National Green Tribunal (P.B.), New

Page 3 of 54
 Delhi in OA 407/2017 titled Sarvadaman Singh
Oberoi v. Union of India
25. ANNEXURE – P/21: Article “New urbanisation 217-219
policy to be finalised in 2 months” published on the
date in Hindustan Times, New Delhi, 25.02.2018
26. ANNEXURE - P/22: MoHUA released the 220-332
National Urban Policy Framework, 2018 for
comments on 01.12.2018 closing on 31.05.2019
VOLUME II
27. ANNEXURE – P/23: “Study of Climate Change 333-394
and its Adverse Effect on Forest Ecosystem and
Adaptability of Villagers of Aravalli Hills of
Rewari District of Haryana” (AFC:RC-NAEB
RC-155). 01.10.2011, by Regional Centre, National
Afforestation & Eco-development Board, Ministry
of Environment & Forests (GoI) New Delhi and
Agricultural Finance Corporation Ltd., Northern
Regional Office, New Delhi
28. ANNEXURE – P/24: Notice dt. 11.03.2017 u/s 80 395-397
CPC, Protection of Human Rights Act, 1993,
Sections 2 (d), 2 (f), 30 & 31 Illegal Diversion of
Aravalli Chain/ extension/ ridge/ foothills/ hills in 8
districts of South Haryana- “6. That you may kindly
draw attention of all your officers and law officers
that in all future submissions on Aravalli before any
court or tribunal in India, these facts/ judgments
and submissions are not withheld from knowledge
of the court/ tribunal as the same may well amount
to judicial fraud which may lead to damage to
environment which may or may not amount to state
sponsored genocide.”
29. ANNEXURE – P/25: Notice dt. 01.04.2019 under 398-402
Section 80 Civil Procedure Code, 1908 to Cabinet
Secretary, Government of India & Chief Secretary,
Government Of Haryana of the date so as to meet
International Obligations of India, jus cogens &
erga omnes. (WATER CASE)
30. ANNEXURE – P/26: Supplementary Notices dt. 403-414
11.04.2019 & 19.04.2019 in CWP 20032 of 2008
and CWP 23839 of 2014 in Notice dt. 01.04.2019
(WATER CASE)
31. ANNEXURE – P/27: Early Day Motions, House 415-572
of Commons, UK-WIDE CLIMATE
EMERGENCY, EDM #2177, Tabled 13 March
2019, 2017-19 Session, Climate Action and
Extinction Rebellion, 23 April 2019, Hansard
Volume 658 & Environment and Climate Change,
01 May 2019, Hansard, Volume 659
32. ANNEXURE – P/28: Draft Human Rights Courts 573-578
Regulations 2019

Page 4 of 54
 33. ANNEXURE – P/29: Draft Human Rights 579-593
Prosecutor Regulations 2019
34. ANNEXURE – P/30: State Responsibility 594-654
[Agenda item 2] United Nations Document
A/CN.4/490 and Add. 1–7* First report on State
responsibility, by Mr. James Crawford, Special
Rapporteur [24 April, 1, 5, 11 and 26 May, 22 and
24 July, 12 August 1998]
35. ANNEXURE – P/31: Extent of Deemed Forests 655-656
Aravalli Shivalik and Morni Hills
VOLUME III
36. ANNEXURES – P/32 TO P/39 [WITH INDEX] 657-801
VOLUME IV
37. ANNEXURES – P/40 TO P/43 [WITH INDEX] 802-1126
VOLUME V
38. ANNEXURES – P/43A TO P/84 [WITH INDEX] 1126A-1406
VOLUME VI
39. ANNEXURE – P/84A: Relevant Extracts of The 1407-1424B
Indian Evidence Act, 1872
40. ANNEXURE – P/85: Extracts from Judicial 1425-1532
Dialogue on Human Rights, Cambridge 2017,
ISBN 978-1- 107-17358-3
41. ANNEXURE – P/86: Haryana Aravalli Land 1533-1535
Deals Parts I to III Business Standard 11.06.2019
to 13.06.2019
42. ANNEXURE – P/87:Woodroffe & Amir Ali, Law 1536-1668
of Evidence, 20th Ed. 2017 Vol.2 pp.2063-2195
VOLUME VII
43. ANNEXURE – P/88: RA Nelson’s Indian Penal 1669-1766
Code, 12th Ed. Reprint 2019 Vol.2 pp. 1405-1502
44. ANNEXURE – P/89: A Note on inter-generational 1767-1780
child equity developments in global warming,
noxious gases and fine particulate matter
45. ANNEXURE – P/90: A Note on over-riding 1781-1795
nature of human rights violations Act 10 of 1994,
sec. 30 & 31, sub-sec (a) & (d) of sec. 12, sub-sec
(2) of sec 10 & Regulation 13, Appendix I, sub-
code numbers 100.04, 200.02, 300.03, 400.01-02,
600.04, 700.01-02, 800.01, 800.04, 800.06,
800.14-15, 900.01-02, 900.04, 1000.01, 1100.04,
1200.03, 1300.03, 1300.06, 1300.09, 1501.02
46. EXHIBIT – P/91: “AIR – Pollution, Climate u/s 45, 62 &
Change and India’s Choice Between Policy and 87 I.E.A.,
Pretence”, Dean Spears, P-ISBN:978-93-5357- 1872
082-8, Harper Collins, India, 2019 [Book pp.258]
Place: Gurugram
Date: 12.09.2019
Informant/Whistleblower/Petitioner-in person
Lt Col (Veteran) Sarvadaman Singh Oberoi
1102, Tower 1, Uniworld Garden, Sector 47, Gurugram 122018
Mob: 9818768349, Email: [email protected]
Page 5 of 54
 SYNOPSIS
1. That this fresh repetitive, successor Human Rights Petition in

genocidal child intergenerational externality preferred by the

whistleblower informant is being filed in the larger public interest,

keeping in view that Skymet reported continuous (12 to 6 PM) greater

than 90% humidity with higher than 35 degree Celsius in the NCR 05-

08 September 2019.[HT Gurgaon, 09.09.2019 Page 5] [Continuous

Exposure of 5 to 6 hours in 90% humidity at 35 degree Celsius is

known to result in death] with Annexures P-1 to P-90 and Exhibit P-

91. That, under the laws delineating India’s International Obligations

in keeping with Articles 6, 7, 8, 9, 10 & 11 of the United Nations

Declaration of Human Rights, 1948 pari materia Articles 14, 19, 20,

21 & 22 of the Constitution of India 1950, Petitioner, had taken up

important environmental matters such as preservation of scarce water

resources, and in CM 699 of 2019, to institute some methodology of

environmental remediation measures and environmental impact

assessment (EIA) for pre-7th July 2004 larger construction projects and

industrial townships, dating back to pre-Constitution periods, on the

similar lines as those post-7th July 2004 larger projects which fall

within the mischief of Notification S.O. 801 (E), dated 7th July, 2004

(pre-7th July 2004 projects being at least hundred fold of the post-7th

July 2004 projects) mandating environmental impact assessment

(EIA) for construction projects and industrial townships excluding

new townships, industrial townships, settlement colonies, commercial

complexes, hotel complexes, hospitals and office complexes for 1,000

(one thousand) persons or below or discharging sewage of 50,000

Page 6 of 54
(fifty thousand) litres per day or below or with an investment of

Rs.50,00,00,000/- (Rupees fifty crores) or below. (Annexure P-1).

2. This public interest petition raises a matter of grave national

and international importance to about 1,382 million Indians (17.74 %

of world’s population as per current United Nations assessment) in the

areas of climate change, loss of biodiversity, polluted air and water,

noise pollution, uncontrolled or poorly controlled electromagnetic

pollution and radio-active waste pollution, with particular emphasis

on the current estimated 65 % Indian urban population i.e. 887.521148

million Indians (under Mexico Model – agglomerations of 2,500 or

more)/ 47 % Indian urban population i.e. 641.74606 million Indians

(under Ghana Model – agglomerations of 5,000 or more) (UN

estimates of Indian urban population are 460.249853 million)

requiring urgent executive action by the Cabinet Secretary functioning

directly under Hon’ble Prime Minister of India as also Ministry of

Environment, Forest & Climate Change, Ministry of Water Resources,

River Development & Ganga Rejuvenation, Ministry of Housing and

Urban Affairs, Ministry of Tribal Affairs, Ministry of Heavy

Industries and Public Enterprises, Ministry of Home Affairs and

Ministry of Road Transport and Highways.

3. That these authorities administer international obligations,

statutes and policies in India under the Indian Forest Act, 1865, 1878

&1927, Official Secrets Act, 1923, Constitution of India, 1950, United

Nations Conference on the Human Environment in Stockholm, June

5-16, 1972, Wildlife (Protection) Act, 1972, Water (Prevention &

Control of Pollution) Act, 1974, Forest (Conservation) Act 1980, Air

(Prevention and Control of Pollution) Act, 1981, Environment

Page 7 of 54
(Protection) Act, 1986, National Forest Policy 1952 & 1988, United

Nations Framework Convention on Climate Change, New York, 9

May 1992, United Nations Conference on Environment and

Development (UNCED) in Rio de Janeiro, June 3-14, 1992,

Constitution (Seventy-third Amendment) Act, 1992, Constitution

(Seventy-fourth Amendment) Act, 1992, Protection of Human Rights

Act, 1993, Provisions of the Panchayats (Extension to the Scheduled

Areas) Act, 1996, Bio-Medical Waste (Management And Handling)

Rules, 1998, Noise Pollution (Regulation and Control) Rules, 2000,

Municipal Solid Waste (Management and Handling) Rules, 2000,

Biological Diversity Act, 2002, Right to Information Act, 2005,

Disaster Management Act, 2005, Scheduled Tribes and Other

Traditional Forest Dwellers (Recognition of Forest Rights) Act, 2006,

Plastic Waste (Management And Handling) Rules, 2011, E-Waste

(Management And Handling) Rules, 2011, Real Estate (Regulation

and Development) Act, 2016 and Solid Waste Management Rules,

2016. That the more than 45 years of delay since 1972 in not

implementing in letter and spirit a solemn International obligation of

cleaning up the environment, has resulted into dirty air and polluted

water in cities across India thus putting entire populations especially

children at risk of ill health and large scale premature gas chamber

deaths, and exposes Indian Democracy, Constitutional and

Parliamentary Institutions to the ignominy of an unspeakable inaction

in the arena of Human Rights, as well, not to talk of the man-made

Manhattan, Chernobyl & Fukushima type nuclear leakage disasters

with global repercussions, massive losses in biodiverse species of

flora and fauna, acid rain and alarming and more frequent freak
Page 8 of 54
weather incidents across the world on account of climate change. A

copy of the Noise Pollution (Regulation and Control) Rules, 2000 with

amplification notes is placed at Annexure P-2 .

4. Hence this matter needs must be dealt under the procedures

and policies envisaged in Government of India (Allocation of

Business) (AoB) Rules, 1961 and the Government of India

(Transaction of Business) (ToB) Rules, 1961 which have been framed

under Article 77 (3) of the Constitution of India, and consolidated at

one place in the “Government of India Cabinet Secretariat Handbook

on writing Cabinet notes” dated 24.04.2018 issued under signature of

the Cabinet Secretary. (updated to 15.04.2018).

5. That the Notification S.O. 60 (E), dated 27th January 1994

updated to 13.06.2002 is at Annexure P-3 and all these notifications

were superseded by Notification S.O. 1533, dated 14 th September

2006 with the stated aim of ushering in a transparent, decentralized

and efficient regulatory mechanism at District, State and National

levels from the planning or inception of a project by involving all

stakeholders ab initio basis ecological impact potential rather than any

investment criteria, a copy being placed at Annexure P-4.

6. That the petitioner adverts that similar environmental

remediation measures for heritage buildings and projects should be re-

considered res integra in light of the International obligations of India

as encapsulated in some of the eight National Missions of National

Action Plan for Climate Change 2008 (Annexure P-5), namely

National Solar Mission, National Mission for Enhanced Energy

Efficiency, National Mission on Sustainable Habitat, National Water

Page 9 of 54
Mission and National Mission on Strategic Knowledge for Climate

Change, as also other environmental obligations of India.

7. That the Government of India constituted the Department of

Environment with effect from November 1, 1980 vide Presidential

Notification No.CD-1016/80. This Department became part of the

new Ministry of Environment and Forest constituted by Presidential

Notification No.74/2/1/85-Cab. dated 4th January, 1985, which

consisted of two Departments, viz. Department of Environment and

Department of Forest and Wildlife. In September, 1985, the two

Departments were merged to constitute a single Department of

Environment, Forest & Wildlife. In July, 1991 there was an

amendment in the Government of India (Allocation of Business)

Rules, 1961 whereby the name of the Ministry of Environment &

Forest (Department of Environment Forests & Wildlife) was

substituted with Ministry of Environment & Forest. The name of

Ministry of Environment and Forest was changed to Ministry of

Environment, Forest and Climate Change vide notification dated

31.07.2014.

8. That the role and mandate of the Ministry of Environment,

Forest and Climate Change as per the Government of India (Allocation

of Business) Rules, 1961 is at Annexure P-6.

9. That the onset of ‘ecological “renaissance”’ in India may be

marked on 05.07.1988 when the then Union Minister of Environment

and Forests, late Sh. Ziaur Rahman Ansari (1925-1992), who took part

in the Quit India Movement in 1941, released the First “State of the

Forests Report, 1987” enclosing the letter dated 05.07.1988. That a

copy of the said letter is placed at Annexure P-7.

Page 10 of 54
10. That eucalyptus and prosopis julifora/vilayati kikar were not

considered to be forest trees at all in the Report. The report regretfully

noted existence of a mere 64 million hectares of forests, of which only

36 million hectares were found to be of 40 % crown density which

alone can act as green lungs.

11. That the Report pointed out grave destruction of forests from

1950 to 1987 qua the National Forest Policy, 1952 in which 60 % of

hilly areas and 20 % of plains areas had been mandated to be the

minimum area under biodiverse natural forests of 40 % crown density

i.e. 95.14894 million hectares (28.94%) of India’s 328.7797 million

hectares (straining to act as green lungs of a huge 1981 population of

685 million) required to be under 40 % crown density forest cover.

12. That at paras 2.38 and 2.39 the 1987 Forest Report warns

“2.38 Excessive grazing, frequent fires and others biotic factors have

eliminated natural regeneration of tree species in forests to a

considerable extent. …. natural regeneration is either absent or

inadequate in 52.8 % of forest area of all the States and Union

Territories. … 2.39 The situation is, nevertheless, alarming.

Concentrated and determined steps have to be taken to eliminate the

damaging biotic factors and make forest soils again suitable for

natural regeneration.”

13. That paras 3.8, 3.10, 3.17, 3.18, 3.23, 3.25, 3.27, 3.28, 3.32,

3.33, 3.34. 3.35, 3.45, 3.46. 3.47 & 3.48 of 1987 Forest Report are

significant even today, “3.8 Needless to say that the imbalance

between demand & production of firewood is one single cause which

has contributed most to the depletion of forests in the country. .. 3.10

As against the demand of over 27 million cu.m., the current

Page 11 of 54
permissible cut of timber from forests is only about 12 million cu.m.

The gap is of the order of 15 million cu.m. This gap in some instances,

has forced even the official felling of timber in forests to exceed the

silviculturally permissible limit let alone the unauthorised fellings by

private individuals, companies & firms.... 3.17 The National Forest

Policy resolved in 1952 had stressed upon regulation of grazing. The

policy had recommended that grazing should not be allowed in

regeneration areas, should be kept at minimum in 'Protection

Forests', and not allowed gratis. The policy had also recommended

that sheeps and goats should be totally excluded from the forest.

Unfortunately, no recommendations of the National Forest Policy was

implemented. Cattle and other animals continue to graze in forest in

unlimited number and without any restriction. The FSI inventories

indicate that all the forest lands in Rajasthan are subject to grazing.

Tn U.P. grazing takes place over 83% of forest land so only 17% are

excluded from grazing. In West Bengal grazing takes place over 87%,

in Meghalaya over 85%, in Orissa over 70%, in Sikkim over 75%, and

in Nagaland over 53% of forest lands. Indeed, excessive grazing and

over dependence on firewood for domestic energy are the two factors

most responsible for rapid depletion of forest in the country. .... 3.18

Clearing forest for agriculture is a historical phenomenon. The

beginning of agriculture was in the form of shifting cultivation. People

cleared a forest, burnt the slash, raised a crop or two, and then shifted

to clear another forest. As the civilisation progressed, people took to

settled cultivation. But many tribal communities who stayed as back

water of this evolutionary stream stuck to shifting cultivation. The

practice is now a part of the very ethos of these tribal communities.

Page 12 of 54
Weaning these communities away from the practice of shifting

cultivation is indeed, difficult. But, shifting cultivation leads to soil

erosion and destabilisation of the ecology of the region, and the

sooner the practice is put to a halt the better. ... 3.23 Encroachments

on government forest lands are mostly made by people who live in the

vicinity of forests, or forest dwellers as they are popularly called.

Forest dwellers are mostly tribals. They prefer forest lands for

cultivation on two accounts; firstly forest lands are taken by the tribal

to be more fertile than other unoccupied government lands, secondly,

forest lands are in vicinity of their habitations. It may be added that

not to own a land for agriculture is a social stigma in the tribal

communities. Owning a land satisfies not only the tribals economic

needs but also his emotional need, and consequently the tribal will

make any effort to get possession of a land to cultivate. ... 3.25

Occurrence of frequent fires is a major cause of injury to forests in the

country. Some fires are incidental, but majority of them are

deliberately caused, while a few are act of pure vandalism. Fires are

caused in forests either to get new shoots of grass or leaves (such as

tendu), or to facilitate collection from ground of such forest produce

as 'Mahwa' and 'Sal' seeds. ... 3.27 The information collected by FSI

during the inventories made by it indicate that 51% of forest area in

Assam, 93% in Arunachal Pradesh, 67% in Bihar, 51% in Gujarat,

69% in H.P., 46% in Jammu & Kashmir, 45% in Karnataka, 76% in

M. P., 99% in Manipur, 94% in Meghalaya, 87% in Nagaland, 94%

in Orissa, 37% in Sikkim, 58% in U.P., and 33% in West Bengal gets

affected by ground fires every year. ... 3.28 There has been an age old

relationship between the tribal and forest. The tribal depends on forest
Page 13 of 54
not only for his economic needs but also for his social, cultural and

emotional needs. In 1981, the tribal population in the country was 51.7

million belonging to about 250 communities. The tribal habitations

are either in the middle or in the close vicinity of forests. The tribal

depends on forests not only for firewood for domestic energy and

warmth, and timber for constructing his dwelling, but also for food in

the form of various fruits, seeds, leaves, succulent shoots and tuber.

He also gets his medicines from forest. He collects gums, resins,

various seeds, fruits and leaves to sell in the market and fulfil his need

for the cash. ... 3.32 It is unfortunate that the tribal has never felt at

ease with the forest administration. Scientific forestry imposed

restrictions on the use of forests. The tribal regarded the forest his

own property. He took any restriction as an infringement of his right.

Before Independence, when production of 'goods and services' from

forests exceeded the demand for them, the tribal was little disturbed

from the exercise of what he considered his right on the forest. But as

the population grew and the demand of 'goods and services' from

forests began to exceed their supply, restrictions were imposed on the

use of forests and the latent resentment of the tribal against the forest

administration developed into an open conflict. ... 3.33 Since fifties the

tribal also began to feel a sense of insecurity on account of diversion

of forest lands for various development projects, and depletion of

remaining forests owing to growing biotic pressures. Conversion of

natura1 forest into monocrops of economic species also did not suit

the tribal need. The man—made monocrops eliminated natural

species giving products which contributed substantially to his income.

... 3.33 The resentment of the tribal against the forest administration
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created a vicious cycle. He became indifferent to forest protection. His

indifference caused the depletion of the very resource on which his

economy depended. More was the depletion, more came the

restrictions, and more was the resentment of the tribal. ... 3.35 Since

early seventies attempts have been made to link forestry development

with the growth of the tribal economy. Developmental schemes to

bring direct benefits to the tribal economy were introduced in the

State Sector as well as in the Central Sector. It is hoped that adequate

implementation and proper monitoring of these schemes would

restore the symbiotic relationship which once existed between the

forest and the tribal. ... 3.45 In view of rapid depletion of forest wealth

and growing demand of local population several north—eastern

States have now stopped allotment of log and timber to the plywood

manufacturers located outside the territorial limit of the State

resulting in acute shortage of the raw material in plywood

manufacturing units. The Indian plywood industry is now more

dependent on import from South—Asian countries. While import from

South—Asian countries meets 60% of the total requirement, Nagaland

supplies 30% of the national demand. The rest 10% comes from other

north-eastern States and the other parts of the country. ... 3.46 The

production of services and goods from forests are considerably

reduced since fifties on account of two reasons; first, depletion of

forest owing to increasing biotic pressures, secondly, official

diversion of forest lands for non—forest use. During the period 1951

to 1980 as many as 4.238 million ha. of forest lands were diverted to

non—forest use. ...3.47 The most diversion took place in Madhya

Pradesh where 1.89 million ha. were diverted to non—forest use. The
Page 15 of 54
other States where substantial diversion took place were Karnataka,

Bengal, Kerala, Uttar Pradesh and Andhra Pradesh. During the

period 1951 to 1980 , the annual rate of diversion of forest land to

non—forest use works out at the staggering figure of 1.5 lakhs ha. To

check the rapid diversion of land for non—forest use and to ensure

that diversions were ordered only in inevitable circumstances, in 1978

the Central Government issued a circular to all State and U.T.

governments to the effect that all proposals involving diversion of

forest lands above 10 ha. for non-forest use should be referred to the

Central Government for prior concurrence. In the two years i.e.

(1978-80), no State Government referred any proposal for diversion

of lands for non—forest use for the consideration of the Central

Government. The diversion of forest lands continued unabated . ...

3.48 It was in this background that Forest (Conservation) Act, 1980,

was brought into force w.e.f.25th October, 1980. The Act provided

that no authority would make an order diverting forest land for non-

forest use without the prior approval of the Central Government.”

14. That this alarming situation is clear from the first two

paragraphs of the Minister’s letter:

“Over the centuries forests of the country have been venerated as an

entity but over-used as a resource. They have played an important role

in the development of a predominantly agrarian economy of the

country.

According to interpretation of satellite imagery, good forest cover

extends over 36 million hectares only, which is about one third of the

extent of forest cover envisaged in the National Forest Policy. Public

debates on the paucity of the forest cover have raised a new awareness
Page 16 of 54
amongst the masses. There is now a marked thrust in the Government

policies to protect what is left, nurse back that has been degraded and

bring new area under tree cover, where-ever possible. It would not be

an exaggeration to say that the country has entered into an era of

ecological “renaissance”.”

15. That, having declared ecological “renaissance” as early as on

05.07.1988, the Central Government, after noting that the 1987 Report

“comprehensively deals with various conflicting demands on forests”,

acknowledged that “it gives all the statistics which is necessary to

make an adequate assessment of the situation as prevails to-day in

regards to forests and forestry in India”, and highlighted the existence

in India of “45,000 species of plants”, “One hundred and thirteen

species of bamboo”, “Wet evergreen forests of India in Arunachal

Pradesh, Assam, Karnataka, Kerala and Andaman and Nicobar

Islands”, “Seven percent of the mangroves of the world”, “350 species

of mammals, 1200 species of birds, and more than 20,000 species of

insects”, and ”Unclassed forests”, particularly in the north-eastern

States of India over which the local communities claim ownership.

16. That the 1987 Report with its colonial mindset unfortunately

for the tribal forest dwellers protected under Article 244 of the

Constitution of India inappropriately notes “The local communities

claim ownership over unclassed forest lands and also, enjoy excessive

concessions in use of forest products from these forests. As a result,

scientific management has not been possible in most of the forests of

the north-eastern States of the country.” That the 1987 Report based

NRSA satellite imagery with limited ground truth verification based

on mappable units of 400 hectare (from 1989 to 1999 the mappable

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unit was 25 hectare and from 1991 to 2017 it is 1 hectare) records the

decline in forest from 1972-75 to 1980-82 and its subsequent

reconciliation by FSI with intensive ground truth verification:

Million hectares 1972-75 1980-82 Area in mill.ha

(Change)

Closed forest 46.4226 36.0229 (-) 10.3997

(over 30 % tree cover) (*35.7686-10.88 %)

Open/degraded forest 8.7673 10.0592 (+) 1.2919

(10-30 % tree cover) (*27.6583-8.41 %)

Mangrove forest 0.3281 0.2649 (-) 0.0632

(*0.40466)

Total forest (NRSA) 55.51 46.347 (-) 9.171

(Limited ground truth verification)

Total forest (FSI*) (*64.2041-19.53 %)

(As per NFP 1952 – *95.14894-28.94 %)

(As against NFP 1988 – *109.5932-33.33 %)

(**0.3726)

Total (India) (*328.7797 – 100 %)

(*1981-83 Intensive ground truth verification – reconciliated data)

ALTITUDINAL DISTRIBUTION OF FORESTS

(Million Hectare) Total Area Required % Forest cover

UPTO 600 M (*255.2972) 20 % (*42.6276 –16.7%)

600-1800 M (*43.4054) 60 % (*16.5057 –38.0%)

1800-4000 M (*30.0771) 60 % (*5.0708 – 7.9%)

Total (*328.7797) 28.94 % (*64.2041-19.53%)

(Dictionary meaning of forest – biodiverse grass & shrub land, scrub

areas (7.6796), deserts and snow clad mountains – but 1987 Report
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classifies them as Non-forest land; while a coffee plantation** is

treated as forest area, a tea garden is non-forest area in the Report.

Tropical forests – wet ever-green forest (8 %), semi- evergreen forest,

moist deciduous forest (37 %), littoral & swamp forest, dry deciduous

forest (28.6 %), thorn forest and dry ever-green forest; Montane sub-

tropical forests -sub-tropical broad leaved hill forest, sub-tropical pine

forest and sub-tropical dry evergreen forest; Montane temperate

forests – Montane wet temperate forest, Himalayan moist temperate

forest and Himalayan dry temperate forest; Alpine forests – sub-

Alpine forest, moist Alpine scrub and dry Alpine scrub; )

17. That the Ministers who followed Sh. Ziaur Rahman Ansari

(who served as Minister under Prime Ministers, Indira Gandhi and

Rajiv Gandhi and who was primarily responsible for notifying the

National Forest Policy, 1988 which mandated one third of India to be

forest area i.e. 109.5932 million hectares) such as Sh. Kamal Nath who

assumed office in 1991, put the former’s professed policy of

ecological “renaissance” into cold storage and pursued the populist

agenda of development without a care for the ecological

consequences, hoping to hide behind the iron curtain of the Official

Secrets Act, 1923 to hide the truth of continuing ecological ruin during

the next decade, as becomes apparent from subsequent facts.

18. That a Report dated 31.05.1996 Annexure P-8, “We must

know” Down To Earth Vol 5 No 1 p.5 reports how the Government of

Rajasthan was forced to part with information in the matter of

collusive pollution by hazardous industries, causing damage to health

and crops of the farmers of Rajasthan.

Page 19 of 54
19. That a Report dated 31.05.1996 Annexure P-9, “Uproar over

a burning issue” Down To Earth Vol 5 No 1 pp.22-23 reports how

water and air is polluted by incinerators used for Municipal Solid

Waste.

20. That a Report dated 31.05.1996 Annexure P-10, “Hospital

waste: management morass” Down To Earth Vol 5 No 1 pp.29-33

reports how millions of tons of hospital waste is disposed of in

unscientific, unhealthy and uneconomic manner in India.

21. That a Report dated 31.05.1996 Annexure P-11, “Time to sit

up” Down To Earth Vol 5 No 1 p.58 discusses the outcome of the

impending negotiations consequent to the United Nations Conference

on Economic Development, 1992 (UNCED) whereafter,

“undoubtedly the environment of the World has gained prominence

on policy agendas of the North as well as the South. But in the end,

when ecology and economy have to fight it out for ‘who comes first’,

all too often it is economy that wins hands down…..The sense of

urgency that one could perceive in the Rio proceedings has

disappeared, although the environmental problems plaguing different

regions of the world have not yet been solved.”

22. That a Report dated 31.05.1996 Annexure P-12, “India way

ahead in tackling waste” Down To Earth Vol 5 No 1 p.59 discusses

how 20 % of the world’s population has brought the planet to its knees,

and lauded the Indian system of waste re-cycling and segregation (by

ragpickers) and strongly criticised the system of waste incineration.

23. That in the Editorial dated 15.06.1996 Annexure P-13, Down

To Earth Vol 5 No 2 p.6, Padma Bhushan, late Sh. Anil Kumar

Agarwal laments that “… biggest challenge before this government

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will be to create systems of governance that bring about a healthy

balance between environment and development. With a population

ready to cross a billion, and one of the poorest and most illiterate in

the world, economic growth will be vital to meet its basic needs and

provide jobs. But without taking care of the environment, it may only

mean a little more bread for a decade or two, and a degraded,

poisoned wasteland thereafter.”

24. That the Editor, Padma Bhushan, late Sh. Anil Kumar

Agarwal went on to note that “… our political parties say one thing

but do quite another …. None of this will change with the new

government. But under the combined impact of population growth,

urbanisation and enhanced economic activity, the environment will

continue to deteriorate at an accelerated pace. … what will constitute

good and effective environmental governance. … Transparency and

accountability ….. Public participation …. Decentralisation and

institutional development …”

25. That, in the same issue, Sh. Anil Kumar Agarwal, in Report

dated 15.06.1996 Annexure P-14, “Forestry convention: lair in the

woods” Down To Earth Vol 5 No 2 p.5 discusses the dangers of

handing over control of our forests to global agencies for the

development of a set of criteria and indicators (C&I) for the

“sustainable management of forests” with “a single set of criteria for

the entire forests of the world” and instead recommends that “the

single most important criterion and indicator for sustainable forest

management has to be the direct control of local people in forest

management. … since forests are local resources, the C&I have to be

first developed by local communities and the harmonised into global

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standards. … For the deprived millions who live in them, the vast

tropical forests are habitats. The extraordinary diversity of forest

types and use by the forest people, and in particular, the diversity of

life, cannot be coded into a national or global C&I. This can only be

done for the single-use, humanmade, monoculture forests of the

Northern model.”

26. That, in the same issue, Sh. Anil Kumar Agarwal, in Report

dated 15.06.1996 Annexure P-15, “The tiny killers” Down To Earth

Vol 5 No 2 p.7 discusses the dangers of ‘fine particle pollution’ from

“coal fired plants, diesel burning trucks and buses, petrol-powered

cars, industrial boilers and even wood burning stoves.” These

particles are 2.5 to 10 microns in diameter (human hair is 100 microns

in diameter) and “particles smaller than 2.5 microns in diameter pose

the greatest health risk.” That the standards discussed in this article

are 50, 20 and 10 micrograms of particulates per cu m of air which

would save 4,700 US lives a year (20 micrograms) and 56,000 lives a

year (10 micrograms). Recently it has been found that particles smaller

than 1 micron in diameter (from CNG powered vehicles and advanced

diesel engines) pose greater health risk than particles smaller than 10/

2.5 microns in diameter. A 2015 CSIR study reported in The

Ahmedabad Mirror of 01.09.2015 quotes “CSIR’s director general Dr

MO Garg said ‘We have found nanocarbon particles emitted during

natural gas combustion. These particles move around in the

atmosphere and going straight into the lungs through the nose. It then

enters your blood through membranes’. ‘These nanoparticles are rich

in polynuclear aromatic hydrocarbons with huge surface area, and

are carcinogenic,’ he added. He said he has alerted the government

Page 22 of 54
about the disastrous effect of CNG vehicles. So, is there a way out?......

Dr Y K Agrawal, Director of Institute of Research and Development

at GFSU, said, …..’The use of polymer nano filter is one solution for

the problem.’ [Nose mask filter?]”

27. That a Report dated 15.06.1996 Annexure P-16, “To be

healthy, wealthy and wise …. activists must fight for better prevention

and health education” Down To Earth Vol 5 No 2 pp.55-57 Padma

Bhushan, late Sh. Anil Kumar Agarwal laments “Felling of tropical

forests have generated diseases like the recent Ebola virus epidemic

in Zaire and some years ago, the Kyasanur Forest Disease in

Karnataka. Due to the mismanagement of the sub-Himalayan flood

plains, drainage, congestion and constant waterlogging appear to

have revived kala azar in Bihar. …. Undoubtedly, we are getting

exposed to numerous little known chemicals. Delhi’s citizens have the

highest concentration of DDT in their body fat in the world, because

of the pesticide’s wide-spread use. There is also very little concern in

India about toxic waste disposal.”

28. That in an interview, Sh. AN Yellappa Reddy, former special

secretary to the Karnataka Department of Environment and Ecology

reported at Annexure P-17, “It is wiser for industry to invest in

pollution control” Down To Earth Vol 5 No 2 pp.58-59, dated

15.06.1996 makes some telling comments “… negligence of any

environmental consideration while taking policy decisions. There is

no concern whatsoever, both at the administrative and ministerial

levels. … Until and unless the enforcing authority of the Central

government takes environmental issues seriously, industry will not

spend money on pollution control because they view it as an useless

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expenditure. We have mega industries here that give out at least 20 to

30 different types of emissions without proper control measures. We

do not even have decent pollution monitoring equipment. Take

Bangalore, we have just three outmoded and ancient air pollution

monitoring devices for a city of this size. … But when I questioned

PCB officials, they said the industries have been warned but they “do

not listen.” … The attitude of the PCB officials seems to be of abetting

the industry. … expenditure for pollution control is a pittance when

compared to the expenses incurred in renewal of licenses through

underhand methods. … blame the big businessfolk, the elite who are

in direct touch with the politicians, keeping the latter in their ‘payroll.’

… industry should understand that improper pollution control affects

productivity too. Indian industry does not fall into the category of

viability. … should be devoting at least 25 per cent of their budget to

study ways and means of reducing the use of resources and reusing

their wastes. … stream-wise recovery and the control of effluents. …

much of the three-four million litre of water used daily by Mother

Dairy can be treated and reused by textile units. works out much

cheaper than buying water from the Cauvery. … In a seminar, I had

spoken of the ecological threats posed to the Western Ghats by the

thermal plants coming up in Dakshina Kannada. … ‘clean burn’ of

de-sulphurisation technology for any coal-based plant … Cogentrix

… generating 250 tonnes of sulphur emissions per day. Ron Somers

… says he is bringing in air emission standards set by the US

Environment Protection Agency, but I am more concerned about the

sulphur and nitrogen oxides in that emission, a query he was not able

to answer. The Ghats run up just 20 km from the coast rising to a

Page 24 of 54
height of 3,000-4,000 feet (ft). So, even if they erect American-size

chimneys (the tallest is 250 ft), they are not going to mitigate the

sulphur emissions problem, which causes acid rain. On the contrary,

tall chimneys will increase the problem because the sulphur will lodge

itself on a wider area of forest canopy and the area’s 3,000-

millimetre-rainfall will cause the dissolution of these chemicals onto

the forest floor where most of the breeding takes place in the

monsoons. … how the 680 tonnes of flyash per day is going to be

handled. … de-salination plant to recycle the water used, but what will

Cogentrix do with the remaining salts? Dumping this will threaten the

estuary, marine life and the mangroves. .. used industrial benchmarks

in an ecologically fragile zone. … I was just doing my job by

discussing environmental hazards. So I do not understand why the

chief minister took exception to my speech. Why did you seek voluntary

retirement? . … new government came to power in 1995.. … I had

opposed the setting up of a large number of steel industries in Bellary.

The area has no groundwater. The farmers rely entirely on the river

Tungabhadra, which is itself threatened due to relentless mining.

Bellary has very high diurnal ranges in temperature, which will be

further aggravated by so many largescale industries. … The

government keeps saying “we want industry, at whatever cost” and

systematically weeds out whoever oppose it. It is difficult to function

under such conditions.”

29. That a statistical Report dated 15.06.1996 Annexure P-18,

“Carbon. Carbon every where” Down To Earth Vol 5 No 2 p.62

reveals that in 1996 per capita emission of global emission of carbon

equivalent of 6000 (million) tonnes annually of CO2 emissions was

Page 25 of 54
many times higher in developed countries as against that of developing

countries.

30. That a Report dated 30.06.1996, Annexure P-19, “Another

wait and watch” Down To Earth Vol 5 No 3 p.5 reveals the scant

regard for environment, “… in the furious debate inside and outside

Parliament, environment was not the issue. No one challenged the BJP

on the grounds of its developmental agenda, or on its commitment to

environmental issues. … Enron is perhaps the most notorious among

them. … developmental projects in Karnataka … Cogentrix power

plant, the massive aerodrome in Bangalore, the setting up of dye

plants near the Bangalore water tank (Tippangowdanhalli), or the

four super-highways … despite repeated warnings against aqua-

culture, Gowda is so keen to ensure investment in this sector that he

has given it a stature equal to agriculture … protect the sensitive,

biodiversity-rich Western Ghats … one rare bureaucrat, committed to

preserving the Ghats … A N Yellappa Reddy- was forced to give up

his job… concepts such as sustainable development seem to be just

mouthfuls to our politicians … has so little to offer in terms of

environmental thinking. But that being the case, the country might see

any prospects of a balance between development and sustainability

headed for a precipice.”

31. That the people of India are still in the “Wait and watch”

mode, this in spite of the statutory command of environmental laws to

involve local communities in ecological, forest rights and

environmental discourse (a human rights matter of greatest

significance), however even the Right to Information Act, 2005 has

failed to have desired impact, courtesy the States obstruction under the
Page 26 of 54
 pre-Constitution, Official Secrets Act, 1923, to such matters as pertain

to human rights and corruption.

32. That in the last few months the Hon’ble Supreme Court of India has

acted with great concern and despatch on environmental matters which

affect at some historical and some recent aberrations in environmental

protection by the State and its instruments, be they Ministers or

bureaucrats. That while these address a miniscule proportion of the

environmental wrongs, the principle of law now laid down for much

stricter compliance and identification of persons responsible, both

official and non-official, needs to be applied on a wider canvas to achieve

meaningful results of environmental amelioration at a national level.

That the Hon’ble Prime Minister of India was beseeched by this

petitioner in an Epistle dated 17.06.2019 enclosing Annexures P-1 to P-

86 placed at Annexure P-33 at paras 2 to 5:

“2. That it is reasonable to expect that in the grave situation depicted by

the concerns raised by the United Nations and many organizations and

countries, your good self may have been briefed by the Cabinet Secretary

in this human rights matter. That in case the Cabinet Secretary has not

raised the issue as yet with the Cabinet or with your good self, it becomes

the duty of this citizen to provide the material particulars to enable a just

decision in this matter of human rights, which is akin to genocide, casus

belli air pollution aggression from developed nations – dommages

corporels for millions of premature deaths– invalidates the shield of acta

jure imperii [Karlheinz Schreiber v. The Federal Republic of Germany

and the Attorney General of Canada and (Intervenors being United States

of America and Amnesty International), 2002 SC 62 (Canada),

12.09.2002 (7 judges), Sarbananda Sonowal v. Union of India, 2005

Page 27 of 54
(5) SCC 665, 12.07.2005 (3 judges), Regina (Smith) v. Oxfordshire

Deputy Coroner and (Intervenor being Equality and Human Rights

Commission), [2011] 1 AC 1, 30.06.2010 (13 judges)].

3. That looking to the National Forest Policy (NFP), 1988, [held in 2011

by the Apex Court to be mandate of Forest (Conservation) Act, 1980],

National Action Plan for Climate Change, 2008, India Cooling Action

Plan, 2018 & National Urban Policy Framework, 2018 (Draft) and resort

to environment and climate emergency to implement 33 percent land area

[NFP, 1988] under regenerative forest & other measures today. Stop

coal, oil and gas [fossil fuels] on war footing and switch to solar, wind,

wave (alternative) energy modes.

5. Kindly find enclosed the documents, 1535 pages in all, so as to arrive

at a just decision in favour of nearabout 1368 million Indian citizens.”

33. That it is the contention of the petitioner that this Public Interest

Litigation, if taken to its logical conclusion with the assistance of the

Cabinet Secretary and other officials has the potential to change the

way urban populations (estimated at 460 to 887 million persons) live

and work in India.

34. That the Respondent No. 1 single mindedly pursued only the agenda

of the real estate lobby, political funding and big industry, giving

priority to commercial interest of business over safety of health and

life of more than a billion people of this country.

35. As the instrumentalities of the State the Respondent No. 1 are under

constitutional obligation to ensure its international obligations and

domestic forest/ wildlife laws (witness the recently reported threat to

the 783 acre golden jackal habitat in Sanjay Van, Mehrauli, New

Page 28 of 54
 Delhi) and biodiversity and ecological/ environmental laws, without

in any manner jeopardizing health of petitioner and similarly placed

people, especially when they belong to weaker sections of the

community, who can not readily approach the courts, and are unable

to battle against the strong and powerful opponents, who are

exploiting them with collusive political agenda of development at any

cost even if it ruins the environment.

36. That currently there is an India Cooling Action Plan (ICAP) draft for

consultation only released by MoEF&CC on 16.09.2018 [with 20-year

perspective (2017-18 to 2037-38)]. ICAP targets for refrigerant phase out/

phase down are too little, too late - R-22 (HCFC phaseout in India by

2030) Medium Ozone Depletion, Global Warming Potential (1810): R-

410A (HFC) No Ozone Depletion, Global Warming Potential (2088); R-

134A (HFC) No Ozone Depletion, Global Warming Potential (1430); R-

32 (HFC phaseout in India by 2045) No Ozone Depletion, Global

Warming Potential (675): R-290 HC (Propane) No Ozone Depletion,

Global Warming Potential (3) – in absence of Government incentives,

Godrej till date is lone manufacturer that has introduced since 2017 for

India and for exports; R-600A HC (Iso-Butane) No Ozone Depletion,

Global Warming Potential (3).

37. Public stand taken by the Respondent No. 1, by not replying to the

legal notices at Annexures P-24, P-25 & P-26, demonstrates the

frame of mind of the Respondents that development is not harmful

and also no law has been formulated to make historical projects

conform to current Environmental Impact Assessments, without there

Page 29 of 54
 being anything conclusive, is violation of Fundamental Right to live

in safe environment.

38. That the Petitioner further submits that under the present genocidal

air pollution circumstances (caused mainly by developed nations,

although erstwhile developing nations have now started to gain

minutely larger share in the pollution pie charts), and under Article

21 of the Constitution of India every citizen of India is entitled to full

and complete information on the woeful lack of meaningful public

transport policies, air pollution levels (including ground and satellite

based comprehensive air pollution measuring infrastructure across

rural and urban India) and information of every aspect with regard to

“Arctic on Fire”, “Amazon on Fire” “Australian Coal Exports and

extreme weather events, cascading bush fires in September”

“California Forest Fires” and the environmental hazards caused by air

pollution (both noxious gases and particulates) from cars, trucks,

ships, aircraft, nuclear plants, industry, coal plants and the debilitating

degradation of forests caused by coal mining, stone mining and

crushing activity, trash burning, crop residue burning, construction,

burgeoning incidents of forest fires, coal mining area underground

fires, traditional stoves, charcoal extraction from bamboo, household

fires, diesel, petrol and gas burning, road dust and micro-plastics, as

also about the pre-7th July 2004 larger construction projects and

industrial townships, dating back to pre-Constitution periods, around

and in which they live and/ or work in, in order to be able to make

informed choices.

39. Under present guidelines there is no provision for providing

complete information in public domain on these vital public health

Page 30 of 54
 aspects. That the compliance monitoring of air, land and water

pollution and of existing pre-7th July 2004 projects, is inadequate and

against the public interest.

40. There is an urgent need of 100 percent compliance monitoring of such

larger construction projects and industrial townships, which encroach

on the 109 million hectare regenerative forest mandate (of National

Forest Policy, 1988) which will in turn also help in resolving the

increasing pollution (land, air and water) load (as also increasing

population) on urban, rural and tribal populations.

41. It is humbly submitted that in the absence of adequate legal frame

work /international human rights guidelines this Learned (Primary)

Human Rights Court has overriding original international human

rights jurisdiction, in this genocidal intergenerational child

externality based public health human rights violation, to direct

the Respondents under its untrammelled power, under Secs 30 & 31

of Act 10 of 1994, not restricted by the CrPC, 1973 (List III Item 1

Exception Clause) to consider the matter of supplementing current

guidelines and frame uniform guidelines across all states in India, in

a timebound manner concomitant with the “Environment and

Climate Emergency” as evidenced in Annexure P-27, and in

accordance with sub-sections (a) & (d) of section 12, sub-section (2)

of section 10 & Regulation 13, Appendix I, sub-code numbers

100.04, 200.02, 300.03, 400.01, 400.02, 600.04, 700.01, 700.02,

800.01, 800.04, 800.06, 800.14, 800.15, 900.01, 900.02, 900.04,

1000.01,1100.04, 1200.03, 1300.03, 1300.06, 1300.09, 1501.02.

Petitioner has no other option but to approach this Learned Court to

remedy large scale menace of pre-7th July 2004 larger construction

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 projects and industrial townships across India, and to move towards

unpolluted land, water and air, net zero emission, net zero waste,

clean energy, ultimate ban on fossil fuels, district wise carrying

capacity population levels and forest regeneration to 109 million

hectare mandate of National forest Policy, 1988, on “Emergency” and

War Footing.

42. That Amarnath Shrine, In Re (Court on its own motion) v. Union

of India and Ors, 2013 (3) SCC 247, held, “the absence of statutory

law occupying the field formulating effective measures to check

breach of rights, is the true scope of proper administration of justice.”

LIST OF DATES

1865-1927 Indian Forest Act, 1865, 1878 &1927

02.04.1923 Official Secrets Act, 1923
26.06.1945 Charter of the United Nations and the International Court of
Justice adopted by 50 nations, A Ramaswami Mudaliar & V.T.
Krishnama Chari signatories for India
24.10.1945 Charter of the United Nations came into force on the date.(193
member nations at present)
10.12.1948 Universal Declaration of Human Rights adopted on the date.
Articles 6 -11 are pari materia Articles 14, 19, 20, 21 & 22 of
the Constitution of India.
26.11.1949 Constitution of India, 1950 - approved on the date by the
26.01.1950 Constituent Assembly - came into force on 26.01.1950
12.05.1952 National Forest Policy 1952 (Res. No.13/52-F dt. 12.5.52)
[20% of plains areas and 60% of hilly areas should be under
forest cover – 96 million hectares]
16.06.1972 United Nations Conference on the Human Environment in
Stockholm, June 5-16, 1972
09.09.1972 Wildlife (Protection) Act, 1972
23.03.1974 Water (Prevention & Control of Pollution) Act, 1974,
25.10.1980 Forest (Conservation) Act 1980
29.03.1981 Air (Prevention and Control of Pollution) Act, 1981
23.05.1986 Environment (Protection) Act, 1986
05.07.1988 Onset of ‘ecological “renaissance”’ in India - Union Minister
of Environment and Forests, late Sh. Ziaur Rahman Ansari
(1925-1992), who took part in the Quit India Movement in
1941, released the First “State of the Forests Report, 1987”

Page 32 of 54
 enclosing his letter of the date “Over the centuries forests of
the country have been venerated as an entity but over-used as
a resource. They have played an important role in the
development of a predominantly agrarian economy of the
country.
According to interpretation of satellite imagery, good
forest cover extends over 36 million hectares only, which is
about one third of the extent of forest cover envisaged in the
National Forest Policy. Public debates on the paucity of the
forest cover have raised a new awareness amongst the masses.
There is now a marked thrust in the Government policies to
protect what is left, nurse back that has been degraded and
bring new area under tree cover, where-ever possible. It
would not be an exaggeration to say that the country has
entered into an era of ecological “renaissance”. Annexure P-
7
09.09.1988 The Prevention of Corruption Act, 1988
07.12.1988 National Forest Policy, 1988 (Res.No.3A/86-FP of the date) in
supersession of National Forest Policy 1952 (Res. No.13/52-F
dt. 12.5.52) 4.1. Area under Forests The national goal should
be to have a minimum of one-third of the total land area of the
country under forest or tree cover. In the hills and in
mountainous regions, the aim should be to maintain two-third
of the area under such cover in order to prevent erosion and
land degradation and to ensure the stability of the fragile eco-
system.
09.05.1992 United Nations Framework Convention on Climate Change,
New York, 9 May 1992
14.06.1992 United Nations Conference on Environment and Development
(UNCED) in Rio de Janeiro, June 3-14, 1992
24.04.1993 Constitution (Seventy-third Amendment) Act, 1992
01.06.1993 Constitution (Seventy-fourth Amendment) Act, 1992
28.09.1993 Protection of Human Rights Act, 1993
27.01.1994 Notification S.O. 60 (E), dated 27th January 1994 updated to
13.06.2002 13.06.2002 (EIA) - Annexure P-3
24.12.1996 Provisions of the Panchayats (Extension to the Scheduled
Areas) Act, 1996
20.07.1998 Bio-Medical Waste (Management And Handling) Rules, 1998
(S.O. 630(E) Gaz. dt. 27.7.1998)
14.02.2000 Noise Pollution (Regulation and Control) Rules, 2000 (S.O.
123(E) Gaz. dt. 14.2.2000 Annexure P-2
25.09.2000 Municipal Solid Waste (Management and Handling) Rules,
2000 (S.O. 908(E) Gaz. dt. 3.10.2000)
05.02.2003 Biological Diversity Act, 2002
07.07.2004 Notification S.O. 801 (E), of the date (EIA) Annexure P-1
15.06.2005 Right to Information Act, 2005 (Gazette of India Extra Pt II
Sec1 No. 25 dt. 21.06.2005)

Page 33 of 54
12.07.2005 Sarbananda Sonowal v. Union of India, 2005 (5) SCC 665,
(3 judges) held at SCC pp.708-711 paras 51-55 “51. The
foremost duty of the Central Government is to …. make the life
of the citizens safe and secure…. Article 355 of the
Constitution of India reads as under: “355. Duty of the Union
to protect States against external aggression …. 52. The word
“aggression” is a word of very wide import… 53. The word
“aggression” is not to confused only with “war” …. 54……
The modern war may involve not merely the armed forces of
belligerent States but their entire population….The framers of
the Constitution have consciously used the word “aggression”
and not “war” in Article 355….55. Article 1 of Chapter 1 of
the Charter of the United Nations gives the purposes of the
United Nations and the first is to maintain international peace
and security, and to that end: to take effective collective
measures for the prevention and removal of threats to the
peace, and for the suppression of acts of aggression or other
breaches of peace, and to bring about by peaceful means, and
in conformity with the principles of justice and international
law, adjustments or settlement of international disputes or
situations which might lead to a breach of peace. On account
of use of expression "acts of aggression" it was thought
necessary to define "aggression" and explain what it exactly
means. The International Law Commission defined the term
"aggression" as any act of aggression including the
employment of armed forces by a State against another State
for any purpose other than national or collective self-defence
or any decision by a competent organ of the United Nations.
But at the 1954 Assembly, there was opposition to this
definition. In his book Conflict through Consensus by Julius
Stone (1977 Edn.), the author has described in great detail
how after twenty years of discussion by a Special Committee
on "aggression" a consensus was arrived at and an agreed
definition was approved by the United Nations Assembly on
12th April, 1974 vide Resolution No.3314 (XXIX). The Soviet
Union pressed for inclusion of "ideological aggression" and
also "the promotion of the propaganda of fascist-nazi views,
racial and national exclusiveness, hatred and contempt for
other peoples." Iran pressed for inclusion of "indirect
aggression, of intervention in another State's internal or
foreign affairs", including "direct or indirect incitement to
civil war, threats to internal security, and incitement to revolt
by the supply of arms or by other means.". Many States wanted
the definition to include "economic aggression". Shri M.
Jaipal of India advocated that in view of "modern techniques
of coercion" the definition of aggression should have included
"economic pressures" and "interventionary and subversive
operations." (See page 97 of the book) Julius Stone has quoted
the following comments of Charles de Visscher, on the notion

Page 34 of 54
 of aggression: "aggression, in the present state of
international relations, is not a concept that can be enclosed
in any definition whatsoever: the finding that it has occurred
in any concrete case involves political and military judgments
and a subjective weighing of motives that make this in each
instance a strictly individual matter." Rapporteur Spiropoulos
explained to the International Law Commission that a
determination of aggression "can only be given in each
concrete case in conjunction with all constitutive elements of
the concept of the definition". According to the author what
needs also to be kept in mind is that this is precisely because
the "aggression" notion is a fact value complex of such vast
range. (See pages 108-109 of the book). Therefore,
"aggression" is a word of very wide import having complex
dimensions and would to a large extent depend upon fact
situation and its impact.”
23.12.2005 Disaster Management Act, 2005
14.09.2006 Notification S.O. 1533, of the date (EIA) Annexure P-4
09.12.2006 Scheduled Tribes and Other Traditional Forest Dwellers
(Recognition of Forest Rights) Act, 2006
30.06.2008 Prime Minister released India's National Action Plan on
Climate Change, (NACC 2008) prepared under the guidance
and direction of Prime Minister’s Council on Climate Change
on the date at New Delhi. Annexure P-5
04.02.2011 Plastic Waste (Management And Handling) Rules, 2011
12.05.2011 E-Waste (Management And Handling) Rules 2011
06.07.2011 Lafarge Umiam Mining (P) Ltd., v. Union of India, 2011
(7) SCC 338 (3 judges) held at para 122 (i.1) at SCC p.381
“the National Forest Policy, 1988 should be read as part of
the provisions of the Environment (Protection) Act, 1986 read
together with the Forest (Conservation) Act, 1980”
01.10.2011 “Study of Climate Change and its Adverse Effect on Forest
Ecosystem and Adaptability of Villagers of Aravalli Hills
of Rewari District of Haryana” (AFC:RC-NAEB RC-155)
by Regional Centre, National Afforestation & Eco-
development Board, Ministry of Environment & Forests (GoI)
New Delhi and Agricultural Finance Corporation Ltd.,
Northern Regional Office, New Delhi “This change has
resulted in declining regeneration rate in forest species;
decreased forest density; grazing land, meadows and forest
fringe have deteriorated in terms of area and fodder
production; depleting groundwater table” Annexure P-23
17.04.2015 Explanatory note dated 17.04.2015 of Prl. Secy (Forests),
Govt. of Haryana (referred to at para 9.6.x in Judgement dated
08.03.2019 passed by the National Green Tribunal (P.B.),
New Delhi in OA 407/2017) Annexure P-20
09.06.2015 “The decision dated 03.03.2017 is in contradiction of the NCR
20.12.2016 Planning Board meeting (35th) dated 09.06.2015 and
20.12.2016 vide which the Chief Secretary, while referring to

Page 35 of 54
 the statement given by the Chief Minister, Haryana relating to
maintaining status quo on the identified 'forest' of about
50,000 acres in Haryana Sub-region, stated that Govt. of
Haryana is committed to maintain these areas as they are at
present till the definition of `forest’ is finalized ……'specified
areas' are to be included while identifying/delineating' Aravali
in entire NCR.” (referred to at para 9.6.v in Judgement dated
08.03.2019 passed by the National Green Tribunal (P.B.),
New Delhi in OA 407/2017) Annexure P-20
20.07.2015 Directions contained in the order dated 20.07.2015 in Haryali
Welfare Society case in OA No.269/2013 (referred to at para
9.6.x in Judgement dated 08.03.2019 passed by the National
Green Tribunal (P.B.), New Delhi in OA 407/2017) Annexure
P-20
25.03.2016 Real Estate (Regulation and Development) Act, 2016
08.04.2016 Solid Waste Management Rules, 2016 S.O. 1357(E).
03.03.2017 “The decision dated 03.03.2017 is in contradiction of the NCR
Planning Board meeting (35th) dated 09.06.2015 and
20.12.2016 vide which the Chief Secretary, while referring to
the statement given by the Chief Minister, Haryana relating to
maintaining status quo on the identified 'forest' of about
50,000 acres in Haryana Sub-region,” (referred to at para
9.6.v in Judgement dated 08.03.2019 passed by the National
Green Tribunal (P.B.), New Delhi in OA 407/2017) Annexure
P-20
11.03.2017 Notice u/s 80 CPC, Protection of Human Rights Act, 1993,
Sections 2 (d), 2 (f), 30 & 31 Illegal Diversion of Aravalli
Chain/ extension/ ridge/ foothills/ hills in 8 districts of South
Haryana- “6. That you may kindly draw attention of all your
officers and law officers that in all future submissions on
Aravalli before any court or tribunal in India, these facts/
judgments and submissions are not withheld from knowledge
of the court/ tribunal as the same may well amount to judicial
fraud which may lead to damage to environment which may or
may not amount to state sponsored genocide.” Annexure P-
24
24.04.2017 “The PCCF, Haryana vide office order dated
20.06.2017 20.06.2017(Annexure-XXVII), constituted a committee in
compliance to the Addy. Chief Secretary (Forests) letter dated
24.04.2017 to sort out the difference in opinion regarding
presence of vegetation cover in the land belonging to M/s
Bharti Land Ltd. However, there is no mention of any
representation of MoEF&CC in the committee as mandated by
the Lafarge judgement. The State Forest Department could not
produce any record of visit of this committee to the disputed
area.” (referred to at para 9.6.vii in Judgement dated
08.03.2019 passed by the National Green Tribunal (P.B.),
New Delhi in OA 407/2017) Annexure P-20
23.06.2017 “x….the clear felling of trees has been accorded, which should
not have been avoided. xi. As per felling permission dated
23.06.2017, about 38941 no. of plants and trees existed on
spot, indicating that 1846 no, of trees-existed per ha (as

Page 36 of 54
 against 1000 trees per ha are planted on a blank area). The
density has been very high. If only root stock is counted, about
7843 root stocks were enumerated, being 372 per hectare.
This depicts that the land in question had moderate to dense
vegetation. As per vegetation status, the stand of Haryana
Forest Department to treat this land as deemed forest seems
to be justified. ” (referred to at para 9.6.x & xi in Judgement
dated 08.03.2019 passed by National Green Tribunal (P.B.)
New Delhi in OA 407/2017) Annexure P-20
15.02.2018 “New urbanisation policy to be finalised in 2 months”
published by Hindustan Times, New Delhi Annexure P-21
11.09.2018 Hon’ble Supreme Court held in M.C. Mehta v. Union of
India, 2018 SCC OnLine SC 1426 that not only the polluter
must pay but the officials found to be responsible be identified
and also be made to pay and suffer the consequences of their
acts of omission and commission in ignoring the advice of
Forest Department
18.09.2018 India Cooling Action Plan (ICAP) draft for consultation only
released by MoEF&CC on the date [with 20-year perspective
(2017-18 to 2037-38)]
01.12.2018 MoHUA released the National Urban Policy Framework, 2018
for comments closing on 31.05.2019 Annexure P-22
08.03.2019 Judgement of date passed by the National Green Tribunal
(P.B.), New Delhi in OA 407/2017) Annexure P-20
29.03.2019 Hon’ble Supreme Court held in Hanuman Laxman Aroskar
v. Union of India, 2019 SCC OnLine SC 441 that in any
large development project, such as Mopa Airport, Goa,
environmental concerns are of primary importance and issues
such as highest level of transparency required under the
14.09.2006 EIA Notification S.O. 1533, revealing of
Ecologically Sensitive Zones and nearby Forests and wildlife
corridors and habitat, Air Quality, Water Quality, Noise
Quality, Biological Impact on Flora and Fauna and Felling of
Trees, Traffic Circulation Plan, Energy Conservation
Measures
01.04.2019 Notice under Section 80 Civil Procedure Code, 1908 to
Cabinet Secretary, Government of India & Chief Secretary,
Government Of Haryana of the date so as to meet International
Obligations of India, jus cogens & erga omnes. (WATER
CASE)Annexure P-25
11.04.2019 Supplementary Notices of the dates in CWP 20032 of 2008
19.04.2019 and CWP 23839 of 2014. (WATER CASE) Annexure P-26
11.04.2019 Commencement of 17th Lok Sabha Elections revealed to
petitioner that all political parties had declared agenda of
doubling the rate of development but none had even talked of
how to ameliorate the environmental collapse that would
inevitably follow as the new principle of law laid down by
Hon’ble Supreme Court is environmental concerns are
primary in any development project on and from 29.03.2019.
That this populist stance of every political party shall colour
the mind of the executive in the years to come leading to
environmental catastrophe in the huge urban population of

Page 37 of 54
 anywhere between 460 to 887 million people and the sufferers
shall be the poor citizen who is truly poor in environmental
knowledge by purposive design of the leadership, the media,
the international aid agencies and big business. Exhibit P-91.
13.04.2019 Early Day Motions, House of Commons, UK-WIDE
CLIMATE EMERGENCY, EDM #2177, Tabled 13 March
2019, 2017-19 Session
23.04.2019 Climate Action and Extinction Rebellion, 23 April 2019,
Hansard Volume 658
01.05.2019 Environment and Climate Change, 01 May 2019, Hansard,
Volume 659 –“Resolved. That this House declares an
environment and climate emergency following the finding of
the Inter-governmental Panel on Climate Change that to avoid
a more than 1.5°C rise in global warming, global emissions
would need to fall by around 45 per cent from 2010 levels by
2030, reaching net zero by around 2050; recognises the
devastating impact that volatile and extreme weather will have
on UK food production, water availability, public health and
through flooding and wildfire damage; notes that the UK is
currently missing almost all of its biodiversity targets, with an
alarming trend in species decline, and that cuts of 50 per cent
to the funding of Natural England are counterproductive to
tackling those problems; calls on the Government to increase
the ambition of the UK’s climate change targets under the
Climate Change Act 2008 to achieve net zero emissions before
2050, to increase support for and set ambitious, short-term
targets for the roll-out of renewable and low carbon energy
and transport, and to move swiftly to capture economic
opportunities and green jobs in the low carbon economy while
managing risks for workers and communities currently reliant
on carbon intensive sectors; and further calls on the
Government to lay before the House within the next six months
urgent proposals to restore the UK’s natural environment and
to deliver a circular, zero waste economy.” Annexure P-27
CM 699/19/CM 737/19, CM 788/19 filed/ pending for
06.05.2019 10.10.19. Epistle to Hon’ble Prime Minister of India on
to 17.06.19 [Annexure P-33] not responded to, air pollution
12.09.2019 emergent status continues at highly dangerous to public health
from 05.09.19 onwards for at least 5 days or more. HENCE
THIS PETITION
Place: Gurugram
Date: 12.09.2019
Informant/Whistleblower/Petitioner-in person
Lt Col (Veteran) Sarvadaman Singh Oberoi
1102, Tower 1, Uniworld Garden, Sector 47, Gurugram 122018
Mob: 9818768349, Email: [email protected]

Page 38 of 54
 IN THE COURT OF SPECIAL JUDGE HUMAN RIGHTS,
GURUGRAM
[WITH THE UNFETTERED POWER TO ACT IN HUMAN RIGHTS
VIOLATIONS, NOW CATEGORICALLY AKIN TO INTER-
GENERATIONAL GENOCIDE OF BABIES AND CHILDREN, JUS
COGENS & ERGA OMNES, IN ACCORD WITH THREE DECADES OF
SETTLED INTERNATIONAL PRACTICE WHICH HOLD THAT
HUMAN RIGHTS ARE NO LONGER WITHIN THE DOMESTIC
PROHIBITION: PETITIONER ASSERTS THE NON-BINDING
NATURE OF SECTIONS 190 TO 259 & 340 TO 365 & 372 TO 394
CODE OF CRIMINAL PROCEDURE, 1973 QUA THE HUMAN
RIGHTS COURTS, IN VIEW OF ARTICLE 246, EXCEPTION CLAUSE
IN SEVENTH SCHEDULE, LIST III ITEM 1 AND COURT IS TO ACT
IN FURTHERANCE OF THE SETTLED PRINCIPLE OF “NO
ESTOPPEL AGAINST LAW” TO FILL IN/ INTERPRET, JUS COGENS
& ERGA OMNES, THE GAPS & LEGISLATIVE DEFECTS IN LAWS
OF HUMAN RIGHTS IN INDIA INCLUDING THE PROTECTION OF
HUMAN RIGHTS ACT, 1993 (ACT 10 OF 1994), SECTIONS 30 & 31,
SUB-SECTIONS (a) & (d) OF SECTION 12, SUB-SECTION (2) OF
SECTION 10 & REGULATION 13, APPENDIX I, SUB-CODE
NUMBERS 100.04, 200.02, 300.03, 400.01, 400.02, 600.04, 700.01,
700.02, 800.01, 800.04, 800.06, 800.14, 800.15, 900.01, 900.02, 900.04,
1000.01,1100.04, 1200.03, 1300.03, 1300.06, 1300.09, 1501.02]
CRMP NO.________ OF 2019
(U/A 51A(a), (b), (c), (d), (e), (f), (g), (h), (i), (j) & (k) of the Constitution
of India & U/S 30(a) of Act 10 of 1994)
IN THE MATTER OF:
Lt Col (Veteran) Sarvadaman Singh Oberoi, aged 70 years,
s/o late Capt HS Oberoi, 1102, Tower 1, Uniworld Garden I
Sector 47, Gurugram, Haryana, 122018, Mob: 9818768349
Email: [email protected]
… Informant/Whistleblower/Petitioner-in person

VERSUS
1. Union of India Through The Cabinet Secretary
Cabinet Secretariat, Government of India,
Rashtrapati Bhawan, New Delhi 110004
Email: [email protected] ….Necessary Party/Sole Defendant

WHISTLEBLOWER INFORMATION IN THE MATTER OF

PETITION REPORTING SUSTAINED OMISSION TO ACT
RESPONSIBLY AND TRANSPARENTLY IN HUMAN RIGHTS
ENVIRONMENT MATTERS AT NATIONAL LEVEL FROM
05.07.1988 TO DATE CAUSING A SLOW AND STEADY MARCH
TOWARDS POTENTIALLY CATASTROPHIC (AKIN TO
GENOCIDE) AIR, WATER, SOIL, NOISE & RADIATION
POLLUTION, HEAVY USE OF WATER, FOREST, FUEL & LAND/
HUGE WASTE & POLLUTION GENERATION, URBAN
OVERCROWDING, HIGH ENERGY USE & INCREASED SOCIAL
Page 39 of 54
TENSION/ CONFLICT, RESPIRATORY DISEASES OF CHILDREN,
DEGRADED LAND, AIR & WATER, DISDAIN FOR CITIZEN
ACTION/ FEEDBACK AMID RISING PUBLIC DISTRESS BY
GOVERNMENTS/ STATE/ CENTRE, OVERCONSUMPTION &
OVERPOPULATION LEADING TO UNMITIGATED
DEFORESTATION, IGNORANCE OF GOVERNMENT ABOUT
DISTRICT WISE POPULATION CARRYING CAPACITY TO
ARRIVE AT A SUSTAINABLE POPULATION LIMIT FOR INDIA AS
A WHOLE, WORSENING QUALITY OF LIFE, BELITTLING BY
GOVERNMENTS OF THE SEVENTH & EIGHTH KEY ELEMENTS
OF DEVELOPMENT, I.E. (7) ASSURANCE OF BASIC HUMAN
RIGHTS (8) CONSERVATION OF NATURE AND NATURAL
RESOURCES : RAPIDLY RISING AGRARIAN DISTRESS AMID
POST 2014 NON TRANSPARENT SUPPRESSION OF ALL
STATISTICAL NATIONAL DATA INCLUDING BURGEONING
FARMER SUICIDE FIGURES ALLEGED TO BE 50000 PER ANNUM
BY A TOP HARYANA FARMER LEADER : ALLEGATIONS BY
ROAD CONTRACTORS, REASON FOR GOOD ROADS ONLY IN
TAMIL NADU AND POTHOLED DEATH CAUSING ROADS IN
REST OF INDIA, IS UNCHECKED VERY HIGH RENT SEEKING BY
POWER CENTRES AIDED BY INEFFECTIVE EXECUTIVE
CONTROLLED VIGILANCE MACHINERY : ALLEGATIONS OF
ONE MILLION AIR POLLUTION DEATHS PER ANNUM IN INDIA
: ALLEGATIONS OF ONE MILLION AIR POLLUTION DEATHS
PER ANNUM IN INDIA : THREE-FOURTHS OF EARTHS LAND
SURFACE HAS UNDERGONE DRASTIC CHANGE IN LAST
CENTURY AMID IRRETRIEVABLE BIODIVERSITY LOSS OF A
MILLION SPECIES WORLDWIDE : MINISTRY OF STATISTICS
AND PROGRAMME IMPLEMENTATION REPORTED 14 FOLD
SPIKE IN HEATWAVES AND 34 FOLD SPIKE IN COLDWAVES IN
2017 COMPARED TO 2016 IN INDIA - THESE EXTREME
WEATHER INCIDENTS ARE FUELLED BY GREENHOUSE GASES
& CLIMATE CHANGE : NEED FOR INDIVIDUAL ACTION IN RE
MAHATMA GANDHI, HARIJAN VOLUME 8, ISSUE 28, 25.08.1940

MOST RESPECTFULLY SHOWETH:

1. That, the instant Information/ Petition has been filed by the above

named Whistleblower/Informant/Petitioner under Article 51A of the

Constitution of India, so that Respondent no 1/ sole respondent, keeping

in mind the precautionary principle to protect the people at large, are

assisted to participate in arriving at a just decision by this (Primary)

Human Rights Court in this matter of sustained omission to act in Human

Rights Environment Matters at National Level from 05.07.1988 to date

causing a slow and steady march towards potentially catastrophic (akin

Page 40 of 54
to genocide) air, water, soil, noise & radiation pollution, heavy use of

water, forest, fuel & land/ huge waste & pollution generation, urban

overcrowding, high energy use & increased social tension/ conflict,

respiratory diseases of children, degraded land, air & water, disdain for

citizen action/ feedback amid rising public distress by Governments/

State/ Centre, overconsumption & overpopulation leading to unmitigated

deforestation, ignorance of Government about District Wise Population

Carrying Capacity to arrive at a Sustainable Population Limit for India’s

Carrying Capacity as a whole, worsening quality of life, belittling by

Governments of the seventh & eighth key elements of development, i.e.

(7) Assurance of Basic Human Rights (8) Conservation of Nature and

Natural Resources, rapidly rising agrarian distress amid post 2014 non

transparent suppression of all statistical national data including

burgeoning farmer suicide figures alleged to be 50000 per annum by a

top Haryana farmer leader, allegations by road contractors, reason for

good roads only in Tamil Nadu and potholed death causing roads in rest

of India, is unchecked very high rent seeking by power centres aided by

ineffective executive controlled vigilance machinery, allegations of one

million air pollution deaths per annum in India, three-fourths of Earths

land surface has undergone drastic change in last Century amid

irretrievable biodiversity loss of a million species worldwide, Ministry

of Statistics and Programme Implementation reported 14 fold spike in

heatwaves and 34 fold spike in coldwaves in 2017 compared to 2016 in

India - these extreme weather incidents are fuelled by greenhouse gases

& climate change, and therefore the need for this individual action In Re

Mahatma Gandhi, Harijan, Volume 8, Issue 28, 25.08.1940. “It is

perfectly possible for an individual to adopt this way of life without

Page 41 of 54
having to wait for others to do so. And if an individual can observe a

certain rule of conduct, it follows that a group of individuals can do

likewise. It is necessary for me to emphasize the fact that no one need

wait for anyone else in order to adopt a right course. Men generally

hesitate to make a beginning if they feel that the objective cannot be had

in its entirety. Such an attitude of mind is in reality a bar to progress”

2. The respondent No. 1 is the Cabinet Secretary of India, who is

required to deal with this inter-ministerial/ inter-governmental matter

under the procedures and policies envisaged in Government of India

(Allocation of Business) (AoB) Rules, 1961 and the Government of India

(Transaction of Business) (ToB) Rules, 1961 which have been framed

under Article 77 (3) of the Constitution of India, and consolidated at one

place in the “Government of India Cabinet Secretariat Handbook on

writing Cabinet notes” dated 24.04.2018 issued under signature of the

Cabinet Secretary. (updated to 15.04.2018). He is required, in List I Item

13 matters, as the ultimate authority, to also deal with Chief Secretaries

of all States & Union Territories, as well.

3. These matters peripherally only concern the Governments of

Haryana and all other States/ UTs, who are all required to deal with this

inter-ministerial/ inter-governmental matter concerning primarily (under

List 1 Item 13) Central Government Ministry of Environment, Forest and

Climate Change (MoEFCC), The Ministry of Water Resources, River

Development and Ganga Rejuvenation (MoWR), Ministry of Finance

(MoF), Ministry of Housing & Urban Affairs, (MoHUA), Ministry of

Law & Justice (MoLJ), Ministry of Statistics and Programme

Implementation (MoSPI) etc. but also Haryana Departments of

Administration of Justice, Environment, Forests, Irrigation and Water

Page 42 of 54
Resources, Revenue and Disaster Management, Town & Country

Planning & Urban Estates, Urban Local Bodies, hence fully attracts the

mischief of rules in the States / UTs similar to Rule 27 of the Rules of

Business of the Government of Haryana, 1977 issued under Article 166

of the Constitution of India vide No. 366-Cabinet-77 dated 21.06.1977.

"Any matter likely to bring the State Government into controversy with

the Government of India or with any other State Government, shall as

soon as the possibility of such controversy is seen, be brought to the

notice of the Minister-in-charge, the Chief Minister and the Governor."

4. That since this is not an adversarial litigation, the absence of an

independent public prosecutor at initial stages of the lis may be filled in

by about 10.10.2019 in appropriate and judicious orders on the judicial

side after granting opportunity to the Respondent No. 1. That it is only

to be expected that a whistleblower case such as this would open the

whistleblower to attack of various lobbies and mafias, and hence

protection is to be granted in accordance with law to whistleblower and

the whistleblower case. That the protection of whistleblower case would

be assured by appointing amicus curiae and permitting NGOs to submit

briefs on the well settled international principles of amicus curiae. That

the deficiency of a Section 31 human rights prosecutor would be less

acutely felt in such a vibrant scenario of amicus curiae. Of course the

law demands [there can be no estoppel against law] a viable [Paris

Principles] human rights prosecutor in this vital case.

5. That since this is not an adversarial litigation the perceived defect of

Article 246 Notification of this (Primary) Human Rights Court at initial

stages of the lis may be filled in by about 10.10.2019 in appropriate and

Page 43 of 54
judicious orders on the judicial side after granting opportunity to the

Respondent No. 1.

6. That since this is not an adversarial litigation the layout of this

information shall be taken to be in accord with the well settled law of

whistleblower in judicial institutions, and so long as the information

appears in the Synopsis, the List of Dates or the Annexures, it shall have

to be taken as part and parcel of this information, and the respondents are

estopped from raising objection that the main body of the information

does or does not contain within itself the whole of the information

contained in any part of the Main Body, the Synopsis, the List of Dates

or the Annexures.

7. That the Respondent may or may not have constructive notice of

informant’s earlier version(s) of Draft Rules for Independent Public

Prosecutors hence the Updated Draft Rules for Independent Public

Prosecutors, 2019 are also placed on record at Annexure P-29 and may

be adopted by about 10.10.2019 in appropriate and judicious orders on

the judicial side after granting opportunity to the Respondent No. 1.

8. That the Respondent may or may not have constructive notice of

informant’s earlier version(s) of Draft Rules for (Primary) Human Rights

Courts hence the Updated Draft Rules for (Primary) Human Rights

Courts, 2019 are also placed on record at Annexure P-28 and may be

adopted by about 10.10.2019 in appropriate and judicious orders on the

judicial side after granting opportunity to the Respondent No. 1.

9. That the single most pressing issue in this human rights petition

would surely be Deforestation caused by the Constitutional objective of

development of better quality of life and health and the unintended

Page 44 of 54
shooting up of population from about 330 million on 15.08.1947 to over

1382 million on 10.09.2019.

10. That one subsidiary human assets issue also arises if only because

the highly trained and respected national Indian Forest Service officers

sworn to uphold the India Forest Act, 1927, Forest (Conservation) Act,

1980, National Forest Policy, 1988 & Forest (Conservation) Rules, 2003

have been made the cannon fodder of sundry mining & real estate mafias

actively assisted by the mafia sympathetic/ development oriented

elements amongst I.A.S. & political leadership which has systematically

denied monetary and manpower enforcement resource to the Forest

Departments countrywide, as recorded in recent judgements of the

National Green Tribunal, the various High Courts and even the Hon’ble

Supreme Court of India.

11. That the major cities of Delhi (NCR) and Mumbai have already

breached the Forest Lakshman Rekha is common knowledge to residents

of Gurugram. (Aravalli land of Guru Dronacharya which in revenue

records is to be found recorded as bhood, banjar qadim, gair mumkin

pahar and gair mumkin nala).

12. That in a 2014 presentation at TERI, Gurugram to the then Hon’ble

Forest Minister, Haryana, Capt. Abhimanyu, (now Hon’ble Finance

Minister, Haryana) the then Conservator of Forests (South), Sh. M.D.

Sinha, I.F.S., (now Addl. CEO, GMDA) presented the climate change

aspect of Aravalli destruction as the loss of number of rainy days, if

memory serves me right, from about 180 days in 1974 to about 70 days

in 2013, and the annual rainfall from about 720 mm in 1974 to about 420

mm in 2013, giving a daily precipitation level on rainy days of about 4

Page 45 of 54
mm in 1974 to 6 mm in 2013, i.e. heavier rain causing greater run-off

and lesser ground water re-charge.

13. That a Report “Study of Climate Change and its Adverse Effect

on Forest Ecosystem and Adaptability of Villagers of Aravalli Hills

of Rewari District of Haryana” (AFC:RC-NAEB RC-155) published

in October 2011 by Regional Centre, National Afforestation & Eco-

development Board, Ministry of Environment & Forests (GoI) New

Delhi and Agricultural Finance Corporation Ltd., Northern Regional

Office, New Delhi states, “Based on the discussion with village

inhabitants and forest officials, it was learnt that the amount of rainfall

in the region has decreased and become more erratic. The average

rainfall between 1978 and 2007 has been 498 mm. It has plunged from

596mm in the 1990s to 421mm during the last 7 years, a decrease of

approximately 29%. This change has resulted in declining regeneration

rate in forest species; decreased forest density; grazing land, meadows

and forest fringe have deteriorated in terms of area and fodder

production; depleting groundwater table, resulting in scarcity of water

for irrigation and drinking; non-sowing of some major pulses crops like

chana, moong, moth which require adequate rainfall; depleting

traditional water bodies, like ponds, johads etc, resulting in scarcity of

drinking water for livestock and decreased wild life. Inadequate and

erratic occurrence of rainfall has placed excessive pressure on

groundwater for irrigation. The increased use of advanced irrigation

equipments has further compounded the situation by fostering a water

crisis. Over-drafting of groundwater has caused failure of shallow tube-

wells in the region. Around 45 % of the geographical area falls with the

10-20 m depth of water-table range. In the past three decades from 1974
Page 46 of 54
to 2004, the water table is receding at an alarming rate of 30 cm per

annum in the district.”

14. That the single most needed implementation of rule of law issue in

this human rights issue would surely be enforcing the ‘ecological

“renaissance”’ declared by the then Union Minister of Environment and

Forests, late Sh. Ziaur Rahman Ansari on 05.07.1988.

15. That the Hon’ble Union Minister of Environment and Forests, late

Sh. Ziaur Rahman Ansari brought in the National Forest Policy, 1988

and stated aim in his letter dated 05.07.1988 was to increase the

‘regenerating’ forest cover of India from 36 million hectares to 109

million hectares, which works out to roughly one-third of India’s total

land area. Annexure P-7.

16. That most of India’s forests are no longer seen as capable of

regenerating and sustaining biodiversity, which is a silent disaster

awaiting only the formal announcement.

17. That in Lafarge Umiam Mining (P) Ltd., v. Union of India, 2011

(7) SCC 338 (3 judges), after discussing in extenso the aims, objects and

future implications of the National Forest Policy, 1988, at paras 2 -7 at

SCC pp.345-347, it was most significantly held at para 122 (i.1)- (i.3) at

SCC p.381 “Part II. Guidelines to be followed in future cases. 122 (i)

As stated in our order hereinabove, the words “environment” and

“sustainable development” have various facets. At times in respect of a

few of these facets data is not available. Care for environment is an

ongoing process.(i.1) The time has come for this Court to declare and we

hereby declare that the National Forest Policy, 1988 which lays down

far-reaching principles must necessarily govern the grant of permissions

under Section 2 of the Forest (Conservation) Act, 1980 as the same

Page 47 of 54
provides the road map to ecological protection and improvement under

the Environment (Protection) Act, 1986. ….. the National Forest Policy,

1988 should be read as part of the provisions of the Environment

(Protection) Act, 1986 read together with the Forest (Conservation) Act,

1980. This direction is required to be given because there is no

machinery even today established for implementation of the said

National Forest Policy, 1988 read with the Forest (Conservation) Act,

1980. Section 3 of the Environment (Protection) Act, 1986 confers a

power coupled with duty and, thus, it is incumbent on the Central

Government, as hereinafter indicated, to appoint an Appropriate

Authority, preferably in the form of Regulator, at the State and at the

Centre level for ensuring implementation of the National Forest Policy,

1988. (i.2) The difference between a regulator and a court must be kept

in mind. The court / tribunal is basically an authority which reacts to a

given situation brought to its notice whereas a regulator is a pro-active

body with the power conferred upon it to frame statutory Rules and

Regulations. The Regulatory mechanism warrants open discussion,

public participation, circulation of the Draft Paper inviting suggestions.

(i.2) The basic objectives of the National Forest Policy, 1988 include

positive and pro-active steps to be taken. These include maintenance of

environmental stability through preservation, restoration of ecological

balance that has been adversely disturbed by serious depletion of forest,

conservation of natural heritage of the country by preserving the

remaining natural forests with the vast variety of flora and fauna,

checking soil erosion and denudation in the catchment areas, checking

the extension of sand-dunes, increasing the forest/ tree cover in the

Page 48 of 54
country and encouraging efficient utilization of forest produce and

maximizing substitution of wood.”

18. That the mandate (as also asserted by the 3 judge Bench above) of

the National Forest Policy, 1988 at Clause 4.1 needs must be enforced

by all courts in India, including this (Primary) Human Rights Court:

“4.1. Area under Forests The national goal should be to have a

minimum of one-third of the total land area of the country under forest

or tree cover. In the hills and in mountainous regions, the aim should be

to maintain two-third of the area under such cover in order to prevent

erosion and land degradation and to ensure the stability of the fragile

eco-system.”

19. That since all of the questions of law arising are not framed at

present, a clarificatory Q&A series is proposed to be discussed.

Questions of Public Importance in Urban Environment Context

20. Whether existing large buildings and other constructions in urban India,

which now are increasingly bordering the ‘regenerating’ forests, constitute a

largely unchecked source of pollution of the environment.

21. Whether the said largely unchecked source of urban pollution of the

environment infringe the rights of the informant/ petitioner’s and public at

large under Article 21 of the Constitution of India cause of action properly lies

under Section 30 of the Protection of Human Rights Act, 1993 in the highest

category of “exceptionally serious wrongful act”. Annexure P-30. [State

Responsibility [Agenda item 2] United Nations Document A/CN.4/490 and

Add. 1–7* First report on State responsibility, by Mr. James Crawford, Special

Rapporteur [24 April, 1, 5, 11 and 26 May, 22 and 24 July, 12 August 1998]]

Page 49 of 54
22. Whether current guide lines /rules, regulations/legal frame work is

adequate and sufficient to deal with the threats of unchecked urban

pollution.

23. Whether current guide lines /rules, regulations/legal frame work

maintain a proper balance between public health and the commercial

benefits of urban development.

24. Whether current guide lines /rules, regulations/legal frame work

maintain a proper balance between district wise population carrying

capacity used as a working plan figure for a composite national level

carrying capacity population to avoid unsustainable overpopulation and

consequential deforestation.

25. Whether in view of Article 39 (f) it is necessary and incumbent on

the State to safeguard and determine the ill effects on children

considering the intergenerational externalities of babies and children

who are voiceless till they turn into majority age of voting, by which time

it would be far too late for them to seek public health equity, which their

parents, being uninformed by deliberate inaction of governments in

putting in place adequate air pollution measurement infrastructure (both

satellite and ground based), will not raise in the arena of political power

structure. See Exhibit P-91 u/s 45, 62 & 87 I.E.A., 1872. Continuous

PM 2.5 levels above 10 are known to cause adverse health effects

whereas Indians are made to believe that levels of 50 to 55 are not

harmful, and one Chief Minister placed full page advertisements in

prominent national dailies on 09.09.2019 that there has been decline of

25% in PM 2.5 levels from 154 (2012-14) to 115 (2016-18). For Indian

Evidence Act see also Annexure P-84A & Annexure P-87.

Page 50 of 54
26. Whether self-certification of air and water pollution levels by

polluter is against the public policy of India.

27. Whether continuing reduction in forest cover of Haryana which was

anyway below the mandate of one-fifth to one-third to favour real estate

mafia is not an offence of human rights violation. Annexure P-31.

Whether continuing reduction in forest cover of India below one-third

(1096 lakh hectares) and continued neglect to infuse funds and

manpower towards converting wastelands into “re-generating” forest

lands to meet the shortfall (540.832 lakh hectares in 1972-75 shortfall

increasing to 632.462 lakh hectares in 1980-82, current figures of

shortfall are not ascertainable (700 lakh hectares plus?) because of

obscure classification methodology adoptions of commercial/ linear

forests, and an utter lack of transparency law enforcement. That the

stated UNCCD COP14, 2-13 September 2019 Indian pledge of

restoration of additional 50 lakh hectares of degraded land [at the measly

rate of additional 5 lakh hectares per annum from 2019 to 2030 by

amending of 2015-2030 target of 210 lakh hectares (14 lakh hectares per

annum) to 260 lakh hectares (24 lakh hectares per annum) but has not

revealed the actual achieved figures from 2015 to 2019 (Net Gain of

Wastelands per annum continues in negative territory?), hence

presumably it is nearer to zero lakh hectares than to the targeted (2015-

2019) 56 lakh hectares] is of total degraded land area of 964 lakh hectare

in India (29%). [http://unccdcop14india.gov.in] See TOI Gurugram

09.09.2019 Pg. 13 & HT Gurugram 09.09.2019 Pg. 5 &TOI Gurugram

10.09.2019 Pg. 14

28. Whether citizens of India have constitutional right u/a 21 & 355 to

have full and complete information in public domain on unchecked (air,

Page 51 of 54
land & water) urban and rural pollution, akin to genocide, casus belli air

pollution aggression from developed nations [Sarbananda Sonowal v.

Union of India, 2005 (5) SCC 665, at SCC pp.708-711 paras 51-55]

29. Whether in view of the facts and circumstances of the present case it

is a fit case for this Human Rights Court to invoke its original human

rights jurisdiction under Article 51A to supplement the 2006 guidelines/

Notification invoking the precautionary principle and lay down uniform

guidelines across the country in the category of “exceptionally serious

wrongful act” Annexure P-30.

30. That in an unprecedented first, forced by striking children including

Greta Thunberg, the House of Commons had on 01.05.2019 resolved to

declare an “environment and climate emergency” and resolved as

follows: “Resolved. That this House declares an environment and

climate emergency following the finding of the Inter-governmental Panel

on Climate Change that to avoid a more than 1.5°C rise in global

warming, global emissions would need to fall by around 45 per cent from

2010 levels by 2030, reaching net zero by around 2050; recognises the

devastating impact that volatile and extreme weather will have on UK

food production, water availability, public health and through flooding

and wildfire damage; notes that the UK is currently missing almost all

of its biodiversity targets, with an alarming trend in species decline, and

that cuts of 50 per cent to the funding of Natural England are

counterproductive to tackling those problems; calls on the Government

to increase the ambition of the UK’s climate change targets under the

Climate Change Act 2008 to achieve net zero emissions before 2050, to

increase support for and set ambitious, short-term targets for the roll-

out of renewable and low carbon energy and transport, and to move
Page 52 of 54
 swiftly to capture economic opportunities and green jobs in the low

carbon economy while managing risks for workers and communities

currently reliant on carbon intensive sectors; and further calls on the

Government to lay before the House within the next six months urgent

proposals to restore the UK’s natural environment and to deliver a

circular, zero waste economy.” Annexure P-27

PRAYER

From the facts as aforestated, the Petitioner herein respectfully submits

that being Court of original jurisdiction this Court may be pleased to:

a. Issue an order or direction thereby directing the Respondent No. 1 to

arrange judicious publication of the draft rules in consonance with human

rights law, for independent human rights prosecutors, as also their

notification by the Central Government in accord with Article 246 List 1

Item 13/ List III Item 1 (exception clause excludes criminal law of India)

Annexure P-28, or otherwise, in strict accord, jus cogens and erga omnes,

in harmony with Paris Principles by 10.10.19;

b. Issue an order or direction thereby directing the Respondent No. 1 to

arrange judicious publication of the draft rules in consonance with human

rights law for human rights courts, as also their proper notification by the

Central Government in accord with Article 246 List 1 Item 13/ List III Item

1 (exception clause excludes criminal law of India), Annexure P-29, or

otherwise, in strict accord, jus cogens and erga omnes, in harmony with

Paris Principles by 10.10.19;

c. Issue an order or direction thereby directing the Respondent No. 1 to

arrange for the passage of emergency measures including setting up air,

land and water pollution measurement infrastructure, as explicated in

Exhibit P-91, increase of the re-generating forest area to 109.6 million

Page 53 of 54
hectare by 2050, and 90 million hectares by 2030 by conversion of degraded

land to re-generating forest of at least 50 lakh (5 million) hectares (Net Gain

after catering for lands degraded or lost to mining and development during

the year) per annum from 2020 to 2030; in order to achieve the 2030 target,

increase strength/ infrastructure of our Forest Services, have resort to

emergency powers for deep selection of dynamic and vibrant PCCF (HoFF)

for a fixed meaningful tenure of 5 years, regardless of service terms and

conditions of retirement age, by the Union Public Service Commission,

from a panel of suitable candidates by 31.03.20;

d. Issue an order or direction thereby directing the Respondent No. 1 to

arrange for the passage of emergency diplomatic/political measures,

including use of police, paramilitary and military, in the face of this

“external aggression” in harmony with Annexure P-5, NACC 2008/

Annexure P-22, NUPF, 2018 amended to take care of the concerns raised

in Annexure P-27 by 31.03.20, in view of akin to genocide situation, casus

belli air pollution aggression from developed nations – dommages

corporels for millions of premature deaths– which invalidates the shield of

acta jure imperii [Karlheinz Schreiber v. The Federal Republic of

Germany, 2002 SC 62 (Canada), Sarbananda Sonowal v. Union of

India, 2005 (5) SCC 665, Regina (Smith) v. Oxfordshire Deputy

Coroner, [2011] 1 AC 1]

e. Pass such other order (s)/direction (s), as may be necessary in the

facts and circumstances of the case.

Place: Gurugram
Date: 12.09.2019
Informant/Whistleblower/Petitioner-in person
Lt Col (Veteran) Sarvadaman Singh Oberoi
1102, Tower 1, Uniworld Garden, Sector 47, Gurugram 122018
Mob: 9818768349, Email: [email protected]

Page 54 of 54
 ANNEXURE P/1

THE GAZETTE OF INDIA

55
EXTRAORDINARY

PART II � Section 3 � Sub-section (ii)

MINISTRY OF ENVIRONMENT AND FORESTS

NOTIFICATION

New Delhi, the 7th July, 2004

S.O.801(E), dated 7th July, 2004 - Whereas a draft of certain amendments to the
notification of the Government of India in the Ministry of Environment and Forests number
S.O.60 (E), dated the 27th January 1994 was published in the Gazette of India, Extraordinary,
Part II, section 3, sub-section (ii) vide number S.O.1236 (E), dated the 27th October, 2003
inviting objections and suggestions from all persons likely to be affected thereby within a
period of sixty days from the date on which copies of the Gazette containing the said
notification were made available to the public;

And whereas, copies of the said notification were made available to the public on 27th
October, 2003;

And whereas, the Orders of the Hon�ble Supreme Court in the Writ Petition (C)
No.725 of 1994 with I.A. No.20, 21, 1207, 1183, 1216 and 1251 in Writ Petition (C) No.4677
of 1985 in the matter of news item published in Hindustan Times titled �And Quiet Flows the
Maily Yamuna� vs. Central Pollution Control Board and Others have been duly considered;

And whereas, the Orders of Hon�ble High Court of Madras in W.P. (C) No.33493 of
2003 and W.P. Nos.35205, 35517, 35691, 35692 and 35825 of 2003 and W.P. M.P. Nos.40556,
42562, 43720, 45348 to 45350, 42791, 42792, 43882, 43181, 43366 to 43369, 43544 and
43545 of 2003 between C.S. Kuppuraj and others Vs. the State of Tamil Nadu and others have
also been duly considered;

And whereas, all objections and suggestions received have been duly considered by the
Central Government;

Now, therefore, in exercise of the powers conferred by sub-section (1) and clause (v) of
sub-section (2) of section 3 of the Environment (Protection) Act, 1986 (29 of 1986) read with
clause (d) of sub-rule (3) of rule 5 of the Environment (Protection) Rules, 1986, the Central
Government hereby makes the following further amendments in the notification number S.O.
60 (E), dated the 27th January 1994, namely:-

In the said notification, -�

I. in paragraph 3-
(i) in item (a), for the letters, word and figures �Nos.3,18 and 20�,� the letters,
word and figures �Nos.3,18,20,31 and 32� shall be substituted;

�(ii)������ after sub-para (f), the following shall be inserted, namely:-

�(g) ���� any construction project falling under entry 31 of Schedule-I
including new townships, industrial townships, settlement colonies,
commercial complexes, hotel complexes, hospitals and office complexes
for 1,000 (one thousand) persons or below or discharging sewage of
50,000 (fifty thousand) litres per day or below or with an investment of
Rs.50,00,00,000/- (Rupees fifty crores) or below.

(h) ������ any industrial estate falling under entry 32 of Schedule-I

including industrial estates accommodating industrial units in an area of
 56
50 hectares or below but excluding the industrial estates irrespective of
area if their pollution potential is high.�

Explanation.�

(i) New construction projects which were undertaken without

obtaining the clearance required under this notification, and where
construction work has not come up to the plinth level, shall require
clearance under this notification with effect from the 7th day of July,
2004.

(ii) In the case of new Industrial Estates which were undertaken

without obtaining the clearance required under this notification and
where the construction work has not commenced or the expenditure
does not exceed 25% of the total sanctioned cost, shall require
clearance under this notification with effect from the 7th day of July,
2004.

(iii) Any project proponent intending to implement the proposed

project under sub-paras (g) and (h) in a phased manner or in
modules, shall be required to submit the details of the entire project
covering all phases or modules for appraisal under this
notification�;

II. in Schedule-I, after item 30 and the entry relating thereto, the following shall be inserted,
namely:-
�31. New construction projects
� 32. New industrial estates.�;�

III. in Schedule-II, -
(i) in para 5, for sub-para (f), the following shall be substituted, namely:-
�(f)(i)��������� The quantum of existing industrial effluents and domestic
sewage with incremental load to be released in the receiving water body due
to the proposed activities along with treatment details;

(ii) ������ The quantum and quality of water in the receiving water body
before and after disposal of solid wastes including municipal solid wastes,
industrial effluents and domestic sewage;

(iii) The quantum of industrial effluents and domestic sewage to be released on

land and type of land;�;

(ii) in para 6, for sub-para (a), the following shall be substituted, namely:-
�(a) ���� Nature and quantity of solid wastes generated including municipal solid
wastes, biomedical wastes, hazardous wastes and industrial wastes.�.

[No. Z-11011/1/2002-IA-I]
R. Chandramohan, Jt. Secy.

Note:�� The principal notification was published in the Gazette of India vide number S.O.60
(E) dated 27-1-1994 and subsequently amended vide:
1) S.O. 356 (E) dated 4th May, 1994,
2) S.O 318 (E), dated 10th April, 1997,
3) S.O. 73 (E) dated 27th January, 2000,
4) S.O. 1119 (E) dated 13th December, 2000,
5) S.O. 737(E) dated 1st August, 2001,
 57
6) S.O.1148 (E) dated 21st November, 2001,
7) S.O. 632 (E) dated the 13th June, 2002,
8) S.O. 248 (E) dated the 28th February, 2003,
9) S.O. 506 (E) dated the 7th May, 2003,
10) S.O. 891(E) dated the 4th August, 2003,
11) S.O. 1087(E) dated the 22nd September, 2003.
 ANNEXURE P/2 58

THE NOISE POLLUTION (REGULATION

AND CONTROL) RULES, 2000
CONTENTS

MISCELLANEOUS

1. Short title and commencement

2. Definitions

3. Ambient air quality standards in respect of noise for different areas/zones

4. Responsibility as to enforcement of noise pollution control measures

5. Restrictions on the use of loud speakers/public address system

6. Consequences of any violation in silence zone/area

7. Complaints to be made to the authority

8. Power to prohibit etc. continuance of music sound or noise

Schedule

Synopsis

THE NOISE POLLUTION (REGULATION AND

CONTROL) RULES, 2000

S.O. 123 (E), dated 14th February, 2000.1-Whereas the increasing ambient noise levels
in public places from various sources, inter-alia, industrial activity, construction activity,
generator sets, loud speakers, public address terms, music systems, vehicular horns and
other mechanical devices have mysterious effects on human health and the psychological
well-being of the people; it is considered necessary to regulate and control noise producing
and venerating sources with the objective of maintaining the ambient air quality standards
in respect of noise.

1. Published in the Gazette of India, Extraordinary, Pt.II, Sec. 3 (ii) dated 14th
February, 2000.

Now, therefore, in exercise of the powers conferred by Cl. (ii) of sub-section (2) of Sec. 3,
sub-section (1) and Cl. (b) of sub-section (2) of Sec. 6 and Sec. 25 of the Environment
(Protection) Act, 1986 (29 of 1986) read with rule 5 of the Environment (Protection) Rules,
1986, the Central Government hereby makes the following rules for the regulation and
control of noise producing and generating sources, namely: -

1. Short title and commencement. -

(1) These rules may be called the Noise Pollution (Regulation and Control) Rules,
2000.

(2) They shall come into force on the date of their publication in the Official Gazette.

2. Definitions. - In these rules, unless the context otlier7oise requires,-

 59
(a) “Act” means the Environment (Protection) Act, 1986 (29 of 1986);

(b) “Area/zone” means all areas which fall in either of the of four categories given in
the Schedule annexed to these rules;

(c) “Authority” means any authority or officer authorised by the Central Government,
or as the case may be, the State Government in accordance with the laws in force
and includes a District Magistrate, Police Commissioner, or arm other officer
designated for the maintenance of the ambient air quality standards in respect of
noise under any law for the time being in force;

(d) “Person” in relation to any factory or premises means a person or occupier or his
agent, who has control over the affairs of the factory or premises;'

(e) “State Government” in relation to a Union territory means the Administrator thereof
appointed under Art. 239 of the Constitution.

3. Ambient air quality standards in respect of noise for different areas/zones. -

(1) The ambient air quality standards in respect of noise different areas/ zones
shall be such as specified in the Schedule annexed to these rules.

(2) The State Government may categorize the areas into industrial, commercial,
residential or silence areas/zones for the purpose of implementation of noise
standards for different areas.

(3) The State Government shall take measures for abatement of noise including noise
emanating from vehicular movements and ensure that the existing noise levels do
not exceed the ambient air quality standards specified under these rules.

(4) All development authorities, local bodies and other concerned authorities while
planning developmental activity or carrying out functions relating to town and
country planning shall take into consideration all aspects of noise pollution as a
parameter of life to avoid noise menace and to achieve the objective of maintaining
the ambient air quality standards in respect of noise.

(5) An area comprising not less than 100 meters around hospitals, educational institutions
and courts may be declared as silence area/zone for the purpose of these rules.

4. Responsibility as to enforcement of noise pollution control measures.-

(1) The noise levels in any area/zone shall not exceed the ambient air quality standards
in, respect of noise as specified in the Schedule.

(2) The authority shall be responsible for the enforcement of noise pollution control
measures and the due compliance of the ambient air quality standards in respect of
noise.

5. Restrictions on the use of loud speakers/public address system. –

(l) A loudspeaker or a public address system shall not be used except after obtaining
written permission from the authority. -

(2) A loud speaker or a public address system shall not be used at night (between 10.00
p.m. to 6.00 a.m.) except in closed premises for communication within, e.g. auditoria,
conference rooms, conference rooms, community halls and banquet halls.

6. Consequences of any violation in silence zone/area.-Whoever, in any place covered under

the silence zone/area commits any of the following offence, he shall be liable for penalty
under the provisions of the Act :-

(i) Whoever, plays any music or rises any sound amplifiers,

 60

(ii) Whoever, beats a drum or tom-tom or blows a horn either, musical or pressure, or
trumpet or beats or sounds any instrument, or

(iii) Whoever, exhibits any mimetic, musical or other performances of a nature to attract
crowds.

7. Complaints to be made to the authority-

(1) A person may, if the noise level exceeds the ambient noise standards by 11) dB (A)
or more given in the corresponding columns against any area/zone, make a
complaint to the authority.

(2) The authority shall act on the complaint and take action against the violator in
accordance with the provisions of these rules and any other law in force.

8. Power to prohibit etc. continuance of music sound or noise.-

(1) If the authority is satisfied from the report of an officer in charge of a police station
or other information received by him that it is necessary to do so in order to prevent
annoyance, disturbance, discomfort or injury risk of annoyance, disturbance,
discomfort or injury to the public or any person who dwell or occupy property on
the vicinity, he may, by written order issue such directions as he may consider
necessary to any person for preventing, prohibiting, controlling or regulating: -

(a) The incidence or continuance in or upon any premise of-

(i) Any vocal or instrumental music,

(ii) Sounds caused by playing, beating, clashing, blowing or use in any

manner whatsoever of any instrument including loudspeakers,
public address systems, appliance or apparatus or contrivance which
is capable of producing or re-producing sound, or

(b) The carrying on in or upon, any premises of any trade, avocation or

operation or process resulting in or attended with noise.

(2) The authority empowered under sub-rule (1) may, either oil its own motion, or on
the application of any person aggrieved by an order made tinder sub-rule (1), either
rescind, modify or alter any such order:

Provided that before any such application is disposed of, the said authority shall
afford to the applicant an opportunity of appearing before if either in person or by
a person representing him and showing cause against the order and shall, if it
reflects any such application either wholly or in part, record its reasons for such
rejection.

SCHEDULE

(See rule 3 (1) and 4 (1)

Ambient Air Quality standards in respect of Noise

Area Code Category of Area/Zone Limits in dB(A) Leq*

Day Time Night Time
 61
(A) Industrial area 75 70
(B) Commercial area 65 55
(C) Residential area 55 45
(D) Silence Zone 50 40

Note: -1. Day time shall mean from 6.00 a.m. to 10.00 p.m.

2. Night time shall mean from 10.00 p.m. to 6.00 a.m.

3. Silence zone is defined as an area comprising not less than 100 meters around
hospitals, educational institutions and courts. The silence zones are zones, which
are declared as such by the competent authority.

4. Mixed categories of areas may be declared as one of the four-abovementioned

categories by the competent authority.
*dB (A) Leq denotes the time weighted average of the level of sound in decibels
on scale A which is relatable to human hearing.
A “decibel” is a unit in which noise is measured.
“A” in dB (A) Leq, denotes the frequency weighting in the measurement of noise
and corresponds to frequency response characteristics of the human ear.

Leq: It is an energy mean of the noise level over a specified period.

SYNOPSIS
1. General … 1324

2. The noise nuisance … 1324

3. Noise and psychology … 1325

4. Concept of noise pollution … 1325

5. Combating the smog and noise in cities … 1326

6. Measurement of the intensity of sound … 1326

7. Sources of noise pollution … 1328

(i) Noise limits for domestic appliances

(ii) Noise due to loud speakers

(iii) Noise due to bursting of crackers

]
(iv) Noise due to vehicles
 62
(v) Noise due to trains

(vii) Noise due to aircrafts

(vii) Noise due to projection of satellites into space

(viii) Noise from construction and civil engineering works

(ix) Noise from industries

8. Control and abatement … 1333

9. Impact on environment … 1334

10. Effects- … 1334

(i) Effects of noise interference with people’s life

(ii) Effects on other animals and other living things

(iii) Effects on non-living things

11. Statutory provisions of noise pollution … 1338

(i) Constitution of India and Noise Control

(ii) Law of Torts and Noise Control

(iii) Indian Penal Code and Noise Control

(iv) Criminal Procedure Code and Noise Control

(v) Police Act, 1861 and Noise Control

(vi) Railways Act, 1890 and Noise Control

(vii) Aircraft Act, 1934 and Noise Control

(viii) Motor Vehicles Act and Noise

(ix) Factories Act, 1948 and Noise Control

(x) The Air (Prevention and Control of Pollution) Act, 1981 and Noise Control
 63
1. General. -Noise is unwanted sound. Ambient noise is all encompassing noise associated
with any given environment and is usually a composite of sounds from many sources near
and far. Any abnormal sound which irritates human being is called as noise pollution.Noise
is one of the undesirable products of technological civilization. Admits this civilization,
wherever we go, noise surrounds us. The roar of traffic, the passage of trains and
aeroplanes, the bustle of crowds and the working of industry and the public utilities deafens
our ears. Even home is invaded by noise. The noise from whatever source it comes from
is undoubtedly, physiologically as well as psychologically harmful. Invading environment
in dangerous proportions, it is an invisible but insidious form of pollutant Noise as a
potentially harmful pollutant is being recognised as a great nuisance these days affecting
the quality of life, particularly, in urban areas. The Environment (Protection) Act, 1986,
under Sec. 6 has mentioned “Rules to regulate environmental pollution”. This section has
explained the maximum allowable limits of concentrations of various environmental
pollutants (including noise) for different areas.

2. The noise nuisance. -Noise is not only a nuisance; it is a health hazard,

Indians who have the dubious distinction of being amongst the noisiest
people in the world-are deaf to this fact.

Addressing the Indian Science Congress' annual convention in January

1981, its president, Prof. A.K. Sharma, said, “in the absence of any
preventive measures, Indian towns are noisier than those in the West.
Calcutta, Bombay and Delhi are regarded to be among the noisiest cities
in the world, where the average noise level even 10 years back was 90
decibels. (Decibels is a unit of noise on a logarithmic scale.)”

In addition to factories, automobiles, trains and aeroplanes, religious and

social ceremonies are also a noise nuisance. “Perhaps the most important
source of noise of immediate concern in our country, is that associated
with the social and religious ecstasies patterned by us notes a study made
by SOCLEEN. A noise level survey bv SOCLEEN in the most crowded
localities of Bombay during the Ganpati-festival in 1980, found levels
upto 97 decibels. The noise level at airports measures about 90 decibels”.

Loudspeakers are a big way of expressing mutual favour in India. Births,

marriages, deaths, all appear to be apt occasions for their use.
“Loudspeakers wars” between temple and mosques are known to have
sparked communal riots.

Prolonged exposure to noise levels about 90 decibels can cause permanent

deafness-factory workers show neurological, digestive and metabolical
disorders under such conditions. Researchers claim that if present noise
levels continue unchecked, further generations may be born deaf.

In the West, noise pollution is checked by legislation. In India, we do not

have any law regarding noise levels. Says Dr. V.D. Kulsreshtha of the Indian
Law Institute at New Delhi. “A separate legislation in India to control noise
sources is extremely significant and timely”. But no amount to legislation
will help, unless we are convinced that noise is a menace and take steps to
curb it.

3. Noise and psychology. -The most common and best-understood

physiological effect of noise is hearing impairment-either temporary or
permanent. The amount of permanent hearing loss produced by sufficient
exposure to high-level noise depends on the nurture of the noise, the time
distribution of Particular exposures, the total duration of the exposure over a
lifetime, and individual susceptibility. For essentially continuous types of
noise, such as that in many factories, enough research has been done to permit
some statistical prediction of the risk of hearing damage. More research is
needed, however, to predict damage, which results from noise of a
discontinuous nature.
 64
Noise is known to produce various temporary changes in man's physiological
state, in particular a construction of the smaller arteries. This can mean a
speeded up pulse and respiration rate. Some medical authorities believe that
continued exposure to loud noised could cause chronic effects such as
hypertension or ulcers. Startling noises elicit in voluntary muscular responses.
Research is still necessary to permit quantitative prediction and understanding
of the extra-auditory physiological impact of noise.

4. Concept of noise pollution. -The word noise which is derived from the Latin
word ‘nausea’, has been defined in different ways. In law, noise may be
defined as an excessive, offensive, tent or startling sound. In short, the best
definition of noise is 'sound which is undesirable-by the recipient'. This
subjective definition of noise differs from the scientific description of noise.
An objective definition of noise coupled with measure and assessment
techniques is yet to be drawn up by the law.

A legally significant objective definition of noise is a complex and difficult to

discern, for noise is not purely a matter of acoustics but of psychology.
Subjective factors such as mental attitude, environment, time and place, etc.,
are important in the determination of actionable noise, which differ and are
hard to quantify. The law cannot take into account every unwanted noise. On
the oth6r hand, any sound, which becomes excessive, unnecessary or
unreasonable, has to be put under regulation in order to shield public against
unbearable and harmful noise or for its cessation. Scientific methods to that
extent may be useful in determining situations where noise steps out from its
background and becomes actionable.

Noise becomes a pollutant when it contaminates the environment, which

becomes a nuisance and affects the health of persons their activities and
mental abilities. In other words, noise pollution is unwanted sound which is
dumped into the atmosphere without regarding to the adverse effects it may
be having.

Noise though not defined in any statute, but it now included as an

environmental pollutant in Section (a) of the Air (Prevention and Control of
Pollution) Act, 1981 and hence, recognised as a kind of air pollution.

TABLE

Ambient Air Quality Standards in respect of Noise

Area Code Category of Area/Zone Limits in dB(A) Leq*

Day Time Night Time
(A) Industrial Area 75 70
(B) Commercial 65 55
(C) Area Residential 55 45
(D) Area Silence Zone 50 40

Note: -

1. Day Time shall mean from 6.00 a.m. to 10.00 p.m. (16 hours)

2. Night Time shall mean from 10-00 p.m. to 6.00 a.m. (8 hours)

3. Silence zone is defined as an area comprising not less than 100 meters around
hospitals, educational institutions and Courts. The silence zones are zones,
which are declared as such by the competent authority.
4. Mixed categories of areas may be declared as one of the four-abovementioned
categories by the competent authority.
*dB (A) Leq denotes the time weighted average of the level of sound in
decibels on scale A which is relatable to human hearing.
A “decibel” is a unit in which noise is measured.
 65
“A”, in dB (A) Leq, denotes the frequency weighting in the measurement of
noise and corresponds to frequency response characteristics of the human ear.
Leq: It is an energy mean of the noise level over a specified period.

5. Combating the smog and noise in cities.1-The pollution caused by the

explosion in the number of automobiles in cities can be reduced by upgrading
the quality of Indian fuel, enforcing higher emission standards and regulating
traffic, write DILIP BISWAS, Chairman, and S.A. DUTTA, Scientist, of the
Central Pollution Control Board.

In the last two decades the urban population in India has nearly doubled, from
109.5 million in 1971 to 217.0 million 1991 and it is expected to reach 325
million by the turn of the century. With the increasing urbanisation along with
a conglomeration of industries and commercial activities in the urban areas,
the transport demand has also consequently increased. Due to an inadequate
public transport system, the use of personalised vehicles has been steadily
increasing. The total number of vehicles has been steadily increasing. The
total number of vehicles in India has increased from about 11 million in 1986
to more than 21 million in 1991. About one fifth of the vehicular population
in India is concentrated in the major major metropolitan cities.

1. Vide the Hindu Survey of the Environment, 1994, pp .41, 42, 43 and 44.

6. Measurement of the intensity of sound.1-The ISO (International

Organization for Standardization) defines noise intensity level as:

L- = 20 log10 p/p0 = 10 log I/Io

Where p equals the measured sonar pressure level given in N/m2

I equal the measured intensity of sound given in W/m2;

P0 equals the pressure level at the limit of audibility for the normal ear when the
frequency of emission is 1000 cycles per sound.

Io equals the intensity of sound at the limit of audibility for the normal ear when the
frequency of emission is 1000 cycles per second.

The relationship between sound pressure, sound intensity and intensity level is given as
follows :

Sound pressure Intensity Intensity level

N/M2 W/M2 Decibels (dB)
2 x 10-5 10-12 0
2 x 10-4 10-10 20
2 x 10-3 10-8 40
2 x 10-2 10-6 60
2 x 10-1 10-4 80
2 x (2 x 100) 10-2 100
20(2 x 101) 1 (100) 120
200 (2 x 102) l00 (102) 140

1. Vide India's Environment (Health), 1984-85.

 66
TABLE

Weighted sound levels and human response

Sound Source dB(A)* Response Criteria

____
Carrier Deck Jet Operation 150 Painfully Loud

____
Jet Takeoff (200 feet) 140 Limit Amplified Speech
Discotheque, Auto horn (3 ____ 130 may Maximum Vocal Effort
feet)
Riveting Machine 120 Very Annoying
Jet takeoff (2000 feet) Hearing Damage (8 hours)
Shout (0.5) feet 110 Annoying
____
N.Y. Subway Station 100 Telephone use difficult
Intrusive
____
Heavy Truck (50 feet) 90 Quiet
Pneumatic Drill (50 feet) ____ 80 Very Quiet

Freight Train (50 feet) ____ 70 Just Audible

Freeway Traffic (50 feet) ____ 60 Threshold of Hearing
Air Conditioning Unit (20 ____ 50
feet Light Auto Traffic (50
feet)
Living Room ____ 40
Bedroom 30
Library 20
Soft Whisper (15 feet) 10
Broadcasting Studio 0

*Typical A-Weighted sound levels taken with a sound-level metre and

expressed as decibels on the scale. The “A” scale approximates the frequency
response of the human ear. Source : Department of Transportation

7. Sources of noise pollution. -The following are the possible sources of noise
 67

TABLE
(i) Noise limits for domestic appliances

Domestics appliances Limits in dB (A)

Sound pressure
Level at one metre
Distance from the
Operating appliance
(a) Window Air conditioners of 1 Ton to1.5 Ton 68
(b) Air Coolers 60
(c) Refrigerators 46

Apart from above sources, crowding with the increase of population and
urbanisation, community activities such as political and public meetings
religious functions, weddings, festivals, etc., have been contributory factors in
rising environmental noise pollution.

(ii) Noise due to loud speakers.-Extensive and common use of loud speakers
whether for political meetings, marriages, religious functions, musical nights,
advertising, etc., are most disturbing source of noise to the urban dwellers in
particular. Though the use of loud speakers is governed by administrative
restrictions and some laws but their widespread use remains continuing, as the
restrictions and the laws are not seriously imposed. If loud horns are used
near hospital zones, they disturb the patients and also doctors at serious
operations. Loud horn noises in school zones, create disturbance in teaching
work.

Statutory Control on loud speakers. -

(i) The permitted strength of the power amplifier should be adjusted to

cover the audience, and noise level beyond the boundary limit of the
noise source premises should not be increased by more than 5 dB
above the ambient noise level.

(ii) Licence must be obtained by all parties intending to use loud speakers
or public system for any other occasion.

(iii) Public address system and loud speakers should not be used at night
between 9.00 p.m. to 6.00 a.m. except in closed premises.

(iv) Loud speakers should be directed at the audience and not away from
audience (i.e., not towards the neighborhood).

(v) Loud speakers should not be allowed for advertisement and commercial activities.

(iii) Noise due to bursting of crackers. -

(a) Manufacture and sale of crackers having an impulsive noise of more

than 90 dB at 5 meters distance from the site of bursting should be
banned.

(b) Manufacture and bursting, of joined crackers should be banned.

(c) Bursting of crackers during night between 9.00 p.m. to 6.00 a.m.
should be banned.
 68

(d) Bursting of crackers should be permitted only during public festivals.

Source: Annual Report of Central Pollution Control Board (1989-90) at p. 47-48.

(iv) Noise due to vehicles. -The noises from individual vehicles includes

(1) Noise from engine, transmission.

(ii) Exhaust noise.

(iii) Noise due to slamming of car doors.

(iv) Use of horns.

The noises from Engine and transmission depend upon the support used for
moving parts. Good quality has more efficient and elaborate system for
dampening noises. Considerable improvements are being made to improve
the mounting systems even in chapter vehicle. Exhaust noises have been
brought under control to maximum extent by using efficient silencing system,
which also do not affect the power output of the engine. Prosecution, in Great
for excessive noise from exhaust system does occur but seem somewhat
illogical, as it being only the subjective judgment of the policeman.

The noise due to closures of car doors is intense, but intermittent. This noise
disturbs the sleep. This problem can only be solved at the design stage. This
is only possible by enforcing legislation on motor manufactures to produce
noiseless door shutting devices. The motor cars are fitted with horns, to attract
the attention of other movers. These horns when not used in proper way
produce appreciable nuisance.

The table shows the relative noise of vehicle type. The tests are carried by the
Motor Industry Research Association, using Test procedure as prescribed in
BS 3425 (1965).

Luxury Limousine 77 dB

Small passenger car 79 dB

Miniature passenger car 84 dB

Sports car 91 dB

Motor-cycle (2 cylinder 4 stroke) 94 dB

Motor scooter (1-cylinder-2-stroke) 80 dB

The difference between the noise level of a standard small passenger car and
a sports car is no less than 12 dB, which means the sports car is roughly 15
times more noisy than the saloon car. Motor cycles, with their exposed
engines and inadequate silencing arrangements, are notorious noise producers,
with a sound level roughly 30 times higher than that of a saloon car. Motor
scooters, on the other hand, only produce the same noise as a motor car.

It is debatable whether there is any longer room on modern roads for fast
motor-cycles and sports cars, which not only contribute excessive noise to the
environment, but also figure prominently in road accidents. it can be argued
with objective justification that these vehicles should be used only on enclosed
race tracks, and not on the congested public highway.
 69
TABLE

Noise Limits for Automobiles at Manufacturing Stage

(Achieved by the Year 1992)

Categories of automobiles Limits in dB (A)

(a) Motorcycle, scooters and three-wheelers 80
(b) Passenger cars 82

(c) Passenger or commercial vehicles of up to 4 MT

85
(d) Passenger or commercial vehicles of above 4 MT 89
and up to 12 MT
(e) Passenger or commercial vehicles exceeding 12 MT 91

It is worthwhile to emphasise here that the Air Act is not an adequate

legislation to prevent and control the noise pollution. The Act suffers from
inherent shortcomings and the standards for control of noise pollution
thereunder remain unimplemented in the paucity of effective control
mechanism.

(v) Noise due to trains. -Noise from steam engines fast trains and railway
operations has been a cause of great concern as the impact of the noise
produced has been reported to be maximum in those areas where railway
tracks pass through residential areas. The community response is
denunciatory of the annoying noise and disturbing vibration emitted by the
fast moving trains.

Railway noise is less annoying than aircraft traffic noise of equivalent noise
level at least an L.A. eq. 24 hr of 50 to 65 dB. Further, it is an annoyance to
a given observer as an incident event and when the train has passed the point,
the ambient sound level is restored. These facts by themselves, do not mean
that the noise control be ignored. On the other hand, in view of the increasing
speeds and frequencies of the railway services, the community/ public needs
protective attention from the point of noise control.

(vi) Noise due to aircrafts. -This source of noise pollution has been increasing
steadily during recent years and, especially close to international airports,
already constitutes a very serious problem. This problem has mainly arisen
because of the widespread use of heavy long-range jet aircraft. Noise made
by jet planes is intrinsically more disturbing than that of propeller driven
aircraft because it is of far higher pitch. jet noise is caused by the violent
mixing of the jet of gases from the engine with the surrounding air, it is at a
maximum during take-off when the engine must deliver maximum thrust, and
falls away rapidly as the aircraft climbs. During landing, the main source of
high-frequency noise is the whine of the air compressor and turbine blades at
the engine is throttled back. Aircraft pass close to the ground for quite a
distance during the landing operation and this noise often constitutes a more
sustained environmental nuisance than the intense noise of shorter duration
produced during take-off.

Military aircraft often cause annoyance in areas away from airfields because
they have to be flown at low altitudes as part of normal training procedures.
Little can be done about this national defence-even in peacetime-will always
take priority.
 70
The fast growth of air traffic, the invention of supersonic aircrafts and devices
employed to scare birds have contributed to the creation of aircraft noise.
Aircraft generate, generally unbearable roar during take offs and landings.
Aircraft noise is obstructive, persistent and unpleasant besides being a serious
health hazard for the communities living in neighborhood of airports.

Aircraft precautions. -

(a) Aerodrome should be- located away from the city and growth of the
city should not be allowed to extend up to the aerodrome.

(b) Aeroplanes should take off in direction radically away from the city.

(c) During boarding and unboarding operations, the plane should be

sufficiently away from the airport buildings.

(d) Night-time operations of the aircraft should be minimised.

(e) During maintenance and repairs of the aeroplane workers should use
ear puffs.

Portable silencers should be used in the plane intake as well as exhaust during
idling period at the air craft.

(vii) Noise due to projection of satellites into space. -The launching of satellites,
a regular space activity these days, has now come to be recognised as a new
source of air and noise pollution. Lifting of satellite with the aid of high
explosive rockets produce deafening noise.

(viii) Noise from construction and civil engineering works.-Noise from

construction sites is generally far worse than noise originating from factories.
There are two main reasons for this. One is that wherever construction takes
place like erection of roads, bridges and buildings noise emissions levels are
higher. The other is that civil engineering equipment is inherently noisy. The
worst of these pieces of equipment, from the noise generation point of view,
are the following: -

Equipment Noise levels t15m.

Tractor-scraper 93 dB

Rock drill 87 dB

Unmuffled concrete breaker 85 dB

Hand-held tree saw 82 dB

Large rotary diesel compressor 80 dB

11/2 tonne dumper truck Diesel 75 dB

concrete mixer 75 dB

In the era of fast urbanization of buildings and roads, the demolition and the
repair activities along with the huge machines used for the purposes create a
great deal of noise to the annoyance of the people living near the sites of
construction. Hence such works are also a potential source of noise pollution.
 71
Precautions in Construction Activities. -

(a) Acoustic barriers should be placed near construction sites.

(b) The maximum noise levels near the construction site should be limited
to 75 dB (A) Leg (5 min) in industrial areas and to 65 dB (A) Leg (5
min) in other areas.

(c) There should be fencing around the construction site to prevent people
coming near the site.

(d) Materials need to be stockpiled and unused equipment to be placed

between noisy operating equipments and other areas.

(c) Constructing temporary earth and around the site using soil etc., which
normally is hauled away from the construction site.

(ix) Noise from industries.-Noises in industry originate from processes causing

impact, vibration or reciprocation movements, friction, and turbulence in air
or gas streams.

Impact and vibration noises are considerably reduced if machines are mounted
on flexible supports. In addition, vibration noises can be reduced by the mass,
careful design of shape and arrangement of parts of machines so that
resonance is avoided. Nevertheless, certain machines will remain inherently
noisy, and demand to the surrounded with absorbent or insulting screens.
Noise caused by gas stream can be attenuated or even eliminated by the use
of suitable ducts and by correct design and positioning of inlets and outlets.

At the present moment industry is not making particular efforts to cut down
pollution by noise, mainly because the laws which apply are not particularly
stringent. This is yet another field in which there is scope and need for
considerable improvement.

The textile mills are some of the noisiest workplaces in the country. The TLV
is 85 decibels (dB), but mills invariably exceed this limit, as shown by an
overview by the ITRC of health problems in the textile industry from 1925 to
1981. For instance, shuttle looms create such a din that workers usually
communicate with each other by lip movements. The machinery in woolen
and jute mills is even noisier than in cotton and silk. The noise level in a large
weaving section ranges from 100 dB to 105 dB, and can cause permanent loss
of hearing. In the US, no textile mill is allowed to exceed 100 dB for more
than two hours a day-but Indian mills run three 8 hours shifts.

The situation elsewhere is similar. In the machine tool an automobile

industries the maximum noise is Caused by hammering in fertiliser factories,
compressors make the biggest racket. No wonder that many Indian workers
find themselves shouting even at home, out of the sheer habit says the ITRC :
“The harmful effects of noise include increased annoyance, mental tension,
irritability, and emotional disturbances at work and at home. Greater
circulatory, heart and equilibrium problems were found in textile workers
exposed to very noisy environments. The most pervasive and dangerous harm
from noise hazard is the permanent, incurable deafness is a result of continued
exposure to noise levels above 85 dB to 90 dB”.

However, Dr. G. G. Davay, medical inspector of factories in Maharashtra,

rules out the noise hazard in textile mills. “I have not yet come across any
textile millhand with loss of hearing due to overexposure to noise” he said a
few years ago. “I do not mean that noise does not affect hearing. But in the
absence of any direct proof, it is against the ethics of science to exaggerate the
hazard. it will amount to creating a scare”. But in the very same breath, he
 72
admitted that his department was not equipped to measure and study the
problem “as the scientific world has been seized of it only recently”.

In 1976, the Government includes “noise-induced hearing loss” as a fortifiable

disease. Any medical practitioner who detects such impairment has to report
the case to the chief inspector of factories; failure to do so can be punished.
An official committee has suggested that such disability should be brought
under the scope of the WCA as well.

Noise can often be checked by using attenuators between different sections in

a factory and protecting the relatively quiet areas from the menace. The CLI
has experimented with some attenuators and found that these do not only
reduce dB levels but are also more economical because they raise workers'
productivity sharply. Dr. Davay believes that “it is difficult to control noise
in certain departments with the present technical knowledge”. But even
simple precautions like issuing employees in noisy sections with earplugs or
muffs are never taken.

Yet another occupational health is psychological, which medical experts

would term, “behavioral toxicology”. Very often, such symptoms are early
warnings of impending physiological trouble ahead. Furthermore, different
dusts and chemicals affect workers behaviour in a wide variety of ways.

The earliest study was on manganese workers in 1958. Some of the common
psychological symptoms were impotence, lack of concentration, irritability,
insomatic somnolence, unmotivated, laughter, bad memory and depression.
The lead storage battery units were exposed to levels higher than permissible
and complaint number of mental symptoms. It was found that 375 workers
suffered from impairment of visual intelligence their ability to react pictures.

Noise is an inescapable by-product of industrial environment, which is

increasing very fast with the advancement in industrialisation. The workers
are most readily sufferers to the noise hazards of industrial functioning.
Industries located in the residential areas, particularly such as printing press
agro-based industries, automobiles repairing, grinding' mills, general
engineering, etc., are the sources of community noise affecting the public
continuously, living in the vicinity.

TABLE

Permissible Noise Exposure for Industrial Workers

Exposure Time (in Friday) Limit in dB (a)

8 90
4 93

2 96

1 99

1/2 102

1/8 108

1/16 111
1/32 (2 minutes) or less 114
 73
Exposure to continuous or intermittent noise louder than 115 dB (A) should
not be permitted. Exposure to pulse or impact noise should not exceed 140
dB (peak acoustic pressure).

8. Control and abatement.- Dampening the source noise level or making its
noise characteristics less annoying are typical first approaches to noise
control. Replacing the noise source with a quieter machine is second, but
often-costlier approach. Adjusting operating hours to restrict the length or
time of day that noise is made is a third approach. Often the simplest solution
is to put distance between the noise source and the people-such as truck routes
away from residential areas and noisy industry and airports away from homes.
This often involves special zoning. Attacking the problem where the noise is
heard often effective. Acoustic insulation (and air conditioning) in residences
and offices near airports and highways is one way. Ear protectors for
individuals in the industrial work environment is another.

Control Measures

1. Ear-Plugs, Ear-muffs

2. Use of sound barriers

3. Modified machineries

4. Green Cover

9. Impact on environment. -Although air quality measurements are being

carried out in several cities, not much of data is available about vehicle
generated pollutants. The measurements provide data on the ambient air
quality but the contribution of individual sources is difficult to assess. Here,
air quality models can play an important role. The air pollutant concentration
in the atmosphere is not only a simple function of the emission, but it depends
on the height of the emissions, meteorology, topography and several other
factors. The impact of vehicular pollutants is comparatively more due to the
fact that these are ground level emissions. Particularly in metropolitan cities,
high rise buildings close to the roads affect dispersal of pollutants. Air quality
modelling studies being carried out by the Central Pollution Control Board in
Delhi indicate that vehicular activities contribute about 70 per cent of the total
NOx emissions while its impact in the region is about 98 per cent of the total
impact. Air quality measurements are, therefore, required to be supplemented
by air quality modelling techniques to compute the contribution of sources
with regard to the impact, which would help in planning the control strategies.

Over the years, different organisations have made estimates of vehicular

pollution loads in urban areas. The total population load in major cities
estimated by CPCB during the year 1991 shows that Delhi tops the list in
pollution load, followed by Bombay. Among the pollutants, carbon monoxide
emission was found to the maximum. Two-stroke vehicles (Two/three
wheelers) were found to be major contributors of CO emissions. These
vehicles, despite a low displacement volume and fuel combustion, dominate
simply due to their large proportion in total vehicle fleet and the high average
number of kilometers driven. Hydrocarbon and oxides of nitrogen together
constitute a substantial portion of total vehicular emissions.

10. Effects. -The effects of noise pollution are multifaceted and interrelated.
Noise pollution has ill effects not only on the human beings but also on other
living and non-living things, which will be discussed broadly as follows.-

(i) Effects of noise interference with peoples life.

It may be classified under the following topics :-

 74
(a) Repeated interference with sleep of Human beings.

(b) Effect on hearing or Deafness

(c) Effect on communication or speech interference.

(d) Mental or Physiological Effects

(e) Effects on physical health and working efficiency or

psychological.

(ii) Effects on other animals and other living things.

(iii) Effects on Non-Living things.

(i) How noise interferes with people's lives. -The generation of unreasonable
noise within the environment is considered a form of pollution because it
lowers the quality of life. There are several specific ways in which excessive
noise can affect people adversely.

(a) Repeated interference with sleep.-In a social survey carried out

amongst people living in the vicinity of London Airport, some 22 per
cent said that they sometimes found difficulty in getting to sleep
because of airport noises. In areas where the noise level was
particularly high, up to 50 per cent complained about the noise. An
even higher percentage said they were awakened by high intensity
noises, usually early at night when sleep was not yet deep. After
people have been asleep for some hours, they do not readily wake up,
even when subjected to very loud noises. Different people have
different depths of sleep and they can adjust to nocturnal sounds.
Undoubtedly, however, noisy conditions near residential areas at night
must be avoided lack of continuous sleep has as counteract it. Many
techniques for sound insulation are available today and can be applied
at relatively modest expense.

(b) Effect on hearing or Deafness. -These effects only become of real

importance if the sounds are exceptionally loud. Continuous exposure
to noise levels much above 100 dB has an adverse effect on hearing
ability within a fairly short time. Many workers who are exposed to
the noise of jet aircraft or very noisy workshops for even moderate
periods soon develop detectable hearing defects. Today it has become
the practice for workers in these situations to the equipped with ear
protectors and provided these are worn all the time-hearing ability is
not affected.

(c) Effect on communication or speech Interference. -External sounds

can interfere with conversation and use of the telephone, and well as
the enjoyment of radio and television programmes and like pastimes.
It can thus affect the efficiency of offices, schools and other places
where communication is of vital importance. The maximum accepted
level of noise under such conditions in 55 dB. 70 dB is considered very
noisy and serious interference with verbal communications is
inevitable.

(d) Mental or Physiological Effects.-Many people complain that noise

makes them mentally ill. Experiments have been performed to attempt
to confirm or disprove these claims. According to the H.M. Stationery
Office report Noise; noise certainly does not contribute in the least to
mental illness. Doctors and scientist have now medically confirmed
that noise disturbs the biological organisms and their respective
functions of the humans. Fire crackers and other excessive and
continuous explosives become physically painful giving rise to
 75
neurosis, mental illness, cardiovascular diseases, stomach ulcers and
respiratory disorders reducing human life. Recent researches have
concluded that short exposures to noise (in excess of about 100 dB)
leads to adverse effects on foetus, headache and, dizziness, dilatoriness
in intestines, stomach problems and effects on eye sights to the extent
that these at times become incurable.

(e) Effects on Physical health and working efficiency or Psychological

problems. -Noise has little physical effect on the biological
performance provided that the noise level is below about 90 dB.
Damage to the inner ear may result if continuous noise levels exceed
about 100 dB as has been observed by the Doctors leading to physical
illness. Psychiatrists and psychologists have in recent researches have
made observations that noise has certain relation with physical health
causing tension resulting in problems such as speech interference,
annoyance, fatigue, sleep interference and emotional distress. Noise
levels in industries causes interference in efficiency and
communication and raises possibilities of accidents. World Health
Organisation has estimated remarkable loss in the industries annually.

Loss of concentration and weakening of memory are the indirect

consequence in the metropolitan cities of India causing adverse effect
on students and growing child. To conclude, every individual is
suffering directly or indirectly due to rising noise levels which will
surely be fatal to the coming generation and if precautions are not
taken from today we will surely ruin the total personality of physical
beings of the universe.

The biggest contributor to the noise pollution as a source which had

been identified as small scale power generating sets used for domestic
and commercial purposes causing tremendous effect on working
efficiency to the users as well as non-users causing serious
psychological problems.1

1. “Noise Pollution a Serious Risk”, Indian Express, Chandigarh,

16th June 1987 at p. 5

Experience has shown that the following environmental noise levels

will be found satisfactory for most people

Close to Hospitals, old people's homes etc.

35 dB at night 45 dB during day Peak noise 55 dB

Residential zones
45 dB at night 55 dB during day Peak noise 70 dB
Commercial areas 60 dB average Peak noise 75 dB
Industrial areas 65 dB average Peak noise 80 dB

Maximum acceptable sound levels inside buildings are lower than this:

Film, broadcasting and TV studios Concert 30 dB

balls and theatres 35 dB
Hospitals, hostels, etc. 40 dB
Offices, libraries etc. 45 dB
Shops, bands etc. 50 dB
Restaurants, precision workshops, etc
 76
The following table shows the sound levels in Decibels and their zone
equivalents for different environment

Environment Decibels at 1000 c/s Zones

Quiet garden 30 0.5
Room in dwelling at midnight 32 0.5
Soft whisper at I metre 35 0.8
Residential area without traffic 40 1.0
Room in dwelling day 45 1.6
Country side within 3 meters of
quiet brook or stream 50 2.0
Inside small shop 55 3.3
Inside super market 60 4.0
Inside typing pool office with about
10 typewriters in use 65 6.5
Inside small car at cruising speed 70 8
2 meters from telephone bell 75 13
Inside a tube train 75 13
Ringing alarm clock at 0, 6 metre 80 16
Inside concert ball during
Performance 80 16
Inside newspaper printing press 85 26
room
Inside jet aircraft 85 26
8 metres from pneumatic demolition
hammer 85 26
8 meters from heavy diesel
propelled vehicle 90 32
8 metres from car horn 90 32
1 km. from Boeing 707 taking off 95 52
Inside propeller-driven passenger 100 64
aircraft during takeoff
Inside foundry 100 64
5 metres from car horn 100 64
Inside weaving shop 105 104
Inside boilermaker’s shop 110 128
Inside small aircraft (club plane) 110 128
1 metre from pneumatic hammer 120 256
10 metres from aircraft jet engine 130 512
3 metres from aircraft jet engine 140 1024

These figures are naturally, only approximate, because individual conditions vary
considerably. By application of the inverse square law, doubling the distance between the
observer and the noise source reduces the intensity of the noise to a quarter, and the number
of decibels is reduced by six.
 77
TABLE

Noise Effects on Human Beings

Noise hazards Noise Nuisance

Efficiency mental Comfort Enjoyment

Permanent hearing stress Frustration Sleep Interference Concentration
loss Task interference Communication Interference
Irritability Invasion of Meditation
Privacy Interference
Neural-humoral stress Damage of artefacts Recreational
response Habit of talking Temporary
loudly hearing loss
Destruction of
artefacts

TABLE

Effects of High Intensity Noise on Human Beings*

Noise dB Effects Observed

0 Threshold of audibility
150 Significant change in pulse rate
110 Stimulation of reception in skin
120 Pain threshold
130-135 Nausea, vomiting dizziness,
interference with touch and muscle
sense
140 Pain in ear, prolonged exposure cause
insanity
160 Minor permanent damage if prolonged
190 Major permanent damage in short time

*Source: Chhatwal et al. Encyclopedia of Environmental

Pollution and its Control, Vol.III, (1989), at pp. 48-49.

(ii) Effects on other animals and other living things. -The effect caused
by industries, railways, crackers, explosions and commotion in the
cities, aircrafts etc., can be felt on animals, birds, mice, fishes and
domestic animals for they are susceptible to various effects of due to
exposer noise levels change their places. Birds avoid migrating to
places where noise level is above 100 dB. The noise emissions caused
by supersonic aircraft, railway noise emissions etc., may cause
miscarriage in mammals and fishes as well as birds are observed to
have stopped laying eggs. Thus to sum up animals and other living
things become upset more than human beings and in the direct cause
of ecological in balance.

(iii) Effect on non-living things. -Intense noise levels affects non-living

things too. The noise booms cause cracks in national and
archeological monuments as well as very high levels of noise are the
cause of cracks in hills. High intensity explosions can break glass
panes and vibrations in the buildings. Research work at India and
abroad is being done so as to access its gravity on non-living things so
that precautions could be taken forehand to reduce impact thereof.

11. Statutory provisions of noise pollution. -

(i) Constitution of India and Noise Control. - Rapid industrial

development, urbanisation and regular flow of persons from rural to
 78
urban areas has made major contribution towards environmental
degradation but at the same time the Authorities entrusted with the
work of pollution control-Pollution Control Board cannot be permitted
to sit back with folded hands on the pretext that they have no financial
or other means to control pollution and supported the environment.

Apart from that Art. 21 of the Constitution of India, which guarantees

right to life, Arts. 48A and 51A (g) of the Constitution are as under: -

Article 51 A (g)-”to protect and improve the natural environment

including forest, lakes, rivers and wildlife and to have compassion for
living creatures”.

Article 48A-”Protection and improvement of environment and

safeguarding of forests and wildlife. The State shall endeavour to
protect and improve the environment and to safeguard the forests and
wildlife of the country”.

(ii) Law of Torts and Noise Control. -Noise in India is actionable under
the law of torts. As regards the statutory control of noise, it is
surprising that there exists no law, under the Indian legal system
exclusively dealing with the problem of noise or its control, whereas
many countries of the world have already enacted specific laws to
control the noise menace. We have stray provisions here for the
control of noise despite the fact that public health is greatly threatened
here due to increasing noise pollution.

(iii) Indian Penal Code and Noise Control.

(a) Provisions under Sec. 268 of the Indian Penal Code, 1860,
noise is actionable as “public nuisance”. The section reads :
“A person is guilty of Public nuisances who does any act or is
guilty of an illegal omission which causes any common injury,
danger or annoyance to the public or to the people in general
who dwell or occupy property in the vicinity, or which must
necessarily cause injury, obstruction, danger or annoyance to
persons who may have occasion to use any public right”.
People who by any offensive means corrupt the air or by any
means cause loud and continued noise- and thereby cause
injury or annoyance to those dwelling in the neighborhood in
respect of their health or comfort and convenience or living are
liable to prosecution for causing public nuisance.

(b) Noise nuisance can also be punishable under the provisions of

Sec. 290 of the code, which prescribes a punishment, which
may extend to two hundred rupees, for those cases of nuisance
not specifically covered under the Code. Neither the right to
make noise can be acquired by prescription nor it can be
accepted as a defence to a charge of nuisance.

In spite of the serious consequences of noise, nuisance by noise

has not been accorded its proper place under the Indian Penal
Code. It is till date relegated to the residuary provision in Sec.
290 which prescribes just nominal punishment. The provisions
of the Code, in view of the recent scientific and industrial
developments, is inadequate to cope with increasing menace of
noise pollution.

The provisions of the Code also do not lead us to uniform and

certain rules for application to the criminal cases of noise
nuisance. There have been very rare prosecutions for nuisance
 79
by noise as the offence of public nuisance under Sec. 290 is
non-cognizable.

Nuisance action under the penal code is a poor remedy as it is

nominally punitive rather than preventive or compensatory.

(iv) Criminal Procedure Code and Noise Control. -Provisions under the
Sec. 133 of the Criminal Procedure Code, 1973 the Magistrate has the
power to make conditional order requiring the person causing nuisance
including that of noise to remove such nuisance.

(v) Police Act, 1861 and Noise Control. - The Police Act, 1861 also deals
with noise pollution and punishment thereof.

(i) Provisions under Sec. 30 of the Act, District Superintendent or

Assistant District Superintendent of Police are authorised to
direct the conduct of all assemblies and processions on public
roads or in the public streets or thoroughfares. They can
prescribe the routes by which and the times at which such
processions may pass. These police officers may also require
by general or special notice for the procurement of a licence in
cases where in the judgment of Magistrate of the district, the
convening of the assembly or of a procession likely to be
formed or pass through such road, street or thoroughfare, if
uncontrolled, is likely to cause a breach of peace. Under the
same section, the above-mentioned police offices are also
empowered to regulate the extent to which music may be used
in the streets on festivals and ceremonies.

(ii) Provisions under Sec. 30-A, the above said police officers and
Inspectors of Police or any Police Officer in charge of a station
are authorised to exercise the power of stopping, dispersing or
declaring the assemblies or processions as unlawful which
violate the conditions of licence.

(iii) Provisions Sec. 32 of the Act, (on conviction before a

Magistrate), provides for a penalty of a fine not exceeding two
hundred rupees, for violation of the conditions of any licence
for the use of music or for the conduct of assemblies and
processions, issued by the district Superintendent or Assistant
District Superintendent of Police.

(vi) Railways Act, 1890 and Noise Control.-It is surprising to note that
railway engines and carriages are a big source of noise in India but
railway locomotives enjoys a statutory protection under the Indian
than Railways Act, 1890 against any action for the noise created
thereby. There is no provision in the Act, which provides for the
regulation of noise by railway locomotives. Sec. 16 of the Act gives
statutory authority for the use of locomotives to railway
administration.

[The section reads: “16-Right to rise locomotives

(i) A railway administration may with the previous sanction of the

(Central Government) use upon a railway locomotive engines or other
motive powers and rolling stock to be drawn or propelled thereby”.]

The Railway Act, 1890 has been repealed by the Railways Act of 1989
but the new Act also does not contain any specific provision dealing
with the control of noise pollution resulting from railway locomotives.
Noise from railway locomotives cannot be subjected to strict statutory
 80
control, for railways constitute the largest means of public
transportation in India.

(vii) Aircraft Act, 1934 and Noise Control. -The impact of civil aviation
on the environment is evident in the rising public concern regarding
noise, which is most irritating and the most responsible element for the
rising opposition to further growth of aviation. The concern over the
increasing noise levels from aircrafts has been appreciated by the
world aviation community.

Accordingly, in 1968 at the sixteenth Assembly session of the

International Civil Aviation Organisation (ICAO) at Buenos Aires, a
resolution was adopted whereby ICAO was asked to study on urgent
basis the problem of noise pollution from aircrafts. The ICAOI-
pursuant to this resolution carried out a detailed study of the noise
problem and developed laws in the form of International Standards and
Recommended Practices for aircraft noise. These were finally adopted
by ICAO in the form of Annex. 16 to the Convention on International
Civil Aviation. According to these standards all aircrafts are required
to be noise certified by the authorities of the state of registry of the
aircraft on the basis of satisfactory evidence that the aircrafts complies
with requirements which are least equal to the applicable standards
specified in Annex. 16.

India is a member state of ICAO and has accordingly accepted the

noise specifications of Annex. 16 for implementation in India. Hence
as per an Aeronautical Information circular issued, a legal directive,
which lays down that aircrafts which are not noise certified in
accordance with Annex. 16 standards will not be permitted to operate
in India after 31st December' 1987.

Under the Indian Aircraft Act, 1934 causing willful damage or injury
is actionable. Although there is no specific provision relating to
control of noise pollution from aircrafts but under the rule making
powers confirmed by Sec. 8 (A) of Aircraft Act, 1934 and its
supersession of the Indian Aircrafts (Public Health) rules, 1946
Government can make rules to control noise pollution for safeguarding
health. Noise restriction regulations and safety regulations are
incorporated in the Aircrafts Rules. To enforce rules Airfield
Environment Committees headed by Secretaries, of the State
Governments with broad-based membership from Civil Aviation
Department, Municipal Corporations, Health Department, etc., are
established at all airports. These committees also consider ways and
means to maintain environmental cleanliness, disposal of wastes and
removal of unauthorized slums or eating places etc., around the airport.

It may be mentioned here that theoretically there are noise restrictions

at the Indian airports, but there are not known cases where airline has
been penalised for infringement of the laid down noise regulations. No
serious effort has been made to impose night curfews to cut down
noise pollution.

(viii) Motor Vehicles Act and Noise Control. -The Motor Vehicles Act,
1939 under Secs. 20, 21j, 41, 68, 681, 70, 91 and 111A empowered
the State Government to frame rules regulating equipment and
maintenance of motor vehicles and trailers. Without prejudice to the
generality of the foregoing powers, rules, under Sec. 70 may be made,
governing any of the following matters either generally in respect of
motor vehicles or trailers or m respect of motor vehicles or trailers of
a particular class or in particular circumstances, namely:

(i) The reduction of noise emitted or caused by vehicles;

 81

(ii) Prohibiting the carrying of appliances likely to cause

annoyance or danger;

(iii) The periodical testing and inspection of vehicles by prescribed

authorities; and

(iv) The use of trailer with motor vehicles.

It is noteworthy that Motor Vehicles Rules made by various states do

not contain any effective control measures to control the noise
pollution. To a certain extent, use of 'horns' and silencers is regulated
by the rules. The Rules certainly are directed at curbing the noise but
despite their presence the menace and the open violation of the Rules
still persists due to inadvertence shown by the state in their effective
implementation.

The Motor Vehicles Act, 1939 has been repealed by the newly enacted
Act of 1988.

(i) Section 110 of this Act empowers the Central Government to

make rules regarding equipment and inbuilt safety measures to
be provided in motor vehicles at the manufacturing point such
as safety belt, standards of component, controlling air and
noise pollution etc., so as to bring uniformity of standards. The
proviso to the section provides that any rules relating to the
matters dealing with the protection of environment. so far as
may be, shall be made after consultation with the Ministry of
the Government dealing with environment.

(ii) In pursuance of the powers so conferred, Central Motor

Vehicle Rules, 1989 have been framed by the Central
Government but the rule-making powers have not been fully
utilised for regulating effectively noise pollution. The new Act
provides among others for penalty for violation of noise
pollution standards.

(iii) Provision of Sec. 190 (2) provides that any person who drives
or causes or allows to be driven, in any public place a motor
vehicle, which violates the standards prescribed in relation to
road safety, control of noise and air pollution, shall be
punishable for the first offence with a fine of one thousand
rupees and for any second or subsequent offence with a fine of
two thousand rupees”.

The Motor Vehicles Act should provide for a provision

specifying the limit of noise in terms of decibels.

(ix) Factories Act, 1948 and Noise Control. -The Factories Act, 1948
does not contain a specific provision of noise control while it has been
found in a number of cases that high intensities, high frequencies and
intermittency of noise are the factor of annoyance for the workers.
Such situations not only cause physical and psychological damages
but also impairs workers efficiency resulting into their giving low
production and causing dissatisfaction practically to all. Only Sec. 11
of the Factories Act, 1938 provides protection from noise by making
it obligatory on the part of an occupier for keeping every factory clean
and free from any drain, privy or other nuisance. The use of word
'nuisance' in Section 11 may include noise. It is pertinent to note that
under Sec. 35 of the Act, protection to eyes of employees is given but
protection to ears is nowhere given in the Act. The omission to
specifically provide for protection of workers against the noise
 82
pollution is uncalled for whereas under the schedule under Sees. 89
and 90 of the Act, noise induced hearing loss is mentioned as a
notifiable disease.

Industrial laws such as Factories Act need to incorporate safety

provisions against noise pollution to safeguard the workers such as
provision for ear plugs and insulation in addition to provisions for the
reduction of noise at source such as reduction of noise by proper
machine design, proper maintenance, lubrication, mounting
equipment on rubber enclosing the noise, use of baffles, use of sound
proofing material like walls, ceilings and floors, etc.

(x) The Air (Prevention and Control of Pollution) Act, 1981 and Noise
Control. -Prior to the 1987 amendments to the Air Act, 1981, the Act
did not include in its gamut the regulation of noise pollution. But after
the 1987 Amendments noise has been recognised as an air pollutant.
The amended Sec. 2 (a) now defines 'air pollutant' to “mean any solid
liquid or gaseous substance including noise present in the atmosphere
in such concentration as may be or tend to be injurious to human
beings or other living creatures or plants or property or environment”.
Hence the 1987 Amendment to the Air Act now specifically extends
the provision of Air Act, including increased penalties citizen's suits
and the issuance of injunctions by Magistrates, to control noise
pollution.

The Central and the State Boards now exercise the powers and
functions under Secs. 16 and 17 of the Air Act, respectively with
regard to the prevention and control of noise pollution including the
laying down of noise standards. In pursuance of the powers conferred
under Sec. 16, the Central Pollution Control Board has laid down noise
standards during the reporting years.
 ANNEXURE P/3 83
MINISTRY OF ENVIRONMENT AND FORESTS

ENVIRONMENT IMPACT ASSESSMENT NOTIFICATION S.O.60(E), dated 27/01/1994

�(incorporating amendments vide S.O. 356(E) dated 4/5/1994, S.O. 318(E) dated 10/4/1997, S.O. 319 dated 10/4/1997, S.O. 73(E) dated
27/1/2000, S.O. 1119(E) dated 13/12/2000, S.O. 737(E) dated 1/8/2001, S.O. 1148(E) dated 21/11/2001, S.O. 632(E) dated 13/06/2002 )

1) S.O. 60 (E)- Whereas a notification under clause (a) of sub-rule (3) of rule 5 of the Environment (Protection) Rules, 1986 inviting objections
from the public within sixty days from the date of publication of the said notification, against the intention of the Central Government to
impose restrictions and prohibitions on the expansion and modernization of any activity or new projects being undertaken in any part of India
unless environmental clearance has been accorded by the Central Government or the State Government in accordance with the procedure
specified in that notification was published as SO No. 80(E) dated 28th January, 1993;

And whereas all objections received have been duly considered;

Now, therefore, in exercise of the powers conferred by sub-section (1) and clause (v) of sub-section (2) of section 3 of the Environment
(Protection) Act, 1986 (29 of 1986) read with clause (d) of sub-rule (3) of rule 5 of the Environment (Protection) Rules, 1986, the Central
Government hereby directs that on and from the date of publication of this notification in the Official Gazette, expansion or modernization
of any activity (if pollution load is to exceed the existing one, or new project listed in Schedule I to this notification, shall not be undertaken
in any part of India unless it has been accorded environmental clearance by the Central Government in accordance with the procedure
hereinafter specified in this notification;

2) Requirements and procedure for seeking environmental clearance of projects:

I.(a) Any person who desires to undertake any new project in any part of India or the expansion or modernization of any existing industry or
project listed in the Schedule-I shall submit an application to the Secretary, Ministry of Environment and Forests, New Delhi.

The application shall be made in the proforma specified in Schedule-II of this notification and shall be accompanied by a project report which
shall, inter alia, include an Environmental Impact Assessment Report, Environment Management Plan and details of public hearing as
specified in Schedule-IV prepared in accordance with the guidelines issued by the Central Government in the Ministry of Environment and
Forests from time to time. However, Public Hearing is not required in respect of (i) small scale industrial undertakings located in (a)
notified/designated industrial areas/industrial estates or (b) areas earmarked for industries under the jurisdiction of industrial development
authorities; (ii) widening and strengthening of highways; (iii) mining projects (major minerals) with lease area up to twenty five hectares, (iv)
units located in Export Processing Zones, Special Economic Zones and (v) modernisation of existing irrigation projects.

Provided that for pipeline projects, Environmental Impact Assessment report will not be required:

Provided further, that for pipeline and highway projects, public hearing shall be conducted in each district through which the pipeline or
highway passes through.

(b) Cases rejected due to submission of insufficient or inadequate data and Plan may be reviewed as and when submitted with complete
data and Plan. Submission of incomplete data or plans for the second time would itself be a sufficient reason for the Impact assessment
Agency to reject the case summarily.

II. In case of the following site specific projects:

a. mining;
b. pit-head thermal power stations;
c. hydro-power, major irrigation projects and/or their combination including flood control;
d. ports and harbours (excluding minor ports);
e. prospecting and exploration of major minerals in areas above 500 hectares;�

The project authorities will intimate the location of the project site to the Central Government in the Ministry of Environment and
Forests while initiating any investigation and surveys. The Central Government in the Ministry of Environment and Forests will
convey a decision regarding suitability or otherwise of the proposed site within a maximum period of thirty days. The said site
clearance shall be granted for a sanctioned capacity and shall be valid for a period of five years for commencing the construction,
operation or mining.

III. (a) The reports submitted with the application shall be evaluated and assessed by the Impact Assessment Agency, and if deemed
necessary it may consult a committee of Experts, having a composition as specified in Schedule-III of this Notification. The Impact
Assessment Agency (IAA) would be the Union Ministry of Environment and Forests. The Committee of Experts mentioned above shall
be constituted by the Impact Assessment Agency or such other body under the Central Government authorised by the Impact
Assessment Agency in this regard.

(b) �The said Committee of Experts shall have full right of entry and inspection of the site or, as the case may be, factory premises at
any time prior to, during or after the commencement of the operations relating to the project.

(c) The Impact Assessment Agency shall prepare a set of recommendations based on technical assessment of documents and data,
furnished by the project authorities supplemented by data collected during visits to sites or factories, if undertaken and details of the
public hearing.

The assessment shall be completed within a period of ninety days from receipt of the requisite documents and data from the project
authorities and completion of public hearing and decision conveyed within thirty days thereafter.

The clearance granted shall be valid for a period of five years for commencement of the construction or operation of the project.

IV. In order to enable the Impact Assessment Agency to monitor effectively the implementation of the recommendations and conditions
subject to which the environmental clearance has been given, the project authorities concerned shall submit a half yearly report to the
Impact Assessment Agency. Subject to the public interest, the Impact Assessment Agency shall make compliance reports publicly
available.
V. If no comments from the Impact Assessment Agency are received within the time limit, the project would be deemed to have been
approved as proposed by project authorities.
3) Nothing contained in this Notification shall apply to:
a. any item falling under entry Nos. 3, 18 and 20 of the Schedule-I to be located or proposed to be located in the areas covered by the
Notifications S.O. No.102 (E) dated 1st February, 1989, S.O. 114 (E) dated 20th February, 1991; S.O. No. 416 (E) dated 20th June,
1991 and S.O. No.319 (E) dated 7th May, 1992.
b. any item falling under entry no.1,2,3,4,5,7,9,10,13,14,16,17,19,21,25,27 of Schedule-I if the investment is less than Rs.100 crores
for new projects and less than Rs. 50 crores for expansion / modernization projects.
c. any item reserved for Small Scale Industrial Sector with investment less than Rs. 1 crore.
d. defence related road construction projects in border areas.
e. any item falling under entry no. 8 of Schedule-I, if that product is covered by the notification G.S.R. 1037(E) dated 5th December
1989.
f. Modernization projects in irrigation sector if additional command area is less than 10,000 hectares or project cost is less than Rs.
100 crores.
4) Concealing factual data or submission of false, misleading data/reports, decisions or recommendations would lead to the project being
rejected. Approval, if granted earlier on the basis of false data, would also be revoked. Misleading and wrong information will cover the
following:
o False information
o False data
o Engineered reports
o Concealing of factual data
 84
o False recommendations or decisions

SCHEDULE-I

(See paras 1 and 2)

LIST OF PROJECTS REQUIRING ENVIRONMENTAL CLEARANCE FROM THE CENTRAL GOVERNMENT

1. Nuclear Power and related projects such as Heavy Water Plants, nuclear fuel complex, Rare Earths.
2. River Valley projects including hydel power, major Irrigation and their combination including flood control.
3. Ports, Harbours, Airports (except minor ports and harbours).
4. Petroleum Refineries including crude and product pipelines.
5. Chemical Fertilizers (Nitrogenous and Phosphatic other than single superphosphate).
6. Pesticides (Technical).
7. Petrochemical complexes (Both Olefinic and Aromatic) and Petro-chemical intermediates such as DMT, Caprolactam, LAB etc. and
production of basic plastics such as LLDPE, HDPE, PP, PVC.
8. Bulk drugs and pharmaceuticals.
9. Exploration for oil and gas and their production, transportation and storage.
10. Synthetic Rubber.
11. Asbestos and Asbestos products.
12. Hydrocyanic acid and its derivatives.
13 (a) Primary metallurgical industries (such as production of Iron and Steel, Aluminium, Copper, Zinc, Lead and Ferro Alloys).
(b) Electric arc furnaces (Mini Steel Plants).
14. Chlor alkali industry.
15. Integrated paint complex including manufacture of resins and basic raw materials required in the manufacture of paints.
16. Viscose Staple fibre and filament yarn.
17. Storage batteries integrated with manufacture of oxides of lead and lead antimony alloys.
18. All tourism projects between 200m�500 metres of High Water Line and at locations with an elevation of more than 1000 metres with
investment of more than Rs.5 crores.
19. Thermal Power Plants.
20. Mining projects (major minerals) with leases more than 5 hectares.
21. Highway Projects except projects relating to improvement work including widening and strengthening of roads with marginal land
acquisition along the existing alignments provided it does not pass through ecologically sensitive areas such as National Parks,
Sanctuaries, Tiger Reserves, Reserve Forests
22. Tarred Roads in the Himalayas and or Forest areas.
23. Distilleries.
24. Raw Skins and Hides
25. Pulp, paper and newsprint.
26. Dyes.
27. Cement.
28. Foundries (individual)
29. Electroplating
30. Meta amino phenol
 85

SCHEDULE-II

[See Sub-para I (a) of para 2]

Procedure for seeking environment clearance of projects.

1.�������� (1)������ Any persons who desires to establish a thermal power plant of any category mentioned n Schedule-I, shall
submit an application to the Department of the State Government dealing with the subject of environment.

����������� (2)������ The application shall be made in the Form �A� specified in Schedule-II annexed to this notification and
shall be accompanied by a detailed project report which shall, inter alia, include an Environmental Impact Assessment Report and an
Environment Management plant prepared n accordance with the guidelines issued by the State Department of Environment from time to time.

����������� (3)������ Cases rejected due to submission of insufficient or inadequate data and Action Plans may be reviewed
as and when submitted with complete data and Action Plans. Submission of incomplete data for the second time would itself be a sufficient
reason for the State Government to reject the case summarily.

5) In case of the pit-head thermal power plants, the applicant shall intimate the location of the project site to the State Government while
initiating any investigation and surveys.� The State Government will convey a decision regarding suitability or otherwise of the proposed site
within a maximum period of thirty days. The said site clearance will be granted for a sanctioned capacity and it will be valid for a period of five
years for commencing the construction or operation of the project.

3.�������� (1)������ The applicant shall obtained No Objection Certificate from the concerned Pollution Control Board.� The
State Pollution Control Board shall issue No Objection Certificate to establish only after completing public hearing as specified in Schedule-IV
annexed to this notification.

����������� (2)������ The reports submitted with the application and No Objection Certificate from the State Pollution Control
Board shall be evaluated and assessed by the State Government, in consultation with a Committee of experts which shall be constituted by the
State Government as specified in Schedule-III appended to this notification.

����������� (3)������ The said Committee of experts shall have full right of entry and inspection of the site or, as the case may
be, factory premises at any time prior to, during or after the commencement of the preparations relating to the plant.

����������� (4)������ The State Government Department dealing with the subject of Environment shall prepare a set of
recommendations based on technical assessment of documents and data furnished by the applicant supplemented by data collected during
visits to sites, if undertaken and interaction with affected population and environment groups, if necessary.

����������� (5)������ The assessment shall be completed within a period of ninety days from receipt of the requisite
documents and data from the applicant and decision conveyed within thirty days thereafter.

����������� (6)������ the environmental clearance granted shall be valid for a period of five years from commencement of the
construction or operation of the project.

4. Concealing factual data or submission of false, misleading data reports, decisions of recommendations would lead to the project being
rejected. Approval, if granted, earlier on the basis of false data, can also be revoked.

(FORM A)

APPLICATION FORM

1.� (a) Name and Address of the project proposed :

(b) Location of the project:

Name of the Place:

District, Tehsil:

Latitude/Longitude:

Nearest Airport/Railway Station :

(c) Alternate sites examined and the reasons for selecting the proposed site:
(d) Does the site conform to stipulated land use as per local land use plan:

2. Objectives of the project:

3. (a) Land Requirement:
�� Agriculture Land:
�������������� Forest land and Density of vegetation.
Other (specify):
(b)� (i) Land use in the Catchment within 10 kms radius of the proposed site:
(ii) Topography of the area indicating gradient, aspects and altitude:
(iii) Erodibility classification of the proposed land:
(c)� Pollution sources existing in 10 km radius and their impact on quality of air,���� water and land:
(d) Distance of the nearest National Park/Sanctuary/Biosphere Reserve/Monuments/heritage site/Reserve Forest:
(e) Rehabilitation plan for quarries/borrow areas:
(f) Green belt plan:
(g) Compensatory afforestation plan:

4. Climate and Air Quality:

(a) Windrose at site:

(b) Max/Min/Mean annual temperature:
(c) Frequency of inversion:
(d) Frequency of cyclones/tornadoes/cloud burst:
(e) Ambient air quality data:
(f) Nature & concentration of emission of SPM, Gas (CO, CO2, NOx, CHn etc.) from the project:
5. Water balance:
(a) Water balance at site:
 86
(b) Lean season water availability;
Water Requirement:
(c) Source to be tapped with competing users (River, Lake, Ground, Public supply):
(d) Water quality:
(e) Changes observed in quality and quantity of groundwater in the last years and present charging and extraction details:
(f) (i) Quantum of waste water to be released
with���������������������������������������������������������������������
treatment details:
(ii) Quantum of quality of water in the receiving� body before and after disposal of solid wastes:
(iii) Quantum of waste water to be released on land and type of land:
(g)� (i) Details of reservoir water quality with necessary Catchment Treatment Plan:
�(ii) Command Area Development Plan:
6. Solid wastes:
(a) Nature and quantity of solid wastes generated
(b) Solid waste disposal method:
7. Noise and Vibrations:
a. Sources of Noise and Vibrations:
b. Ambient noise level:
c. Noise and Vibration control measures proposed:
d. Subsidence problem, if any, with control measures:
8. Power requirement indicating source of supply: Complete environmental details to be furnished separately, if captive power unit
proposed:
9. Peak labour force to be deployed giving details of:
◦ Endemic health problems in the area due to waste water/air/soil borne diseases:
◦ Health care system existing and proposed:
10. (a) Number of villages and population to be displaced:
(b) Rehabilitation Master Plan:
11. Risk Assessment Report and Disaster Management Plan:
12.��� (a) Environmental Impact Assessment
(b) Environment Management Plan:
(c) Detailed Feasibility Report:
(d) �Duly filled in questionnaire

Report prepared as per guidelines issued by the Central Government in the� MOEF from time to time:
13. Details of Environmental Management Cell:

I hereby give an undertaking that the data and information given above are due to the best of my knowledge and belief and I am aware that if
any part of the data/information submitted is found to be false or misleading at any stage, the project be rejected and the clearance given, if any,
to the project is likely to be revoked at our risk and cost.

Signature of the applicant

With name and full address

����������������������������������������������������������������������������
�������Given under the seal of� Organisation
������������������������������������������������������������������������
on behalf of� Whom the applicant is signing.
Date: �
Place:

In respect to item for which data are not required or is not available as per the declaration of project proponent, the project would be considered
on that basis.

SCHEDULE-III

[See Sub. Para(2), Para 3� of Schedule- II]

COMPOSITION OF THE EXPERT COMMITTEES FOR ENVIRONMENTAL IMPACT ASSESSMENT

1. The Committees will consist of experts in the following disciplines:

i. Eco-system Management
ii. Air/Water Pollution Control
iii. Water Resource Management
iv. Flora/Fauna conservation and management
v. Land Use Planning
vi. Social Sciences/Rehabilitation
vii. Project Appraisal
viii. Ecology
ix. Environmental Health
x. Subject Area Specialists
xi. Representatives of NGOs/persons concerned with environmental issues.

2. The Chairman will be an outstanding and experienced ecologist or environmentalist or technical professional with wide managerial
experience in the relevant development sector.
3. The representative of Impact Assessment Agency will act as a Member-Secretary.
4. Chairman and Members will serve in their individual capacities except those specifically nominated as representatives.
5. The Membership of a Committee shall not exceed 15.

SCHEDULE IV

(See para 3, subparagraph (2) of Schedule- II)

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PROCEDURE FOR PUBLIC HEARING

(1) Process of Public Hearing: - Whoever apply for environmental clearance of projects, shall submit to the concerned State Pollution Control
Board twenty sets of the following documents namely: -

i. An executive summary containing the salient features of the project both in English as well as the local language along with
Environmental Impact Assessment (EIA). However, for pipeline project,� Environmental Impact Assessment report will not be
required. But Environmental Management Plan including risk mitigation measures is required.
ii. Form XIII prescribed under Water (Prevention and Control of Pollution) Rules, 1975 where discharge of sewage, trade effluents,
treatment of water in any form, is required.
iii. Form I prescribed under Air (Prevention and Control of Pollution) Union Territory Rules, 1983 where discharge of emissions are
involved in any process, operation or industry.
iv. Any other information or document which is necessary in the opinion of the Board for their final disposal of the application.

(2) Notice of Publics Hearing: -(i) The State Pollution Control Board shall cause a notice for environmental public hearing which shall be
published in at least two newspapers widely circulated in the region around the project, one of which shall be in the vernacular language of the
locality concerned. State Pollution Control Board shall mention the date, time and place of public hearing. Suggestions, views, comments and
objections of the public shall be invited within thirty days from the date of publication of the notification.

(ii) All persons including bona fide residents, environmental groups and others located at the project site/sites of displacement/sites likely to
be affected can participate in the public hearing. They can also make oral/written suggestions to the State Pollution Control Board.

Explanation: - For the purpose of the paragraph person means: -

a. any person who is likely to be affected by the grant of environmental clearance;

b. any person who owns or has control over the project with respect to which an application has been submitted for
environmental clearance;
c. any association of persons whether incorporated or not like to be affected by the project and/or functioning in the filed of
environment;
d. any local authority within any part of whose local limits is within the neighbourhood wherein the project is proposed to be
located.

(3) Composition of public hearing panel: - The composition of Public Hearing Panel may consist of the following, namely: -

(i) Representative of State Pollution Control Board;

(ii) District Collector or his nominee;
(iii) Representative of State Government dealing with the subject;
(iv) Representative of Department of the State Government dealing with Environment;
(v) Not more than three representatives of the local bodies such as Municipalities or panchayats;
(vi) Not more than three senior citizens of the area nominated by the District Collector.

(4) Access to the Executive Summary and Environmental Impact Assessment report:- The concerned persons shall be provided access to
the Executive Summary and Environmental Impact Assessment report of the project at the following places, namely:-

(i) District Collector Office;

(ii) District Industry Centre;
(iii) In the Office of the Chief Executive Officers of Zila Praishad or Commissioner of the Municipal Corporation/Local body as the case may
be;
(iv) In the head office of the concerned State Pollution Control Board and its concerned Regional Office;
(v) In the concerned Department of the State Government dealing with the subject of environment.

5. Time period for completion of public hearing:

The public hearing shall be completed within a period of 60 days from the date of receipt of complete documents as required under
paragraph 1.

�
 ANNEXURE P/4 88
(Published in the Gazette of India, Extraordinary, Part-II, and Section 3, Sub-section (ii)
MINISTRY OF ENVIRONMENT AND FORESTS

New Delhi 14th September, 2006

Notification

S.O. 1533 Whereas, a draft notification under sub-rule (3) of Rule 5 of the
Environment (Protection) Rules, 1986 for imposing certain restrictions and prohibitions on
new projects or activities, or on the expansion or modernization of existing projects or
activities based on their potential environmental impacts as indicated in the Schedule to the
notification, being undertaken in any part of India1, unless prior environmental clearance has
been accorded in accordance with the objectives of National Environment Policy as approved
by the Union Cabinet on 18th May, 2006 and the procedure specified in the notification, by
the Central Government or the State or Union territory Level Environment Impact
Assessment Authority (SEIAA), to be constituted by the Central Government in consultation
with the State Government or the Union territory Administration concerned under sub-section
(3) of section 3 of the Environment (Protection) Act, 1986 for the purpose of this notification,
was published in the Gazette of India ,Extraordinary, Part II, section 3, sub-section (ii) vide
number S.O. 1324 (E) dated the 15th September ,2005 inviting objections and suggestions from
all persons likely to be affected thereby within a period of sixty days from the date on which
copies of Gazette containing the said notification were made available to the public;

And whereas, copies of the said notification were made available to the public on 15th
September, 2005;

And whereas, all objections and suggestions received in response to the above
mentioned draft notification have been duly considered by the Central Government;

Now, therefore, in exercise of the powers conferred by sub-section (1) and clause (v) of
sub-section (2) of section 3 of the Environment (Protection) Act, 1986, read with clause (d)
of sub-rule (3) of rule 5 of the Environment (Protection) Rules, 1986 and in supersession of
the notification number S.O. 60 (E) dated the 27th January, 1994, except in respect of things
done or omitted to be done before such supersession, the Central Government hereby directs
that on and from the date of its publication the required construction of new projects or
activities or the expansion or modernization of existing projects or activities listed in the
Schedule to this notification entailing capacity addition with change in process and or
technology shall be undertaken in any part of India only after the prior environmental
clearance from the Central Government or as the case may be, by the State Level Environment
Impact Assessment Authority, duly constituted by the Central Government under sub-section
(3) of section 3 of the said Act, in accordance with the procedure specified hereinafter in this
notification.

_________________________
1
Includes the territorial waters

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 89
2. Requirements of prior Environmental Clearance (EC):- The following projects or
activities shall require prior environmental clearance from the concerned regulatory authority,
which shall hereinafter referred to be as the Central Government in the Ministry of
Environment and Forests for matters falling under Category ‘A’ in the Schedule and at State
level the State Environment Impact Assessment Authority (SEIAA) for matters falling under
Category ‘B’ in the said Schedule, before any construction work, or preparation of land by the
project management except for securing the land, is started on the project or activity:

(i) All new projects or activities listed in the Schedule to this notification;

(ii) Expansion and modernization of existing projects or activities listed in the Schedule to
this notification with addition of capacity beyond the limits specified for the concerned sector,
that is, projects or activities which cross the threshold limits given in the Schedule, after
expansion or modernization;

(iii) Any change in product - mix in an existing manufacturing unit included in Schedule
beyond the specified range.

3. State Level Environment Impact Assessment Authority:- (1) A State Level

Environment Impact Assessment Authority hereinafter referred to as the SEIAA shall be
constituted by the Central Government under sub-section (3) of section 3 of the Environment
(Protection) Act, 1986 comprising of three Members including a Chairman and a Member –
Secretary to be nominated by the State Government or the Union territory Administration
concerned.

(2) The Member-Secretary shall be a serving officer of the concerned State Government or
Union territory administration familiar with environmental laws.

(3) The other two Members shall be either a professional or expert fulfilling the eligibility
criteria given in Appendix VI to this notification.

(4) One of the specified Members in sub-paragraph (3) above who is an expert in the
Environmental Impact Assessment process shall be the Chairman of the SEIAA.

(5) The State Government or Union territory Administration shall forward the names of the
Members and the Chairman referred in sub- paragraph 3 to 4 above to the Central
Government and the Central Government shall constitute the SEIAA as an authority for
the purposes of this notification within thirty days of the date of receipt of the names.

(6) The non-official Member and the Chairman shall have a fixed term of three years (from
the date of the publication of the notification by the Central Government constituting the
authority).

(7) All decisions of the SEIAA shall be unanimous and taken in a meeting.

4. Categorization of projects and activities:-

(i) All projects and activities are broadly categorized in to two categories - Category A and
Category B, based on the spatial extent of potential impacts and potential impacts on human
health and natural and man made resources.

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 90
(ii) All projects or activities included as Category ‘A’ in the Schedule, including expansion
and modernization of existing projects or activities and change in product mix, shall require prior
environmental clearance from the Central Government in the Ministry of Environment and
Forests (MoEF) on the recommendations of an Expert Appraisal Committee (EAC) to be
constituted by the Central Government for the purposes of this notification;

(iii) All projects or activities included as Category ‘B’ in the Schedule, including expansion
and modernization of existing projects or activities as specified in sub paragraph (ii) of paragraph
2, or change in product mix as specified in sub paragraph (iii) of paragraph 2, but excluding
those which fulfill the General Conditions (GC) stipulated in the Schedule, will require prior
environmental clearance from the State/Union territory Environment Impact Assessment
Authority (SEIAA). The SEIAA shall base its decision on the recommendations of a State or
Union territory level Expert Appraisal Committee (SEAC) as to be constituted for in this
notification. In the absence of a duly constituted SEIAA or SEAC, a Category ‘B’ project shall
be treated as a Category ‘A’ project;

5. Screening, Scoping and Appraisal Committees:-

The same Expert Appraisal Committees (EACs) at the Central Government and SEACs
(hereinafter referred to as the (EAC) and (SEAC) at the State or the Union territory level shall
screen, scope and appraise projects or activities in Category ‘A’ and Category ‘B’ respectively.
EAC and SEAC’s shall meet at least once every month.

(a) The composition of the EAC shall be as given in Appendix VI. The SEAC at the State or
the Union territory level shall be constituted by the Central Government in consultation with the
concerned State Government or the Union territory Administration with identical composition;

(b) The Central Government may, with the prior concurrence of the concerned State
Governments or the Union territory Administrations, constitutes one SEAC for more than one
State or Union territory for reasons of administrative convenience and cost;

(c) The EAC and SEAC shall be reconstituted after every three years;

(d) The authorised members of the EAC and SEAC, concerned, may inspect any site(s)
connected with the project or activity in respect of which the prior environmental clearance is
sought, for the purposes of screening or scoping or appraisal, with prior notice of at least seven
days to the applicant, who shall provide necessary facilities for the inspection;

(e) The EAC and SEACs shall function on the principle of collective responsibility. The
Chairperson shall endeavour to reach a consensus in each case, and if consensus cannot be
reached, the view of the majority shall prevail.

6. Application for Prior Environmental Clearance (EC):-

An application seeking prior environmental clearance in all cases shall be made in the
prescribed Form 1 annexed herewith and Supplementary Form 1A, if applicable, as given in
Appendix II, after the identification of prospective site(s) for the project and/or activities to
which the application relates, before commencing any construction activity, or preparation of
land, at the site by the applicant. The applicant shall furnish, along with the application, a copy
of the pre-feasibility project report except that, in case of construction projects or activities (item
8 of the Schedule) in addition to Form 1 and the Supplementary Form 1A, a copy of the
conceptual plan shall be provided, instead of the pre-feasibility report.
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 91

7. Stages in the Prior Environmental Clearance (EC) Process for New Projects:-

7(i) The environmental clearance process for new projects will comprise of a maximum of four
stages, all of which may not apply to particular cases as set forth below in this notification. These
four stages in sequential order are:-

• Stage (1) Screening (Only for Category ‘B’ projects and activities)
• Stage (2) Scoping
• Stage (3) Public Consultation
• Stage (4) Appraisal

I. Stage (1) - Screening:

In case of Category ‘B’ projects or activities, this stage will entail the scrutiny of an
application seeking prior environmental clearance made in Form 1 by the concerned State level
Expert Appraisal Committee (SEAC) for determining whether or not the project or activity
requires further environmental studies for preparation of an Environmental Impact Assessment
(EIA) for its appraisal prior to the grant of environmental clearance depending up on the nature
and location specificity of the project . The projects requiring an Environmental Impact
Assessment report shall be termed Category ‘B1’ and remaining projects shall be termed
Category ‘B2’ and will not require an Environment Impact Assessment report. For categorization
of projects into B1 or B2 except item 8 (b), the Ministry of Environment and Forests shall issue
appropriate guidelines from time to time.

II. Stage (2) - Scoping:

(i) “Scoping”: refers to the process by which the Expert Appraisal Committee in the case of
Category ‘A’ projects or activities, and State level Expert Appraisal Committee in the case of
Category ‘B1’ projects or activities, including applications for expansion and/or modernization
and/or change in product mix of existing projects or activities, determine detailed and
comprehensive Terms Of Reference (TOR) addressing all relevant environmental concerns for
the preparation of an Environment Impact Assessment (EIA) Report in respect of the project or
activity for which prior environmental clearance is sought. The Expert Appraisal Committee or
State level Expert Appraisal Committee concerned shall determine the Terms of Reference on
the basis of the information furnished in the prescribed application Form1/Form 1A including
Terns of Reference proposed by the applicant, a site visit by a sub- group of Expert Appraisal
Committee or State level Expert Appraisal Committee concerned only if considered necessary by
the Expert Appraisal Committee or State Level Expert Appraisal Committee concerned, Terms
of Reference suggested by the applicant if furnished and other information that may be available
with the Expert Appraisal Committee or State Level Expert Appraisal Committee concerned. All
projects and activities listed as Category ‘B’ in Item 8 of the Schedule
(Construction/Township/Commercial Complexes /Housing) shall not require Scoping and will be
appraised on the basis of Form 1/ Form 1A and the conceptual plan.

(ii) The Terms of Reference (TOR) shall be conveyed to the applicant by the Expert
Appraisal Committee or State Level Expert Appraisal Committee as concerned within sixty days
of the receipt of Form 1. In the case of Category A Hydroelectric projects Item 1(c) (i) of the
Schedule the Terms of Reference shall be conveyed along with the clearance for pre-construction
activities .If the Terms of Reference are not finalized and conveyed to the applicant within sixty
days of the receipt of Form 1, the Terms of Reference suggested by the applicant shall be
deemed as the final Terms of Reference approved for the EIA studies. The approved Terms of
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 92
Reference shall be displayed on the website of the Ministry of Environment and Forests and the
concerned State Level Environment Impact Assessment Authority.

(iii) Applications for prior environmental clearance may be rejected by the regulatory
authority concerned on the recommendation of the EAC or SEAC concerned at this stage itself.
In case of such rejection, the decision together with reasons for the same shall be communicated
to the applicant in writing within sixty days of the receipt of the application.

III. Stage (3) - Public Consultation:

(i) “Public Consultation” refers to the process by which the concerns of local affected persons
and others who have plausible stake in the environmental impacts of the project or activity are
ascertained with a view to taking into account all the material concerns in the project or activity
design as appropriate. All Category ‘A’ and Category B1 projects or activities shall undertake
Public Consultation, except the following:-

(a) modernization of irrigation projects (item 1(c) (ii) of the Schedule).

(b) all projects or activities located within industrial estates or parks (item 7(c)
of the Schedule) approved by the concerned authorities, and which are not
disallowed in such approvals.

(c) expansion of Roads and Highways (item 7 (f) of the Schedule) which do not
involve any further acquisition of land.

(d) all Building /Construction projects/Area Development projects and Townships

(item 8).

(e) all Category ‘B2’ projects and activities.

(f) all projects or activities concerning national defence and security or

involving other strategic considerations as determined by the Central
Government.

(ii) The Public Consultation shall ordinarily have two components comprising of:-

(a) a public hearing at the site or in its close proximity- district wise, to be carried out in the
manner prescribed in Appendix IV, for ascertaining concerns of local affected persons;

(b) obtain responses in writing from other concerned persons having a plausible stake in the
environmental aspects of the project or activity.

(iii) the public hearing at, or in close proximity to, the site(s) in all cases shall be conducted
by the State Pollution Control Board (SPCB) or the Union territory Pollution Control Committee
(UTPCC) concerned in the specified manner and forward the proceedings to the regulatory
authority concerned within 45(forty five ) of a request to the effect from the applicant.

(iv) in case the State Pollution Control Board or the Union territory Pollution Control
Committee concerned does not undertake and complete the public hearing within the specified
period, and/or does not convey the proceedings of the public hearing within the prescribed period
5
 93
directly to the regulatory authority concerned as above, the regulatory authority shall engage
another public agency or authority which is not subordinate to the regulatory authority, to
complete the process within a further period of forty five days,.

(v) If the public agency or authority nominated under the sub paragraph (iii) above reports to
the regulatory authority concerned that owing to the local situation, it is not possible to conduct
the public hearing in a manner which will enable the views of the concerned local persons to be
freely expressed, it shall report the facts in detail to the concerned regulatory authority, which
may, after due consideration of the report and other reliable information that it may have, decide
that the public consultation in the case need not include the public hearing.

(vi) For obtaining responses in writing from other concerned persons having a plausible stake
in the environmental aspects of the project or activity, the concerned regulatory authority and the
State Pollution Control Board (SPCB) or the Union territory Pollution Control Committee
(UTPCC) shall invite responses from such concerned persons by placing on their website the
Summary EIA report prepared in the format given in Appendix IIIA by the applicant along with
a copy of the application in the prescribed form , within seven days of the receipt of a written
request for arranging the public hearing . Confidential information including non-disclosable or
legally privileged information involving Intellectual Property Right, source specified in the
application shall not be placed on the web site. The regulatory authority concerned may also use
other appropriate media for ensuring wide publicity about the project or activity. The regulatory
authority shall, however, make available on a written request from any concerned person the
Draft EIA report for inspection at a notified place during normal office hours till the date of the
public hearing. All the responses received as part of this public consultation process shall be
forwarded to the applicant through the quickest available means.

(vii) After completion of the public consultation, the applicant shall address all the material
environmental concerns expressed during this process, and make appropriate changes in the draft
EIA and EMP. The final EIA report, so prepared, shall be submitted by the applicant to the
concerned regulatory authority for appraisal. The applicant may alternatively submit a
supplementary report to draft EIA and EMP addressing all the concerns expressed during the
public consultation.

IV. Stage (4) - Appraisal:

(i) Appraisal means the detailed scrutiny by the Expert Appraisal Committee or State Level
Expert Appraisal Committee of the application and other documents like the Final EIA report,
outcome of the public consultations including public hearing proceedings, submitted by the
applicant to the regulatory authority concerned for grant of environmental clearance. This
appraisal shall be made by Expert Appraisal Committee or State Level Expert Appraisal
Committee concerned in a transparent manner in a proceeding to which the applicant shall be
invited for furnishing necessary clarifications in person or through an authorized representative.
On conclusion of this proceeding, the Expert Appraisal Committee or State Level Expert
Appraisal Committee concerned shall make categorical recommendations to the regulatory
authority concerned either for grant of prior environmental clearance on stipulated terms and
conditions, or rejection of the application for prior environmental clearance, together with
reasons for the same.

(ii) The appraisal of all projects or activities which are not required to undergo public
consultation, or submit an Environment Impact Assessment report, shall be carried out on the
basis of the prescribed application Form 1 and Form 1A as applicable, any other relevant

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 94
validated information available and the site visit wherever the same is considered as necessary by
the Expert Appraisal Committee or State Level Expert Appraisal Committee concerned.

(iii) The appraisal of an application be shall be completed by the Expert Appraisal Committee
or State Level Expert Appraisal Committee concerned within sixty days of the receipt of the final
Environment Impact Assessment report and other documents or the receipt of Form 1 and Form
1 A, where public consultation is not necessary and the recommendations of the Expert
Appraisal Committee or State Level Expert Appraisal Committee shall be placed before the
competent authority for a final decision within the next fifteen days .The prescribed procedure
for appraisal is given in Appendix V ;

7(ii). Prior Environmental Clearance (EC) process for Expansion or Modernization or

Change of product mix in existing projects:

All applications seeking prior environmental clearance for expansion with increase in the
production capacity beyond the capacity for which prior environmental clearance has been
granted under this notification or with increase in either lease area or production capacity in the
case of mining projects or for the modernization of an existing unit with increase in the total
production capacity beyond the threshold limit prescribed in the Schedule to this notification
through change in process and or technology or involving a change in the product –mix shall be
made in Form I and they shall be considered by the concerned Expert Appraisal Committee or
State Level Expert Appraisal Committee within sixty days, who will decide on the due diligence
necessary including preparation of EIA and public consultations and the application shall be
appraised accordingly for grant of environmental clearance.

8.Grant or Rejection of Prior Environmental Clearance (EC):

(i) The regulatory authority shall consider the recommendations of the EAC or SEAC
concerned and convey its decision to the applicant within forty five days of the receipt of the
recommendations of the Expert Appraisal Committee or State Level Expert Appraisal
Committee concerned or in other words within one hundred and five days of the receipt of the
final Environment Impact Assessment Report, and where Environment Impact Assessment is not
required, within one hundred and five days of the receipt of the complete application with
requisite documents, except as provided below.

(ii) The regulatory authority shall normally accept the recommendations of the Expert
Appraisal Committee or State Level Expert Appraisal Committee concerned. In cases where it
disagrees with the recommendations of the Expert Appraisal Committee or State Level Expert
Appraisal Committee concerned, the regulatory authority shall request reconsideration by the
Expert Appraisal Committee or State Level Expert Appraisal Committee concerned within forty
five days of the receipt of the recommendations of the Expert Appraisal Committee or State
Level Expert Appraisal Committee concerned while stating the reasons for the disagreement. An
intimation of this decision shall be simultaneously conveyed to the applicant. The Expert
Appraisal Committee or State Level Expert Appraisal Committee concerned, in turn, shall
consider the observations of the regulatory authority and furnish its views on the same within a
further period of sixty days. The decision of the regulatory authority after considering the views
of the Expert Appraisal Committee or State Level Expert Appraisal Committee concerned shall
be final and conveyed to the applicant by the regulatory authority concerned within the next
thirty days.

(iii) In the event that the decision of the regulatory authority is not communicated to the
applicant within the period specified in sub-paragraphs (i) or (ii) above, as applicable, the
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applicant may proceed as if the environment clearance sought for has been granted or denied by
the regulatory authority in terms of the final recommendations of the Expert Appraisal
Committee or State Level Expert Appraisal Committee concerned.

(iv) On expiry of the period specified for decision by the regulatory authority under paragraph
(i) and (ii) above, as applicable, the decision of the regulatory authority, and the final
recommendations of the Expert Appraisal Committee or State Level Expert Appraisal
Committee concerned shall be public documents.

(v) Clearances from other regulatory bodies or authorities shall not be required prior to receipt
of applications for prior environmental clearance of projects or activities, or screening, or
scoping, or appraisal, or decision by the regulatory authority concerned, unless any of these is
sequentially dependent on such clearance either due to a requirement of law, or for necessary
technical reasons.

(vi) Deliberate concealment and/or submission of false or misleading information or data

which is material to screening or scoping or appraisal or decision on the application shall make
the application liable for rejection, and cancellation of prior environmental clearance granted on
that basis. Rejection of an application or cancellation of a prior environmental clearance already
granted, on such ground, shall be decided by the regulatory authority, after giving a personal
hearing to the applicant, and following the principles of natural justice.

9. Validity of Environmental Clearance (EC):

The “Validity of Environmental Clearance” is meant the period from which a prior
environmental clearance is granted by the regulatory authority, or may be presumed by the
applicant to have been granted under sub paragraph (iv) of paragraph 7 above, to the start of
production operations by the project or activity, or completion of all construction operations in
case of construction projects (item 8 of the Schedule), to which the application for prior
environmental clearance refers. The prior environmental clearance granted for a project or
activity shall be valid for a period of ten years in the case of River Valley projects (item 1(c) of
the Schedule), project life as estimated by Expert Appraisal Committee or State Level Expert
Appraisal Committee subject to a maximum of thirty years for mining projects and five years in
the case of all other projects and activities. However, in the case of Area Development projects
and Townships [item 8(b)], the validity period shall be limited only to such activities as may be
the responsibility of the applicant as a developer. This period of validity may be extended by the
regulatory authority concerned by a maximum period of five years provided an application is
made to the regulatory authority by the applicant within the validity period, together with an
updated Form 1, and Supplementary Form 1A, for Construction projects or activities (item 8 of
the Schedule). In this regard the regulatory authority may also consult the Expert Appraisal
Committee or State Level Expert Appraisal Committee as the case may be.

10. Post Environmental Clearance Monitoring:

(i) It shall be mandatory for the project management to submit half-yearly compliance reports
in respect of the stipulated prior environmental clearance terms and conditions in hard and soft
copies to the regulatory authority concerned, on 1st June and 1st December of each calendar year.

(ii) All such compliance reports submitted by the project management shall be public
documents. Copies of the same shall be given to any person on application to the concerned
regulatory authority. The latest such compliance report shall also be displayed on the web site of
the concerned regulatory authority.
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11. Transferability of Environmental Clearance (EC):

A prior environmental clearance granted for a specific project or activity to an applicant

may be transferred during its validity to another legal person entitled to undertake the project or
activity on application by the transferor, or by the transferee with a written “no objection” by the
transferor, to, and by the regulatory authority concerned, on the same terms and conditions under
which the prior environmental clearance was initially granted, and for the same validity period.
No reference to the Expert Appraisal Committee or State Level Expert Appraisal Committee
concerned is necessary in such cases.

12. Operation of EIA Notification, 1994, till disposal of pending cases:

From the date of final publication of this notification the Environment Impact
Assessment (EIA) notification number S.O.60 (E) dated 27th January, 1994 is hereby superseded,
except in suppression of the things done or omitted to be done before such suppression to the
extent that in case of all or some types of applications made for prior environmental clearance
and pending on the date of final publication of this notification, the Central Government may
relax any one or all provisions of this notification except the list of the projects or activities
requiring prior environmental clearance in Schedule I , or continue operation of some or all
provisions of the said notification, for a period not exceeding one year from the date of issue of
this notification.

[No. J-11013/56/2004-IA-II (I)]

(R.CHANDRAMOHAN)
JOINT SECRETARY TO THE GOVERNMENT OF INDIA

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SCHEDULE

(See paragraph 2 and 7)

LIST OF PROJECTS OR ACTIVITIES REQUIRING PRIOR ENVIRONMENTAL CLEARANCE

Category with threshold limit Conditions if any

Project or Activity

A B

1 Mining, extraction of natural resources and power generation (for a specified

production capacity)

(a) ( (1) (2) (3) (4) (5)

1(a) Mining of minerals ≥ 50 ha. of mining lease area <50 ha General Condition
≥ 5 ha .of mining shall apply
Asbestos mining irrespective of lease area. Note
mining area Mineral prospecting
(not involving
drilling) are exempted
provided the
concession areas
have got previous
clearance for physical
survey
1(b) Offshore and All projects Note
onshore oil and gas Exploration Surveys
exploration, (not involving drilling)
development & are exempted provided
production the concession areas
have got previous
clearance for physical
survey

1(c) River Valley (i) ≥ 50 MW hydroelectric (i) < 50 MW ≥ 25 General Condition shall
projects power generation; MW hydroelectric apply
(ii) ≥ 10,000 ha. of culturable power generation;
command area (ii) < 10,000 ha. of
culturable command
area

1(d) Thermal Power ≥ 500 MW (coal/lignite/naphta < 500 MW General Condition shall
Plants & gas based); (coal/lignite/naptha & apply
≥ 50 MW (Pet coke diesel and gas based);
all other fuels ) <50 MW
≥ 5MW (Pet coke
,diesel and all other
fuels )

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(1) (2) (3) (4) (5)
1(e) Nuclear power All projects -
projects and
processing of
nuclear fuel

2 Primary Processing

2(a) Coal washeries ≥ 1 million ton/annum <1million ton/annum General Condition shall
throughput of coal throughput of coal apply

(If located within mining

area the proposal shall be
appraised together with the
mining proposal)
2 (b) Mineral ≥ 0.1million ton/annum < 0.1million ton/annum General Condition shall
beneficiation mineral throughput mineral throughput apply

(Mining proposal with

Mineral beneficiation shall
be appraised together for
grant of clearance)

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3 Materials Production

(1) (2) (3) (4) (5)

3(a) Metallurgical a)Primary
industries (ferrous metallurgical industry
& non ferrous)
All projects

b) Sponge iron
manufacturing Sponge iron General Condition shall
≥ 200TPD manufacturing apply for Sponge iron
<200TPD manufacturing

c)Secondary
metallurgical Secondary metallurgical
processing industry processing industry

All toxic and heavy i.)All toxic

metal producing units andheavymetal producing
≥ 20,000 tonnes units
/annum <20,000 tonnes
/annum

- ii.)All other
non –toxic
secondary metallurgical
processing industries

>5000 tonnes/annum

3( b) Cement plants ≥ 1.0 million <1.0 million General Condition shall

tonnes/annum tonnes/annum production apply
production capacity capacity. All Stand alone
grinding units

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4 Materials Processing

(1) (2) (3) (4) (5)

4(a) Petroleum refining All projects - -
industry

4(b) Coke oven plants ≥2,50,000 <2,50,000 & -

tonnes/annum ≥25,000 tonnes/annum
-
4(c ) Asbestos milling All projects - -
and asbestos based
products
4(d) Chlor-alkali ≥300 TPD production <300 TPD production Specific Condition shall
industry capacityor a unit capacity apply
located out side the and located within a
notified industrial area/ notified industrial area/ No new Mercury Cell
estate estate based plants will be
permitted and existing
units converting to
membrane cell technology
are exempted from this
Notification

4(e) Soda ash Industry All projects - -

4(f) Leather/skin/hide New projects outside All new or expansion of Specific condition shall
processing the industrial area or projects located within a apply
industry expansion of existing notified industrial area/
units out side the estate
industrial area

5 Manufacturing/Fabrication

5(a) Chemical All projects - -

fertilizers
5(b) Pesticides industry All units producing - -
and pesticide technical grade
specific pesticides
intermediates
(excluding
formulations)

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(1) (2) (3) (4) (5)
5(c) Petro-chemical All projects - -
complexes -
(industries based
on processing of
petroleum
fractions & natural
gas and/or
reforming to
aromatics)

5(d) Manmade fibres Rayon Others General Condition shall

manufacturing apply

5(e) Petrochemical Located out side the Located in a notified Specific Condition shall
based processing notified industrial area/ industrial area/ estate apply
(processes other estate
than cracking & -
reformation and
not covered under
the complexes)

5(f) Synthetic organic Located out side the Located in a notified Specific Condition shall
chemicals industry notified industrial area/ industrial area/ estate apply
(dyes & dye estate
intermediates; bulk
drugs and
intermediates
excluding drug
formulations;
synthetic rubbers;
basic organic
chemicals, other
synthetic organic
chemicals and
chemical
intermediates)

5(g) Distilleries (i)All Molasses based All Cane juice/non- General Condition shall
distilleries molasses based distilleries apply
–
(ii) All Cane juice/ <30 KLD
non-molasses based
distilleries ≥30 KLD

5(h) Integrated paint - All projects General Condition shall

industry apply

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(1) (2) (3) (4) (5)
5(i) Pulp & paper Pulp manufacturing Paper manufacturing General Condition shall
industry excluding and industry without pulp apply
manufacturing of manufacturing
paper from waste Pulp& Paper
paper and manufacturing industry
manufacture of -
paper from ready
pulp with out
bleaching

5(j) Sugar Industry - ≥ 5000 tcd cane crushing General Condition shall
- capacity apply

5(k) Induction/arc - All projects General Condition shall

furnaces/cupola - apply
furnaces 5TPH or
more

6 Service Sectors

6(a) Oil & gas All projects -

transportation pipe -
line (crude and
refinery/
petrochemical
products), passing
through national
parks
/sanctuaries/coral
reefs /ecologically
sensitive areas
including LNG
Terminal

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(1) (2) (3) (4) (5)
6(b) Isolated storage & - All projects General Condition shall
handling of apply
hazardous
chemicals (As per
threshold planning
quantity indicated
in column 3 of
schedule 2 & 3 of
MSIHC Rules
1989 amended
2000)

7 Physical Infrastructure including Environmental Services

7(a) Air ports All projects - -

7(b) All ship breaking All projects - -

yards including
ship breaking units

7(c) Industrial estates/ If at least one industry Industrial estates housing Special condition shall apply
parks/ complexes/ in the proposed at least one Category B
areas, export industrial estate falls industry and area <500 Note:
processing Zones under the Category A, ha. Industrial Estate of area
(EPZs), Special entire industrial area below 500 ha. and not
Economic Zones shall be treated as housing any industry of
(SEZs), Biotech Category A, category A or B does not
Parks, Leather irrespective of the area. require clearance.
Complexes.
Industrial estates with
area greater than 500
ha. and housing at least Industrial estates of area>
one Category B 500 ha. and not housing
industry. any industry belonging to
Category A or B.

7(d) Common All integrated facilities All facilities having land General Condition shall
hazardous waste having incineration fill only apply
treatment, storage &landfill or
and disposal incineration alone
facilities (TSDFs)

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(1) (2) (3) (4) (5)
7(e) Ports, Harbours ≥ 5 million TPA of < 5 million TPA of cargo General Condition shall
cargo handling handling capacity and/or apply
capacity (excluding ports/ harbours ≥10,000
fishing harbours) TPA of fish handling
capacity

7(f) Highways i) New National High i) New State High ways; General Condition shall
ways; and and apply

ii) Expansion of ii) Expansion of National

National High ways / State Highways greater
greater than 30 KM, than 30 km involving
involving additional additional right of way
right of way greater greater than 20m
than 20m involving involving land
land acquisition and acquisition.
passing through more
than one State.

7(g) Aerial ropeways All projects General Condition shall

apply

7(h) Common All projects General Condition shall

Effluent apply
Treatment Plants
(CETPs)

7(i) Common All projects General Condition shall

Municipal Solid apply
Waste
Management
Facility
(CMSWMF)

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(1) (2) (3) (4) (5)
8 Building /Construction projects/Area Development projects and Townships
8(a) Building and ≥20000 sq.mtrs and #(built up area for covered
Construction <1,50,000 sq.mtrs. of construction; in the case of
projects built-up area# facilities open to the sky, it
will be the activity area )
8(b) Townships and Covering an area ≥ 50 ha ++All projects under Item
Area Development and or built up area 8(b) shall be appraised as
projects. ≥1,50,000 sq .mtrs ++ Category B1

Note:-

General Condition (GC):

Any project or activity specified in Category ‘B’ will be treated as Category A, if located in
whole or in part within 10 km from the boundary of: (i) Protected Areas notified under the Wild
Life (Protection) Act, 1972, (ii) Critically Polluted areas as notified by the Central Pollution
Control Board from time to time, (iii) Notified Eco-sensitive areas, (iv) inter-State boundaries
and international boundaries.

Specific Condition (SC):

If any Industrial Estate/Complex / Export processing Zones /Special Economic Zones/Biotech

Parks / Leather Complex with homogeneous type of industries such as Items 4(d), 4(f), 5(e), 5(f),
or those Industrial estates with pre –defined set of activities (not necessarily homogeneous,
obtains prior environmental clearance, individual industries including proposed industrial
housing within such estates /complexes will not be required to take prior environmental
clearance, so long as the Terms and Conditions for the industrial estate/complex are complied
with (Such estates/complexes must have a clearly identified management with the legal
responsibility of ensuring adherence to the Terms and Conditions of prior environmental
clearance, who may be held responsible for violation of the same throughout the life of the
complex/estate).

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APPENDIX I

(See paragraph – 6)

FORM 1

(I) Basic Information

Name of the Project:

Location / site alternatives under consideration:

Size of the Project: *

Expected cost of the project:

Contact Information:

Screening Category:

• Capacity corresponding to sectoral activity (such as production capacity for

manufacturing, mining lease area and production capacity for mineral
production, area for mineral exploration, length for linear transport
infrastructure, generation capacity for power generation etc.,)

(II) Activity

1. Construction, operation or decommissioning of the Project involving actions,

which will cause physical changes in the locality (topography, land use, changes
in water bodies, etc.)

Details thereof (with

approximate quantities /rates,
S.No. Information/Checklist confirmation Yes/No wherever possible) with source
of information data
1.1 Permanent or temporary change in land use,
land cover or topography including increase
in intensity of land use (with respect to
local land use plan)
1.2 Clearance of existing land, vegetation and
buildings?
1.3 Creation of new land uses?

1.4 Pre-construction investigations e.g. bore

houses, soil testing?
1.5 Construction works?

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1.6 Demolition works?

1.7 Temporary sites used for construction works

or
housing of construction workers?
1.8 Above ground buildings, structures or
earthworks including linear structures, cut
and
fill or excavations
1.9 Underground works including mining or
tunneling?
1.10 Reclamation works?

1.11 Dredging?

1.12 Offshore structures?

1.13 Production and manufacturing processes?

1.14 Facilities for storage of goods or materials?

1.15 Facilities for treatment or disposal of solid

waste or liquid effluents?
1.16 Facilities for long term housing of
operational workers?
1.17 New road, rail or sea traffic during
construction or operation?

1.18 New road, rail, air waterborne or other

transport infrastructure including new or
altered routes and stations, ports, airports etc?

1.19 Closure or diversion of existing transport

routes or infrastructure leading to changes in
traffic
movements?

1.20 New or diverted transmission lines or

pipelines?
1.21 Impoundment, damming, culverting,
realignment or other changes to the
hydrology of watercourses or aquifers?
1.22 Stream crossings?

1.23 Abstraction or transfers of water form ground

or surface waters?
1.24 Changes in water bodies or the land surface
affecting drainage or run-off?

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1.25 Transport of personnel or materials for
construction, operation or decommissioning?
1.26 Long-term dismantling or decommissioning
or restoration works?
1.27 Ongoing activity during decommissioning
which could have an impact on the
environment?
1.28 Influx of people to an area in either
temporarily or permanently?
1.29 Introduction of alien species?

1.30 Loss of native species or genetic diversity?

1.31 Any other actions?

2. Use of Natural resources for construction or operation of the Project (such as land,
water, materials or energy, especially any resources which are non-renewable or in
short supply):

Details thereof (with

approximate quantities /rates,
S.No. Information/checklist confirmation Yes/No wherever possible) with source
of information data
2.1 Land especially undeveloped or agricultural
land (ha)

2.2 Water (expected source & competing users)

unit: KLD
2.3 Minerals (MT)

2.4 Construction material – stone, aggregates,

sand / soil (expected source – MT)
2.5 Forests and timber (source – MT)
2.6 Energy including electricity and fuels
(source, competing users) Unit: fuel (MT),
energy (MW)
2.7 Any other natural resources (use appropriate
standard units)

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3. Use, storage, transport, handling or production of substances or materials,
which could be harmful to human health or the environment or raise
concerns about actual or perceived risks to human health.

Details thereof (with

approximate
S.No. Information/Checklist confirmation Yes/No quantities/rates, wherever
possible) with source of
information data
3.1 Use of substances or materials, which are
hazardous (as per MSIHC rules) to human health or
the environment (flora, fauna, and
water supplies)
3.2 Changes in occurrence of disease or affect disease
vectors (e.g. insect or water borne diseases)

3.3 Affect the welfare of people e.g. by changing living

conditions?

3.4 Vulnerable groups of people who could be affected

by the project e.g. hospital patients, children, the
elderly etc.,
3.5 Any other causes

4. Production of solid wastes during construction or operation or

decommissioning (MT/month)

Details thereof (with

approximate
S.No. Information/Checklist confirmation Yes/No quantities/rates, wherever
possible) with source of
information data
4.1 Spoil, overburden or mine wastes

4.2 Municipal waste (domestic and or commercial

wastes)

4.3 Hazardous wastes (as per Hazardous Waste

Management Rules)

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4.4 Other industrial process wastes

4.5 Surplus product

4.6 Sewage sludge or other sludge from effluent

treatment

4.7 Construction or demolition wastes

4.8 Redundant machinery or equipment

4.9 Contaminated soils or other materials

4.10 Agricultural wastes

4.11 Other solid wastes

5. Release of pollutants or any hazardous, toxic or noxious substances to air

(Kg/hr)

Details thereof (with

approximate
S.No. Information/Checklist confirmation Yes/No quantities/rates, wherever
possible) with source of
information data
5.1 Emissions from combustion of fossil fuels from
stationary or mobile sources

5.2 Emissions from production processes

5.3 Emissions from materials handling including
storage or transport
5.4 Emissions from construction activities including
plant and equipment
5.5 Dust or odours from handling of materials
including construction materials, sewage and
waste

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5.6 Emissions from incineration of waste
5.7 Emissions from burning of waste in open air (e.g.
slash materials, construction debris)
5.8 Emissions from any other sources

6. Generation of Noise and Vibration, and Emissions of Light and Heat:

Yes/No Details thereof (with

approximate
quantities/rates, wherever
S.No. Information/Checklist confirmation possible) with source of
information data with
source of information
data
6.1 From operation of equipment e.g. engines,
ventilation plant, crushers

6.2 From industrial or similar processes

6.3 From construction or demolition

6.4 From blasting or piling

6.5 From construction or operational traffic

6.6 From lighting or cooling systems

6.7 From any other sources

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7. Risks of contamination of land or water from releases of pollutants into the

ground or into sewers, surface waters, groundwater, coastal waters or the sea:

Details thereof (with

approximate
S.No. Information/Checklist confirmation Yes/No quantities/rates, wherever
possible) with source of
information data
7.1 From handling, storage, use or spillage of
hazardous materials

7.2 From discharge of sewage or other effluents to

water or the land (expected mode and place of
discharge)

7.3 By deposition of pollutants emitted to air into the

land or into water

7.4 From any other sources

7.5 Is there a risk of long term build up of pollutants in

the environment from these sources?

8. Risk of accidents during construction or operation of the Project, which could

affect human health or the environment

Details thereof (with

approximate
S.No. Information/Checklist confirmation Yes/No quantities/rates, wherever
possible) with source of
information data

8.1 From explosions, spillages, fires etc from storage,

handling, use or production of hazardous
substances
8.2 From any other causes

8.3 Could the project be affected by natural disasters

causing environmental damage (e.g. floods,
earthquakes, landslides, cloudburst etc)?

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9. Factors which should be considered (such as consequential development) which

could lead to environmental effects or the potential for cumulative impacts with
other existing or planned activities in the locality

Details thereof (with

approximate
S. No. Information/Checklist confirmation Yes/No quantities/rates, wherever
possible) with source of
information data
9.1 Lead to development of supporting.
lities, ancillary development or development
stimulated by the project which could have
impact on the environment e.g.:

• Supporting infrastructure (roads, power supply,

waste or waste water treatment, etc.)

• housing development

• extractive industries

• supply industries

• other

9.2 Lead to after-use of the site, which could havean

impact on the environment
9.3 Set a precedent for later developments

9.4 Have cumulative effects due to proximity to other

existing or planned projects with similar effects

(III) Environmental Sensitivity

Aerial distance (within 15

S.No. Areas Name/ km.)
Identity Proposed project location
boundary

1 Areas protected under international conventions,

national or local legislation for their ecological,
landscape, cultural or other related value

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2 Areas which are important or sensitive for
ecological reasons - Wetlands, watercourses or
other water bodies, coastal zone, biospheres,
mountains, forests
3 Areas used by protected, important or sensitive
species of flora or fauna for breeding, nesting,
foraging, resting, over wintering, migration

4 Inland, coastal, marine or underground waters

5 State, National boundaries

6 Routes or facilities used by the public for access

to recreation or other tourist, pilgrim areas

7 Defence installations

8 Densely populated or built-up area

9 Areas occupied by sensitive man-made land uses

(hospitals, schools, places of worship, community
facilities)

10 Areas containing important, high quality or scarce

resources
(ground water resources, surface resources,
forestry, agriculture, fisheries, tourism, minerals)

11 Areas already subjected to pollution or

environmental damage. (those where existing legal
environmental standards are exceeded)
12 Areas susceptible to natural hazard which could
cause the project to present environmental
problems
(earthquakes, subsidence, landslides, erosion,
flooding
or extreme or adverse climatic conditions)

(IV). Proposed Terms of Reference for EIA studies

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APPENDIX II

(See paragraph 6)

FORM-1 A (only for construction projects listed under item 8 of the Schedule)
CHECK LIST OF ENVIRONMENTAL IMPACTS
(Project proponents are required to provide full information and wherever necessary
attach explanatory notes with the Form and submit along with proposed environmental
management plan & monitoring programme)

1. LAND ENVIRONMENT

(Attach panoramic view of the project site and the vicinity)

1.1. Will the existing landuse get significantly altered from the project that is not consistent
with the surroundings? (Proposed landuse must conform to the approved Master Plan /
Development Plan of the area. Change of landuse if any and the statutory approval from the
competent authority be submitted). Attach Maps of (i) site location, (ii) surrounding features
of the proposed site (within 500 meters) and (iii)the site (indicating levels & contours) to
appropriate scales. If not available attach only conceptual plans.
1.2. List out all the major project requirements in terms of the land area, built up area, water
consumption, power requirement, connectivity, community facilities, parking needs etc.
1.3. What are the likely impacts of the proposed activity on the existing facilities adjacent to
the proposed site? (Such as open spaces, community facilities, details of the existing landuse,
disturbance to the local ecology).
1.4. Will there be any significant land disturbance resulting in erosion, subsidence &
instability? (Details of soil type, slope analysis, vulnerability to subsidence, seismicity etc
may be given).
1.5. Will the proposal involve alteration of natural drainage systems? (Give details on a
contour map showing the natural drainage near the proposed project site)
1.6. What are the quantities of earthwork involved in the construction activity-cutting, filling,
reclamation etc. (Give details of the quantities of earthwork involved, transport of fill
materials from outside the site etc.)
1.7. Give details regarding water supply, waste handling etc during the construction period.
1.8. Will the low lying areas & wetlands get altered? (Provide details of how low lying and
wetlands are getting modified from the proposed activity)

1.9. Whether construction debris & waste during construction cause health hazard? (Give
quantities of various types of wastes generated during construction including the construction
labour and the means of disposal)

2. WATER ENVIRONMENT

2.1. Give the total quantity of water requirement for the proposed project with the breakup of
requirements for various uses. How will the water requirement met? State the sources &
quantities and furnish a water balance statement.

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2.2. What is the capacity (dependable flow or yield) of the proposed source of water?

2.3. What is the quality of water required, in case, the supply is not from a municipal source?
(Provide physical, chemical, biological characteristics with class of water quality)

2.4. How much of the water requirement can be met from the recycling of treated
wastewater? (Give the details of quantities, sources and usage)

2.5. Will there be diversion of water from other users? (Please assess the impacts of the
project on other existing uses and quantities of consumption)

2.6. What is the incremental pollution load from wastewater generated from the proposed
activity? (Give details of the quantities and composition of wastewater generated from the
proposed activity)

2.7. Give details of the water requirements met from water harvesting? Furnish details of the
facilities created.

2.8. What would be the impact of the land use changes occurring due to the proposed project
on the runoff characteristics (quantitative as well as qualitative) of the area in the post
construction phase on a long term basis? Would it aggravate the problems of flooding or
water logging in any way?

2.9. What are the impacts of the proposal on the ground water? (Will there be tapping of
ground water; give the details of ground water table, recharging capacity, and approvals
obtained from competent authority, if any)

2.10. What precautions/measures are taken to prevent the run-off from construction activities
polluting land & aquifers? (Give details of quantities and the measures taken to avoid the
adverse impacts)

2.11. How is the storm water from within the site managed?(State the provisions made to
avoid flooding of the area, details of the drainage facilities provided along with a site layout
indication contour levels)

2.12. Will the deployment of construction labourers particularly in the peak period lead to
unsanitary conditions around the project site (Justify with proper explanation)

2.13. What on-site facilities are provided for the collection, treatment & safe disposal of
sewage? (Give details of the quantities of wastewater generation, treatment capacities with
technology & facilities for recycling and disposal)

2.14. Give details of dual plumbing system if treated waste used is used for flushing of toilets
or any other use.

3. VEGETATION
3.1. Is there any threat of the project to the biodiversity? (Give a description of the local
ecosystem with it’s unique features, if any)

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3.2. Will the construction involve extensive clearing or modification of vegetation? (Provide
a detailed account of the trees & vegetation affected by the project)
3.3. What are the measures proposed to be taken to minimize the likely impacts on important
site features (Give details of proposal for tree plantation, landscaping, creation of water bodies
etc along with a layout plan to an appropriate scale)

4. FAUNA

4.1. Is there likely to be any displacement of fauna- both terrestrial and aquatic or creation of
barriers for their movement? Provide the details.
4.2. Any direct or indirect impacts on the avifauna of the area? Provide details.
4.3. Prescribe measures such as corridors, fish ladders etc to mitigate adverse impacts on fauna

5. AIR ENVIRONMENT

5.1. Will the project increase atmospheric concentration of gases & result in heat islands?
(Give details of background air quality levels with predicted values based on dispersion
models taking into account the increased traffic generation as a result of the proposed
constructions)
5.2. What are the impacts on generation of dust, smoke, odorous fumes or other hazardous
gases? Give details in relation to all the meteorological parameters.
5.3. Will the proposal create shortage of parking space for vehicles? Furnish details of the
present level of transport infrastructure and measures proposed for improvement including
the traffic management at the entry & exit to the project site.
5.4. Provide details of the movement patterns with internal roads, bicycle tracks, pedestrian
pathways, footpaths etc., with areas under each category.
5.5. Will there be significant increase in traffic noise & vibrations? Give details of the
sources and the measures proposed for mitigation of the above.
5.6. What will be the impact of DG sets & other equipment on noise levels & vibration in &
ambient air quality around the project site? Provide details.

6. AESTHETICS

6.1. Will the proposed constructions in any way result in the obstruction of a view, scenic
amenity or landscapes? Are these considerations taken into account by the proponents?
6.2. Will there be any adverse impacts from new constructions on the existing structures?
What are the considerations taken into account?
6.3. Whether there are any local considerations of urban form & urban design influencing the
design criteria? They may be explicitly spelt out.
6.4. Are there any anthropological or archaeological sites or artefacts nearby? State if any
other significant features in the vicinity of the proposed site have been considered.

7. SOCIO-ECONOMIC ASPECTS

7.1. Will the proposal result in any changes to the demographic structure of local
population? Provide the details.

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7.2. Give details of the existing social infrastructure around the proposed project.
7.3. Will the project cause adverse effects on local communities, disturbance to sacred sites or
other cultural values? What are the safeguards proposed?

8. BUILDING MATERIALS

8.1. May involve the use of building materials with high-embodied energy. Are the
construction materials produced with energy efficient processes? (Give details of energy
conservation measures in the selection of building materials and their energy efficiency)

8.2. Transport and handling of materials during construction may result in pollution, noise &
public nuisance. What measures are taken to minimize the impacts?

8.3. Are recycled materials used in roads and structures? State the extent of savings achieved?

8.4. Give details of the methods of collection, segregation & disposal of the garbage generated
during the operation phases of the project.

9. ENERGY CONSERVATION

9.1. Give details of the power requirements, source of supply, backup source etc. What is the
energy consumption assumed per square foot of built-up area? How have you tried to minimize
energy consumption?

9.2. What type of, and capacity of, power back-up to you plan to provide?

9.3. What are the characteristics of the glass you plan to use? Provide specifications of its
characteristics related to both short wave and long wave radiation?

9.4. What passive solar architectural features are being used in the building? Illustrate the
applications made in the proposed project.

9.5. Does the layout of streets & buildings maximise the potential for solar energy devices?
Have you considered the use of street lighting, emergency lighting and solar hot water systems
for use in the building complex? Substantiate with details.

9.6. Is shading effectively used to reduce cooling/heating loads? What principles have been
used to maximize the shading of Walls on the East and the West and the Roof? How much
energy saving has been effected?

9.7. Do the structures use energy-efficient space conditioning, lighting and mechanical
systems? Provide technical details. Provide details of the transformers and motor efficiencies,
lighting intensity and air-conditioning load assumptions? Are you using CFC and HCFC free
chillers? Provide specifications.

9.8. What are the likely effects of the building activity in altering the micro-climates? Provide
a self assessment on the likely impacts of the proposed construction on creation of heat island
& inversion effects?

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9.9. What are the thermal characteristics of the building envelope? (a) roof; (b) external walls;
and (c) fenestration? Give details of the material used and the U-values or the R values of the
individual components.

9.10. What precautions & safety measures are proposed against fire hazards? Furnish details of
emergency plans.

9.11. If you are using glass as wall material provides details and specifications including
emissivity and thermal characteristics.

9.12. What is the rate of air infiltration into the building? Provide details of how you are
mitigating the effects of infiltration.

9.13. To what extent the non-conventional energy technologies are utilised in the overall
energy consumption? Provide details of the renewable energy technologies used.

10. Environment Management Plan

The Environment Management Plan would consist of all mitigation measures for each item
wise activity to be undertaken during the construction, operation and the entire life cycle to
minimize adverse environmental impacts as a result of the activities of the project. It would
also delineate the environmental monitoring plan for compliance of various environmental
regulations. It will state the steps to be taken in case of emergency such as accidents at the site
including fire.

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APPENDIX III

(See paragraph 7

GENERIC STRUCTURE OF ENVIRONMENTAL IMPACT ASSESSENT DOCUMENT

S.NO EIA STRUCTURE CONTENTS

1. Introduction • Purpose of the report

• Identification of project & project proponent

• Brief description of nature, size, location of the project

and its importance to the country, region

• Scope of the study – details of regulatory scoping carried

out (As per Terms of Reference)

2. Project Description • Condensed description of those aspects of the project

(based on project feasibility study), likely to cause
environmental effects. Details should be provided to give
clear picture of the following:

• Type of project

• Need for the project

• Location (maps showing general location, specific

location, project boundary & project site layout)

• Size or magnitude of operation (incl. Associated

activities required by or for the project

• Proposed schedule for approval and implementation

• Technology and process description

• Project description. Including drawings showing project

layout, components of project etc. Schematic
representations of the feasibility drawings which give
information important for EIA purpose

• Description of mitigation measures incorporated into

the project to meet environmental standards, environmental
operating conditions, or other EIA requirements (as
required by the scope)

• Assessment of New & untested technology for the risk

of technological failure

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3. Description of the • Study area, period, components & methodology
Environment
• Establishment of baseline for valued environmental
components, as identified in the scope

• Base maps of all environmental components

4. Anticipated • Details of Investigated Environmental impacts due to

Environmental Impacts project location, possible accidents, project design, project
& construction, regular operations, final decommissioning or
Mitigation Measures rehabilitation of a completed project

• Measures for minimizing and / or offsetting adverse

impacts identified

• Irreversible and Irretrievable commitments of

environmental components

• Assessment of significance of impacts (Criteria for

determining significance, Assigning significance)

• Mitigation measures
5. Analysis of Alternatives • In case, the scoping exercise results in need for
(Technology alternatives:
& Site)
• Description of each alternative

• Summary of adverse impacts of each alternative

• Mitigation measures proposed for each alternative and

• Selection of alternative

6. Environmental • Technical aspects of monitoring the effectiveness of

Monitoring Program mitigation measures (incl. Measurement methodologies,
frequency, location, data analysis, reporting schedules,
emergency procedures, detailed budget & procurement
schedules)

7. Additional Studies • Public Consultation

• Risk assessment

• Social Impact Assessment. R&R Action Plans

8. Project Benefits • Improvements in the physical infrastructure

• Improvements in the social infrastructure
• Employment potential –skilled; semi-skilled and
unskilled
• Other tangible benefits

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9. Environmental Cost If recommended at the Scoping stage
Benefit Analysis
10. EMP • Description of the administrative aspects of ensuring
that mitigative measures are implemented and their
effectiveness monitored, after approval of the EIA
11 Summary & Conclusion • Overall justification for implementation of the project
(This will constitute the
summary of the EIA • Explanation of how, adverse effects have been
Report ) mitigated

12. Disclosure of • The names of the Consultants engaged with their

Consultants engaged brief resume and nature of Consultancy rendered

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APPENDIX III A
(See paragraph 7)

CONTENTS OF SUMMARY ENVIRONMENTAL IMPACT ASSESSMENT

The Summary EIA shall be a summary of the full EIA Report condensed to ten A-4
size pages at the maximum. It should necessarily cover in brief the following Chapters of the
full EIA Report: -

1. Project Description
2. Description of the Environment
3. Anticipated Environmental impacts and mitigation measures
4. Environmental Monitoring Programme
5. Additional Studies
6. Project Benefits
7. Environment Management Plan

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APPENDIX IV
(See paragraph 7)

PROCEDURE FOR CONDUCT OF PUBLIC HEARING

1.0 The Public Hearing shall be arranged in a systematic, time bound and
transparent manner ensuring widest possible public participation at the project site(s) or in its
close proximity District -wise, by the concerned State Pollution Control Board (SPCB) or the
Union Territory Pollution Control Committee (UTPCC).

2. 0 The Process:

2.1 The Applicant shall make a request through a simple letter to the Member
Secretary of the SPCB or Union Territory Pollution Control Committee, in whose
jurisdiction the project is located, to arrange the public hearing within the prescribed
statutory period. In case the project site is extending beyond a State or Union Territory, the
public hearing is mandated in each State or Union Territory in which the project is sited and
the Applicant shall make separate requests to each concerned SPCB or UTPCC for holding
the public hearing as per this procedure.

2.2 The Applicant shall enclose with the letter of request, at least 10 hard copies
and an equivalent number of soft (electronic) copies of the draft EIA Report with the generic
structure given in Appendix III including the Summary Environment Impact Assessment
report in English and in the local language, prepared strictly in accordance with the Terms of
Reference communicated after Scoping (Stage-2). Simultaneously the applicant shall arrange
to forward copies, one hard and one soft, of the above draft EIA Report along with the
Summary EIA report to the Ministry of Environment and Forests and to the following
authorities or offices, within whose jurisdiction the project will be located:

(a) District Magistrate/s

(b) Zila Parishad or Municipal Corporation
(c) District Industries Office
(d) Concerned Regional Office of the Ministry of Environment and Forests

2.3 On receiving the draft Environmental Impact Assessment report, the above-
mentioned authorities except the MoEF, shall arrange to widely publicize it within their
respective jurisdictions requesting the interested persons to send their comments to the
concerned regulatory authorities. They shall also make available the draft EIA Report for
inspection electronically or otherwise to the public during normal office hours till the Public
Hearing is over. The Ministry of Environment and Forests shall promptly display the
Summary of the draft Environmental Impact Assessment report on its website, and also make
the full draft EIA available for reference at a notified place during normal office hours in the
Ministry at Delhi.

2.4 The SPCB or UTPCC concerned shall also make similar arrangements for
giving publicity about the project within the State/Union Territory and make available the
Summary of the draft Environmental Impact Assessment report (Appendix III A) for
inspection in select offices or public libraries or panchayats etc. They shall also additionally

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make available a copy of the draft Environmental Impact Assessment report to the above
five authorities/offices viz, Ministry of Environment and Forests, District Magistrate etc.

3.0 Notice of Public Hearing:

3.1 The Member-Secretary of the concerned SPCB or UTPCC shall finalize the date,
time and exact venue for the conduct of public hearing within 7(seven) days of the date of
receipt of the draft Environmental Impact Assessment report from the project proponent, and
advertise the same in one major National Daily and one Regional vernacular Daily. A
minimum notice period of 30(thirty) days shall be provided to the public for furnishing their
responses;

3.2 The advertisement shall also inform the public about the places or offices where
the public could access the draft Environmental Impact Assessment report and the Summary
Environmental Impact Assessment report before the public hearing.

3.3 No postponement of the date, time, venue of the public hearing shall be undertaken,
unless some untoward emergency situation occurs and only on the recommendation of the
concerned District Magistrate the postponement shall be notified to the public through the
same National and Regional vernacular dailies and also prominently displayed at all the
identified offices by the concerned SPCB or Union Territory Pollution Control Committee;

3.4 In the above exceptional circumstances fresh date, time and venue for the public
consultation shall be decided by the Member –Secretary of the concerned SPCB or UTPCC
only in consultation with the District Magistrate and notified afresh as per procedure under
3.1 above.

4.0 The Panel

4.1 The District Magistrate or his or her representative not below the rank of an
Additional District Magistrate assisted by a representative of SPCB or UTPCC, shall
supervise and preside over the entire public hearing process.

5.0 Videography

5.1 The SPCB or UTPCC shall arrange to video film the entire proceedings. A copy
of the videotape or a CD shall be enclosed with the public hearing proceedings while
forwarding it to the Regulatory Authority concerned.

6.0 Proceedings
6.1 The attendance of all those who are present at the venue shall be noted and
annexed with the final proceedings.

6.2 There shall be no quorum required for attendance for starting the proceedings.

6.3 A representative of the applicant shall initiate the proceedings with a presentation
on the project and the Summary EIA report.

6.4 Every person present at the venue shall be granted the opportunity to seek
information or clarifications on the project from the Applicant. The summary of the public

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hearing proceedings accurately reflecting all the views and concerns expressed shall be
recorded by the representative of the SPCB or UTPCC and read over to the audience at the
end of the proceedings explaining the contents in the vernacular language and the agreed
minutes shall be signed by the District Magistrate or his or her representative on the same
day and forwarded to the SPCB/UTPCC concerned.

6.5 A Statement of the issues raised by the public and the comments of the Applicant
shall also be prepared in the local language and in English and annexed to the proceedings:

6.6 The proceedings of the public hearing shall be conspicuously displayed at the
office of the Panchyats within whose jurisdiction the project is located, office of the
concerned Zila Parishad, District Magistrate ,and the SPCB or UTPCC . The SPCB or
UTPCC shall also display the proceedings on its website for general information. Comments,
if any, on the proceedings which may be sent directly to the concerned regulatory authorities
and the Applicant concerned.

7.0 Time period for completion of public hearing

7.1 The public hearing shall be completed within a period of 45 (forty five) days from
date of receipt of the request letter from the Applicant. Therefore the SPCB or UTPCC
concerned shall sent the public hearing proceedings to the concerned regulatory authority
within 8(eight) days of the completion of the public hearing .The applicant may also
directly forward a copy of the approved public hearing proceedings to the regulatory
authority concerned along with the final Environmental Impact Assessment report or
supplementary report to the draft EIA report prepared after the public hearing and public
consultations.
7.2 If the SPCB or UTPCC fails to hold the public hearing within the stipulated
45(forty five) days, the Central Government in Ministry of Environment and Forests for
Category ‘A’ project or activity and the State Government or Union Territory Administration
for Category ‘B’ project or activity at the request of the SEIAA, shall engage any other
agency or authority to complete the process, as per procedure laid down in this notification.

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APPENDIX –V
(See paragraph 7)

PROCEDURE PRESCRIBED FOR APPRAISAL

1. The applicant shall apply to the concerned regulatory authority through a simple
communication enclosing the following documents where public consultations are
mandatory: -
• Final Environment Impact Assessment Report [20(twenty) hard copies and 1 (one)
soft copy)]
• A copy of the video tape or CD of the public hearing proceedings
• A copy of final layout plan (20 copies)
• A copy of the project feasibility report (1 copy)
2. The Final EIA Report and the other relevant documents submitted by the applicant
shall be scrutinized in office within 30 days from the date of its receipt by the concerned
Regulatory Authority strictly with reference to the TOR and the inadequacies noted shall
be communicated electronically or otherwise in a single set to the Members of the EAC
/SEAC enclosing a copy each of the Final EIA Report including the public hearing
proceedings and other public responses received along with a copy of Form -1or Form
1A and scheduled date of the EAC /SEAC meeting for considering the proposal .
3. Where a public consultation is not mandatory and therefore a formal EIA study is
not required, the appraisal shall be made on the basis of the prescribed application Form 1
and a pre-feasibility report in the case of all projects and activities other than Item 8 of
the Schedule .In the case of Item 8 of the Schedule, considering its unique project cycle ,
the EAC or SEAC concerned shall appraise all Category B projects or activities on the
basis of Form 1, Form 1A and the conceptual plan and stipulate the conditions for
environmental clearance . As and when the applicant submits the approved scheme
/building plans complying with the stipulated environmental clearance conditions with all
other necessary statutory approvals, the EAC /SEAC shall recommend the grant of
environmental clearance to the competent authority.
4. Every application shall be placed before the EAC /SEAC and its appraisal completed
within 60 days of its receipt with requisite documents / details in the prescribed manner.
5. The applicant shall be informed at least 15 (fifteen) days prior to the scheduled date of
the EAC /SEAC meeting for considering the project proposal.
6. The minutes of the EAC /SEAC meeting shall be finalised within 5 working days of
the meeting and displayed on the website of the concerned regulatory authority. In case
the project or activity is recommended for grant of EC, then the minutes shall clearly list
out the specific environmental safeguards and conditions. In case the recommendations
are for rejection, the reasons for the same shall also be explicitly stated.
.

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APPENDIX VI
(See paragraph 5)
COMPOSITION OF THE SECTOR/ PROJECT SPECIFIC EXPERT APPRAISAL
COMMITTEE (EAC) FOR CATEGORY A PROJECTS AND THE STATE/UT LEVEL
EXPERT APPRAISAL COMMITTEES (SEACs) FOR CATEGORY B PROJECTS TO
BE CONSTITUTED BY THE CENTRAL GOVERNMENT `

1. The Expert Appraisal Committees (EAC(s) and the State/UT Level Expert Appraisal
Committees (SEACs) shall consist of only professionals and experts fulfilling the following
eligibility criteria:

Professional: The person should have at least (i) 5 years of formal University training in the
concerned discipline leading to a MA/MSc Degree, or (ii) in case of Engineering
/Technology/Architecture disciplines, 4 years formal training in a professional training course
together with prescribed practical training in the field leading to a B.Tech/B.E./B.Arch. Degree,
or (iii) Other professional degree (e.g. Law) involving a total of 5 years of formal University
training and prescribed practical training, or (iv) Prescribed apprenticeship/article ship and pass
examinations conducted by the concerned professional association (e.g. Chartered Accountancy
),or (v) a University degree , followed by 2 years of formal training in a University or Service
Academy (e.g. MBA/IAS/IFS). In selecting the individual professionals, experience gained by
them in their respective fields will be taken note of.
Expert: A professional fulfilling the above eligibility criteria with at least 15 years of relevant
experience in the field, or with an advanced degree (e.g. Ph.D.) in a concerned field and at least
10 years of relevant experience.
Age: Below 70 years. However, in the event of the non-availability of /paucity of experts in a
given field, the maximum age of a member of the Expert Appraisal Committee may be allowed
up to 75 years

2. The Members of the EAC shall be Experts with the requisite expertise and experience in the
following fields /disciplines. In the event that persons fulfilling the criteria of “Experts” are not
available, Professionals in the same field with sufficient experience may be considered:

• Environment Quality Experts: Experts in measurement/monitoring, analysis and

interpretation of data in relation to environmental quality

• Sectoral Experts in Project Management: Experts in Project Management or

Management of Process/Operations/Facilities in the relevant sectors.

• Environmental Impact Assessment Process Experts: Experts in conducting and

carrying out Environmental Impact Assessments (EIAs) and preparation of Environmental
Management Plans (EMPs) and other Management plans and who have wide expertise and
knowledge of predictive techniques and tools used in the EIA process

• Risk Assessment Experts

• Life Science Experts in floral and faunal management

• Forestry and Wildlife Experts

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• Environmental Economics Expert with experience in project appraisal

3. The Membership of the EAC shall not exceed 15 (fifteen) regular Members. However
the Chairperson may co-opt an expert as a Member in a relevant field for a particular meeting
of the Committee.

4. The Chairperson shall be an outstanding and experienced environmental policy expert

or expert in management or public administration with wide experience in the relevant
development sector.

5. The Chairperson shall nominate one of the Members as the Vice Chairperson who shall
preside over the EAC in the absence of the Chairman /Chairperson.

6. A representative of the Ministry of Environment and Forests shall assist the Committee
as its Secretary.

7. The maximum tenure of a Member, including Chairperson, shall be for 2 (two) terms of 3
(three) years each.

8. The Chairman / Members may not be removed prior to expiry of the tenure without cause
and proper enquiry.

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 ANNEXURE P/5
130

NATIONAL ACTION PLAN ON CLIMATE CHANGE

GOVERNMENT OF INDIA

PRIME MINISTER'S COUNCIL ON CLIMATE CHANGE

 131

CONTENTS

1 Overview
2 Principles
3 Approach
4 Way Forward: Eight National Missions
•National Solar Mission
•National Mission for Enhanced Energy Efficiency
•National Mission on Sustainable Habitat
•National Water Mission
•National Mission for Sustaining the Himalayan
Ecosystem
•National Mission for a "Green India"
•National Mission for Sustainable Agriculture
•National Mission on Strategic Knowledge for
Climate Change
5 Im ple me nt a tion of Mi ss ions : Ins tit ution a l
Arrangements for Managing Climate Change
Agenda
6 Technical Document
 132
National Action Plan on Climate Change

1. Overview prosperous, but not wasteful society, an economy that is

self-sustaining in terms of its ability to unleash the
India is faced with the challenge of sustaining its creative energies of our people and is mindful of our
rapid economic growth while dealing with the global responsibilities to both present and future genera-
threat of climate change. This threat emanates from tions.
accumulated greenhouse gas emissions in the Recognizing that climate change is a global
atmosphere, anthropogenically generated through challenge, India will engage actively in multilateral
long-term and intensive industrial growth and high negotiations in the UN Framework Convention on
consumption lifestyles in developed countries. While Climate Change, in a positive, constructive and for-
engaged with the international community to collec- ward-looking manner. Our objective will be to
tively and cooperatively deal with this threat, India establish an effective, cooperative and equitable
needs a national strategy to firstly, adapt to climate global approach based on the principle of common
change and secondly, to further enhance the ecolog- but differentiated responsibilites and respective
ical sustainability of India's development path. capabilities, enshrined in the United Nations
Climate change may alter the distribution Framework Convention on Climate Change
and quality of India's natural resources and adversely (UNFCCC). Such an approach must be based on a
affect the livelihood of its people. With an economy global vision inspired by Mahatma Gandhi's wise dictum
closely tied to its natural resource base and climate- —The earth has enough resources to meet people's
sensitive sectors such as agriculture, water and needs, but will never have enough to satisfy people's
forestry, India may face a major threat because of the greed. Thus we must not only promote sustainable
projected changes in climate. production processes, but equally, sustainable
India's development path is based on its lifestyles across the globe.
unique resource endowments, the overriding priority Finally, our approach must also be compatible
of economic and social development and poverty with our role as a responsible and enlightened
eradication, and its adherence to its civilizational member of the international community, ready to
legacy that places a high value on the environment make our contribution to the solution of a global
and the maintenance of ecological balance. challenge, which impacts on humanity as a whole.
In charting out a developmental pathway The success of our national efforts would be signifi-
which is ecologically sustainable, India has a wider cantly enhanced provided the developed countries
spectrum of choices precisely because it is at an
earlystage of development. Our vision is to create a

NATIONAL ACTION PLAN ON CLIMATE CHANGE • 3

 133
affirm their responsibility for accumulated green- sustainable development.
house gas emissions and fulfill their commitments
under the UNFCCC, to transfer new and additional • Effecting implementation of programmes through
financial resources and climate friendly technologies unique linkages, including with civil society and
to support both adaptation and mitigation in devel- local government institutions and through public-
oping countries. private-pa rtnersh i p.
We are convinced that the principle of equi-
ty that must underlie the global approach must allow • Welcoming international cooperation for research,
each inhabitant of the earth an equal entitlement to development, sharing and transfer of technologies
the global atmospheric resource. enabled by additional funding and a global IPR
In this connection, India is determined that regime that facilitates technology transfer to
its per capita greenhouse gas emissions will at no developing countries under the UNFCCC.
point exceed that of developed countries even as we
pursue our development objectives.

3. Approach

2. Principles The NAPCC addresses the urgent and critical concerns

of the country through a directional shift in the
Maintaining a high growth rate is essential for development pathway, including through the
increasing living standards of the vast majority of our enhancement of the current and planned pro-
people and reducing their vulnerability to the grammes presented in the Technical Document.
impacts of climate change. In order to achieve a sus- The National Action Plan on Climate Change
tainable development path that simultaneously identifies measures that promote our development
advances economic and environmental objectives, objectives while also yielding co-benefits for address-
the National Action Plan for Climate Change ing climate change effectively. It outlines a number
(NAPCC) will be guided by the following principles: of steps to simultaneously advance India's develop-
ment and climate change-related objectives of adap-
• Protecting the poor and vulnerable sections of tation and mitigation.
society through an inclusive and sustainable devel-
opment strategy, sensitive to climate change.

• Achieving national growth objectives through a 4. The Way Forward:

qualitative change in direction that enhances eco- Eight National Missions
logical sustainability, leading to further mitigation
of greenhouse gas emissions. In dealing with the challenge of climate change we
must act on several fronts in a focused manner simul-
• Devising efficient and cost-effective strategies for taneously. The National Action Plan hinges on the
end use Demand Side Management. development and use of new technologies. The
implementation of the Plan would be through
• Deploying appropriate technologies for both appropriate institutional mechanisms suited for
adaptation and mitigation of greenhouse gases e- effective delivery of each individual Mission's objec-
missions extensively as well as at an accelerated tives and include public private partnerships and civil
pace. society action. The focus will be on promoting
understanding of climate change, adaptation and
• Engineering new and innovative forms of market, mitigation, energy efficiency and natural resource
regulatory and voluntary mechanisms to promote conservation.

4 • NATIONAL ACTION PLAN ON CLIMATE CHANGE

 134
There are Eight National Missions which would result in a saving of 10,000 MW by the end of
form the core of the National Action Plan, represent- 11th Five Year Plan in 2012.
ing multi-pronged, long-term and integrated strate- To enhance energy efficiency, four new ini-
gies for achieving key goals in the context of climate tiatives will be put in place. These are:
change. While several of these programmes are
already part of our current actions, they may need a •A market based mechanism to enhance cost effec-
change in direction, enhancement of scope and tiveness of improvements in energy efficiency in
effectiveness and accelerated implementation of energy-intensive large industries and facilities,
time-bound plans. through certification of energy savings that could be
traded.
•Accelerating the shift to energy efficient
4.1. National Solar Mission appliances in designated sectors through
innovative measures to make the products more
affordable.
A National Solar Mission will be launched to signifi-
cantly increase the share of solar energy in the total •Creation of mechanisms that would help finance
energy mix while recognizing the need to expand demand side management programmes in all
the scope of other renewable and non-fossil options sectors by capturing future energy savings.
such as nuclear energy, wind energy and biomass. •Developing fiscal instruments to promote energy
India is a tropical country, where sunshine is efficiency
available for longer hours per day and in great inten-
sity. Solar energy, therefore, has great potential as
future energy source. It also has the advantage of 4.3. National Mission on Sustainable Habitat
permitting a decentralized distribution of energy,
thereby empowering people at the grassroots level. A National Mission on Sustainable Habitat will be
Photovoltaic cells are becoming cheaper with new launched to make habitat sustainable through
technology. There are newer, reflector-based tech- improvements in energy efficiency in buildings, man-
nologies that could enable setting up megawatt agement of solid waste and modal shift to public
scale solar power plants across the country. Another transport. The Mission will promote energy efficiency
aspect of the Solar Mission would be to launch a as an integral component of urban planning and urban
major R&D programme, which could draw upon renewal through three initiatives.
international cooperation as well, to enable the cre-
ation of more affordable, more convenient solar i.The Energy Conservation Building Code, which
power systems, and to promote innovations that addresses the design of new and large commercial
enable the storage of solar power for sustained, buildings to optimize their energy demand, will be
long-term use. extended in its application and incentives provided for
retooling existing building stock.

4.2. National Mission for Enhanced ii.Recycling of material and Urban Waste Management
Energy Efficiency will be a major component of ecologically sustainable
economic development. India already has a
The Energy Conservation Act of 2001 provides a legal significantly higher rate of recycling of waste
mandate for the implementation of the energy effi- compared to developed countries. A special area of
ciency measures through the institutional mecha- focus will be the development of technology for
nism of the Bureau of Energy Efficiency (BEE) in the producing power from waste. The National Mission
Central Government and designated agencies in will include a major R&D programme, focusing on bio
each state. A number of schemes and programmes chemical conversion, waste water use, sewage
have been initiated and it is anticipated that these utilization and recycling options wherever possible.

NATIONAL ACTION PLAN ON CLIMATE CHANGE • 5

 135
special effort to increase storage capacity. Incentive
iii. Better urban planning and modal shift to structures will be designed to promote water-neutral or
public transport. Making long term transport plans water-positive technologies, recharging of under-
will facilitate the growth of medium and small cities ground water sources and adoption of large scale
in ways that ensure efficient and convenient public irrigation programmes which rely on sprinklers, drip
transport. irrigation and ridge and furrow irrigation.

In addition, the Mission will address the need to 4.5. National Mission for Sustaining the
adapt to future climate change by improving the Himalayan Ecosystem
resilience of infrastructure, community based disas-
ter management, and measures for improving the A Mission for sustaining the Himalayan Ecosystem
warning system for extreme weather events. will be launched to evolve management measures
Capacity building would be an important component for sustaining and safeguarding the Himalayan glacier
of this Mission. and mountain eco-system. Himalayas, being the source
of key perennial rivers, the Mission would, inter-alia,
seek to understand, whether and the extent to
4.4. National Water Mission which, the Himalayan glaciers are in recession and
how the problem could be addressed. This will
A National Water Mission will be mounted to ensure require the joint effort of climatologists, glaciologists
integrated water resource management helping to and other experts. We will need to exchange
conserve water, minimize wastage and ensure more information with the South Asian countries and
equitable distribution both across and within states. countries sharing the Himalayan ecology.
The Mission will take into account the provisions of An observational and monitoring network
the National Water Policy and develop a framework for the Himalayan environment will also be estab-
to optimize water use by increasing water use effi- lished to assess freshwater resources and health of
ciency by 20% through regulatory mechanisms with the ecosystem. Cooperation with neighbouring
differential entitlements and pricing. It will seek to countries will be sought to make the network com-
ensure that a considerable share of the water needs prehensive in its coverage.
of urban areas are met through recycling of waste
The Himalayan ecosystem has 51 million people
water, and ensuring that the water requirements of
who practice hill agriculture and whose vulnerability
coastal cities with inadequate alternative sources of
is expected to increase on account of climate change.
water are met through adoption of new and appro-
Community-based management of these ecosystems
priate technologies such as low temperature desali-
will be promoted with incentives to community
nation technologies that allow for the use of ocean
organizations and panchayats for protection and
water.
enhancement of forested lands. In mountainous
The National Water Policy would be regions, the aim will be to maintain two-thirds of the
revisited in consultation with states to ensure basin area under forest cover in order to prevent erosion
level management strategies to deal with variability and land degradation and ensure the stability of the
in rainfall and river flows due to climate change. fragile eco-system.
This will include enhanced storage both above and
below ground, rainwater harvesting, coupled with
equitable and efficient management structures. 4.6. National Mission for a Green India
The Mission will seek to develop new regula-
tory structures, combined with appropriate entitle- A National Mission will be launched to enhance eco-
ments and pricing. It will seek to optimize the effi- system services including carbon sinks to be called
ciency of existing irrigation systems, including reha- Green India. Forests play an indispensable role in the
bilitation of systems that have been run down
andalso expand irrigation, where feasible, with a

6 • NATIONAL ACTION PLAN ON CLIMATE CHANGE

 136
preservation of ecological balance and maintenance 4.8. Natinal Mission on Strategic Knowledge
of bio-diversity. Forests also constitute one of the for Climate Change
most effective carbon-sinks.
The Prime Minister has already announced a To enlist the global community in research and tech-
Green India campaign for the afforestation of 6 mil- nology development and collaboration through
lion hectares. The national target of area under forest mechanisms including open source platforms, a
and tree cover is 33% while the current area under Strategic Knowledge Mission will be set up to identify
forests is 23%. the challenges of, and the responses to, climate
The Mission on Green India will be taken up change. It would ensure funding of high quality and
on degraded forest land through direct action by focused research into various aspects of climate
communities, organized through Joint Forest change.
Management Committees and guided by the The Mission will also have, on its research
Departments of Forest in state governments. An ini- agenda, socio-economic impacts of climate change
tial corpus of over Rs 6000 crore has been earmarked including impact on health, demography, migration
for the programme through the Compensatory patterns and livelihoods of coastal communities. It
Afforestaion Management and Planning Authority would also support the establishment of dedicated
(CAMPA) to commence work. The programme will climate change related academic units in Universities
be scaled up to cover all remaining degraded forest and other academic and scientific research institu-
land. The institutional arrangement provides for tions in the country which would be networked. A
using the corpus to leverage more funds to scale up Climate Science Research Fund would be created
activity. under the Mission to support research. Private sector
initiatives for development of innovative technologies
for adaptation and mitigation would be encouraged
4.7. National Mission for Sustainable through venture capital funds. Research to support
Agriculture policy and implementation would be undertaken
through identified centres. The Mission will also
The Mission would devise strategies to make Indian focus on dissemination of new knowledge based on
agriculture more resilient to climate change. It research findings.
would identify and develop new varieties of crops
and especially thermal resistant crops and alternative
cropping patterns, capable of withstanding extremes
of weather, long dry spells, flooding, and variable 5. Implementation of Missions
moisture availability.
Agriculture will need to be progressively These National Missions will be institutionalized by
adapted to projected climate change and our agri- respective ministries and will be organized through
cultural research systems must be oriented to moni- inter-sectoral groups which include in addition to
tor and evaluate climate change and recommend related Ministries, Ministry of Finance and the
changes in agricultural practices accordingly. Planning Commission, experts from industry, acade-
This will be supported by the convergence mia and civil society. The institutional structure
and integration of traditional knowledge and practice would vary depending on the task to be addressed
systems, information technology, geospatial by the Mission and will include providing the oppor-
technologies and biotechnology. New credit and tunity to compete on the best management model.
insurance mechanisms will be devised to facilitate Each Mission will be tasked to evolve specific
adoption of desired practices. objectives spanning the remaining years of the
Focus would be on improving productivity of
rainfed agriculture. India will spearhead efforts at
the international level to work towards an ecologi-
cally sustainable green revolution.

NATIONAL ACTION PLAN ON CLIMATE CHANGE • 7

 137
11th Plan and the 12th Plan period 2012-13 to 2016- also, importantly, launch the economy on a path that
17. Where the resource requirements of the Mission would progressively and substantially result in miti-
call for an enhancement of the allocation in the 11th gation through avoided emissions.
Plan, this will be suitably considered, keeping in
mind the overall resources position and the scope for
re-prioritisation. 5.1. Institutional Arrangements for
Comprehensive Mission documents detailing Managing Climate Change Agenda
objectives, strategies, plan of action, timelines and
monitoring and evaluation criteria would be devel- In order to respond effectively to the challenge of cli-
oped and submitted to the Prime Minister's Council mate change, the Government has created an
on Climate Change by December 2008. The Council Advisory Council on Climate Change, chaired by the
will also periodically review the progress of these Prime Minister. The Council has broad based repre-
Missions. Each Mission will report publicly on its sentation from key stake-holders, including
annual performance. Government, Industry and Civil Society and sets out
Building public awareness will be vital in broad directions for National Actions in respect of
supporting implementation of the NAPCC. This will Climate Change. The Council will also provide guidance
be achieved through national portals, media on matters relating to coordinated national action
engagement, civil society involvement, curricula on the domestic agenda and review of the
reform and recognition/ awards, details of which will implementation of the National Action Plan on
be worked out by an empowered group. The Group Climate Change including its R&D agenda.
will also consider methods of capacity building to The Council chaired by the Prime Minister
support the goals of the National Missions. would also provide guidance on matters relating to
We will develop appropriate technologies to international negotiations including bilateral, multi-
measure progress in actions being taken in terms of lateral programmes for collaboration, research and
avoided emissions, wherever applicable, with refer- development. Details of the institutional arrange-
ence to business as usual scenarios. Appropriate indi- ment are at Annexure 1.
cators will be evolved for assessing adaptation bene- The NAPCC will continue to evolve, based on
fits of the actions. new scientific and technical knowledge as they
emerge and in response to the evolution of the mul-
These Eight National Missions, taken together, with tilateral climate change regime including arrange-
enhancements in current and ongoing programmes ments for international cooperation.
included in the Technical Document, would not only
assist the country to adapt to climate change, but

8 • NATIONAL ACTION PLAN ON CLIMATE CHANGE

 138
Annexure - I

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NATIONAL ACTION PLAN ON CLIMATE CHANGE • 9

 139
TECHNICAL DOCUMENT

GRAPH AT PAGE 39 OF THE REPORT

 140

CONTENTS

1 Background to India's National Action Plan on Climate Change

2 Some Current Programmes on Adaptation and Mitigation
3 Way Forward: Eight National Missions
3.1 National Solar Mission
3.2 National Mission for Enhanced Energy Efficiency
3.3 National Mission on Sustainable Habitat
3.4 National Water Mission
3.5 National Mission for Sustaining the Himalayan Ecosystem
3.6 National Mission for a Green India
3.7 National Mission for Sustainable Agriculture
3.8 National Mission on Strategic Knowledge for Climate Change
4 Other Initiatives
5 International Cooperation
6 References
 141
1. Background to India's National Action cangenerate the required financial, technological and
Plan on Climate Change human resources. In view of the large uncertainties
concerning the spatial and temporal magnitude of
The Fourth Assessment report of the climate change impacts, it is not desirable to design
Intergovernmental Panel on Climate Change (IPCC- strategies exclusively for responding to climate
AR4)1 concluded from direct observations of change. Rather, the need is to identify and prioritize
changes in temperature, sea level, and snow cover in strategies that promote development goals while
the northern hemisphere during 1850 to the also serving specific climate change objectives.
present, that the warming of the earth's climate It is imperative to identify measures that pro-
system is unequivocal. The global atmospheric mote our development objectives, while also yielding
concentration of carbon dioxide has increased from a co-benefits for addressing climate change effects.
pre-industrial value of about 280 ppm to 379 ppm in Cost- effective energy efficiency and energy
2005. Multi-model averages show that the conservation measures are of particular importance
temperature increases during 2090-2099 relative to in this connection. Similarly, development of clean
1980-1999 may range from 1.1 to 6.4°C and sea level energy technologies, though primarily designed to
rise from 0.18 to 0.59 meters. These could lead to promote energy security, can also generate large
impacts on freshwater availability, oceanic benefits in terms of reducing carbon emissions. Many
acidification, food production, flooding of coastal health — related local pollution controls can also gen-
areas and increased burden of vector borne and erate significant co-benefits in terms of reduced
water borne diseases associated with extreme greenhouse gas emissions. This document identifies
weather events.. specific opportunities to simultaneously advance
The Prime Minister's Council on Climate India's development and climate related objectives
Change, in its first meeting on 13th July, 2007, had of adaptation and GHG mitigation.
decided that "A National Document compiling It also describes India's willingness and
action taken by India for addressing the challenge of desire, as a responsible member of the global com-
Climate Change, and the action it proposes to take" munity, to do all that is possible for pragmatic and
be prepared. practical solutions for all, in accordance with the
The National Action Plan for Climate Change principle of common but differentiated responsibilities
responds to the decision of the PM's Council, as well and respective capabilities. The purpose of this
as updates India's national programmes relevant to document is also to create awareness among repre-
addressing climate change. It identifies measures sentatives of the public at large, different agencies
that promote our development objectives, while also of the government, scientists, industry — in short, the
yielding co-benefits for addressing climate change community as a whole — on the threat posed by cli-
effectively. It lists specific opportunities to simultane- mate change and the proposed steps to counter it.
ously advance India's development and climate related
objectives of both adaptation as well as greenhouse
gas (GHG) mitigation. 1.1. The Imperative of Poverty Alleviation
India's development agenda focuses on the
need for rapid economic growth as an essential pre- Economic reforms, implemented since 1991, have
condition to poverty eradication and improved stan- resulted in faster growth of the Indian economy. GDP
dards of living. Meeting this agenda, which will also growth rates have averaged roughly 8% during
reduce climate —related vulnerability, requires large- 2004-2008. However, 27.5% of the population still
scale investment of resources in infrastructure, tech- lived below the poverty line in 2004-05 and 44% are
nology and access to energy. Developing countries still without access to electricity. The Approach Paper
may lack the necessary financial and technological to the Eleventh Plan emphasizes that rapid econom-
resources needed for this and thus have very low ic growth is an essential prerequisite to reduce
coping capacity to meet threats from climate poverty. The poor are the most vulnerable to climate
changes. Only rapid and sustained development
 142
change. The former Prime Minister, late Smt. Indira 1.3 Current Carbon Dioxide Emissions in India
Gandhi, had stated: 'poverty is the worst polluter'.
Therefore, development and poverty eradication India's CO2 emissions per capita are well below the
will be the best form of adaptation to climate world's average2. Per capita carbon dioxide emis-
change. sions of some regions in the world in 2004 are as fol-
The impacts of climate change could prove lows:
particularly severe for women. With climate change,
there would be increasing scarcity of water, reduc- Table 1.3.1: A comparison of India's per capita GHG emissions
tion in yields of forest biomass, and increased risks to with some other countries
human health with children, women and the elderly Country Per-Capita Carbon-dioxide
in a household becoming the most vulnerable. With emissions (metric tons)
the possibility of decline in availability of foodgrains,
the threat of malnutrition may also increase. All USA 20.01
these would add to deprivations that women already EU 9.40
encounter and so in each of the Adaptation pro- Japan 9.87
grammes, special attention should be paid to the China 3.60
aspects of gender. Russia 11.71
India 1.02
World Average 4.25
1.2 Relationship between Human Development
Index and Energy Consumption India has a well-developed policy, legislative, regula-
tory, and programmatic regime for promotion of
The strong positive correlation between energy use energy efficiency, renewable energy, nuclear power,
and human development is well recognized (Figure fuel switching, energy pricing reform, and addressing
1.2.1). It is obvious that India needs to substantially GHG emissions in the energy sector. As a consequence
increase its per capita energy consumption to provide of these measures, India's energy intensity of the
a minimally acceptable level of well being to its economy has come down sharply since the 1980s and
people. compares favourably with the least energy intensive
developed countries3.
Figure 1.2.1: Human Development Index versus per capita
electricity consumption

Figure 1.3.2: India's Energy intensity of GDP based on

International Energy Agency data4
1.0
;0 1 , 0.9
0 Energy intensity of GDP (kgoel$ 2000 PPP)
0.8
1
2 0.7 0.31 -
0.6
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0
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=0.3 (..0
Ref: Human Development Report )2006)
0.21 -
Published for the United Nations cn
Development Programme (UNDP)
0.2
100 1000 10000
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0.19 -
e `,2 0.17 - N
I- 0.15
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Per Capita Electricity Consumption in kWh/year LC1
rn rn rn 00 0 0 0
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NATIONAL ACTION PLAN ON CLIMATE CHANGE • 13

 143
1.4. Observed Changes in Climate and and (ii) a significant decrease in the frequency of
Weather Events in India moderate events over central India from 1951 to
2000.
There are some observed changes in climate param-
eters in India. India's Initial National Communication, •Rise in Sea Level
2004 (NATCOM 1)5 to UNFCCC has consolidated Using the records of coastal tide gauges in the north
some of these. Some highlights from NATCOM I and Indian Ocean for more than 40 years, Unnikrishnan
others are listed here. No firm link between the doc- and Shankar7 have estimated, that sea level rise was
umented changes described below and warming due between 1.06-1.75 mm per year. These rates are con-
to anthropogenic climate change has yet been estab- sistent with 1-2 mm per year global sea level rise esti-
lished. mates of IPCC.

•Surface Temperature •Impacts on Himalayan Glaciers

At the national level, increase of — 0.4° C has been The Himalayas possess one of the largest resources of
observed in surface air temperatures over the past snow and ice and its glaciers form a source of water
century. A warming trend has been observed along for the perennial rivers such as the Indus, the Ganga,
the west coast, in central India, the interior peninsu- and the Brahmaputra. Glacial melt may impact their
la, and north-eastern India. However, cooling trends long-term lean-season flows, with adverse impacts
have been observed in north-west India and parts of on the economy in terms of water availability and
south India. hydropower generation.

•Rainfall The available monitoring data on Himalayan

While the observed monsoon rainfall at the all-India glaciers indicates that while recession of some gla-
level does not show any significant trend, regional ciers has occurred in some Himalayan regions in
monsoon variations have been recorded. A trend of recent years, the trend is not consistent across the
increasing monsoon seasonal rainfall has been found entire mountain chain. It is accordingly, too early to
along the west coast, northern Andhra Pradesh, and establish long-term trends, or their causation, in
north-western India (+10% to +12% of the normal respect of which there are several hypotheses.
over the last 100 years) while a trend of decreasing Under the National Action Plan, these data will
monsoon seasonal rainfall has been observed over be updated and refined continuously and additional
eastern Madhya Pradesh, north-eastern India, and reliable data will be collected.
some parts of Gujarat and Kerala (-6% to —8% of the
normal over the last 100 years).
1.5. Some Projections of Climate Change over
•Extreme Weather Events India for the 21st Century
Instrument records over the past 130 years do not
indicate any marked long-term trend in the frequen- Some modelling and other studies have projected
cies of large-scale droughts and floods. Trends are the following changes due to increase in atmospheric
however observed in multi-decadal periods of more GHG concentrations arising from increased global
frequent droughts, followed by less severe droughts. anthropogenic emissions:
There has been an overall increasing trend in severe
storm incidence along the coast at the rate of 0.011 •Annual mean surface temperature rise by the
events per year. While the states of West Bengal and end of century, ranging from 3 to 5° C under A2
Gujarat have reported increasing trends, a decline scenario and 2.5 to 4° C under B2 scenario of IPCC,
has been observed in Orissa. Goswami6 et al, by with warming more pronounced in the northern parts
analysing a daily rainfall data set, have shown (i) a of India, from simulations by Indian Institute of
rising trend in the frequency of heavy rain events, Tropical Meteorology (IITM), Pune.

14 • NATIONAL ACTION PLAN ON CLIMATE CHANGE

 144
• Indian summer monsoon (ISM) is a manifestation of medicinal plants, and basmati rice. Pathogens and
complex interactions between land, ocean and insect populations are strongly dependent upon tem-
atmosphere. The simulation of ISM's mean pattern as perature and humidity, and changes in these param-
well as variability on interannual and intraseasonal eters may change their population dynamics. Other
scales has been a challenging ongoing problem. impacts on agricultural and related sectors include
Some simulations by IITM, Pune, have indicated that lower yields from dairy cattle and decline in fish
summer monsoon intensity may increase beginning breeding, migration, and harvests. Global reports
from 2040 and by 10% by 2100 under A2 scenario of indicate a loss of 10-40% in crop production by 2100.
IPCC.
1.6.3. IMPACTS ON HEALTH
• Changes in frequency and/ or magnitude of
extreme temperature and precipitation events. Some Changes in climate may alter the distribution of
results show that fine-scale snow albedo influence important vector species (for example, malarial mos-
the response of both hot and cold events and that quitoes) and may increase the spread of such diseases
peak increase in extreme hot events are amplified by to new areas. If there is an increase of 3.8 °C in tem-
surface moisture feedbacks. perature and a 7% increase in relative humidity the
transmission windows i.e., months during which
mosquitoes are active, will be open for all 12 months
1.6. Possible Impacts of Projected in 9 states in India. The transmission windows in
Climate Change Jammu and Kashmir and in Rajasthan may increase
by 3-5 months. However, in Orissa and some south-
1.6.1. IMPACTS ON WATER RESOURCES ern states, a further increase in temperature is likely
to shorten the transmission window by 2-3 months.
Changes in key climate variables, namely tempera-
ture, precipitation, and humidity, may have signifi- 1.6.4. IMPACTS ON FORESTS
cant long-term implications for the quality and quan-
tity of water. River systems of the Brahmaputra, the Based on future climate projections of Regional
Ganga, and the Indus, which benefit from melting Climate Model of the Hadley Centre (HadRM3) using
snow in the lean season, are likely to be particularly A2 and B2 scenarios and the BIOME4 vegetation
affected by the decrease in snow cover. A decline in response model, Ravindranath et. al.8 show that
total run-off for all river basins, except Narmada and 77% and 68% of the forest areas in the country are
Tapti, is projected in India's NATCOM I. A decline in likely to experience shift in forest types, respectively
run-off by more than two-thirds is also anticipated under the two scenarios, by the end of the century,
for the Sabarmati and Luni basins. Due to sea level with consequent changes in forests produce, and, in
rise, the fresh water sources near the coastal regions turn, livelihoods based on those products.
will suffer salt intrusion. Correspondingly, the associated biodiversity is likely
to be adversely impacted. India's NATCOM I projects
1.6.2. IMPACTS ON AGRICULTURE AND FOOD PRODUCTION an increase in the area under xeric scrublands and
xeric woodlands in central India at the cost of dry
Food production in India is sensitive to climate savannah in these regions.
changes such as variability in monsoon rainfall and
temperature changes within a season. Studies by 1.6.5. VULNERABILITY TO EXTREME EVENTS
Indian Agricultural Research Institute (IARI) and oth-
ers indicate greater expected loss in the Rabi crop. Heavily populated regions such as coastal areas are
Every 1 °C rise in temperature reduces wheat produc- exposed to climatic events,such as cyclones, floods,
tion by 4-5 Million Tonnes. Small changes in tempera- and drought, and large declines in sown areas in arid
ture and rainfall have significant effects on the qual-
ity of fruits, vegetables, tea, coffee, aromatic and

NATIONAL ACTION PLAN ON CLIMATE CHANGE • 15

 145
and semi-arid zones occur during climate extremes. 2.1 Some Existing Adaptation related
Large areas in Rajasthan, Andhra Pradesh, Gujarat,
14 -
and Maharashtra and comparatively small areas in •• ••Expenditure on adaptation as % of total
Karnataka, Orissa, Madhya Pradesh, Tamil Nadu, 12 - •
Bihar, West Bengal, and Uttar Pradesh are frequented Expenditure on adaptation as % of GDP/
••
by drought. About 40 million hectares of land is •••4• mmmmmmmmm

flood-prone, including most of the river basins in the

north and the north-eastern belt, affecting about 30
million people on an average each year. Such vulner-
able regions may be particularly impacted by climate
2-
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1.6.6. IMPACTS ON COASTAL AREAS o I N ' C r
0
c,
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I N
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A mean Sea Level Rise (SLR) of 15-38 cm is projected Programmes

along India's coast by the mid 21st century and of
46-59 cm by 2100. India's NATCOM I assessed the vul- 2.1.1. CROP IMPROVEMENT
nerability of coastal districts based on physical expo-
sure to SLR, social exposure based on population The present programmes address measures such as
affected, and economic impacts. In addition, a pro- development of arid-land crops and pest management,
jected increase in the intensity of tropical cyclones as well as capacity building of extension workers and
poses a threat to the heavily populated coastal zones NGOs to support better vulnerability reducing
in the country (NATCOM, 2004). practices.

2.1.2. DROUGHT PROOFING

2. Some Current Actions for Adaptation The current programmes seek to minimize the
and Mitigation adverse effects of drought on production of crops
and livestock, and on productivity of land, water and
Adaptation, in the context of climate change, com- human resources, so as to ultimately lead to drought
prises the measures taken to minimize the adverse proofing of the affected areas. They also aim to pro-
impacts of climate change, e.g. relocating the com- mote overall economic development and improve
munities living close to the sea shore, for instance, to the socio-economic conditions of the resource poor
cope with the rising sea level or switching to crops and disadvantaged sections inhabiting the pro-
that can withstand higher temperatures. Mitigation gramme areas.
comprises measures to reduce the emissions of
greenhouse gases that cause climate change in the 2.1.3. FORESTRY
first place, e.g. by switching to renewable sources of
energy such as solar energy or wind energy, or India has a strong and rapidly growing afforestation
nuclear energy instead of burning fossil fuel in ther- programme. The afforestation process was accelerated
mal power stations. by the enactment of the Forest Conservation Act of
Current government expenditure in India on 1980, which aimed at stopping the clearing and
adaptation to climate variability, as shown in Figure degradation of forests through a strict, centralized
2.1, exceeds 2.6% of the GDP, with agriculture, water control of the rights to use forest land and
resources, health and sanitation, forests, coastal-
zone infrastructure and extreme weather events,
being specific areas of concern.
Figure 2.1: Expenditure on Adaptation Programmes in India

16 • NATIONAL ACTION PLAN ON CLIMATE CHANGE

 146
mandatory requirements of compensatory Two risk-financing programmes support adaptation
afforestation in case of any diversion of forest land to climate impacts. The Crop Insurance Scheme sup-
for any non-forestry purpose. In addition an aggres- ports the insurance of farmers against climate risks,
sive afforestation and sustainable forest manage- and the Credit Support Mechanism facilitates the
ment programme resulted in annual reforestation extension of credit to farmers, especially for crop failure
of 1.78 mha during 1985-1997, and is currently 1.1 due to climate variability.
mha annually. Due to this, the carbon stocks in
Indian forests have increased over the last 20 years 2.1.8. DISASTER MANAGEMENT
to 9 -10 gigatons of carbon (GtC) during 1986 to
2005. The National Disaster Management programme pro-
vides grants-in-aid to victims of weather related dis-
2.1.4. WATER asters, and manages disaster relief operations. It also
supports proactive disaster prevention programmes,
The National Water Policy (2002) stresses that non- including dissemination of information and training
conventional methods for utilization of water, of disaster-management staff.
including inter-basin transfers, artificial recharge of
groundwater, and desalination of brackish or sea
water, as well as traditional water conservation prac- 2.2. Some of India's Actions Relating to
tices like rainwater harvesting, including roof-top GHG Mitigation
rainwater harvesting, should be practised to increase
the utilizable water resources. Many states now have 2.2.1. INDIA'S POLICY STRUCTURE RELEVANT TO
mandatory water harvesting programmes in several GHG MITIGATION
cities.
India has in place a detailed policy, regulatory, and
2.1.5. COASTAL REGIONS legislative structure that relates strongly to GHG mit-
igation: The Integrated Energy Policy was adopted in
In coastal regions, restrictions have been imposed in 2006. Some of its key provisions are:
the area between 200m and 500m of the HTL (high
tide line) while special restrictions have been •Promotion of energy efficiency in all sectors
imposed in the area up to 200m to protect the sensi- •Emphasis on mass transport
tive coastal ecosystems and prevent their exploita- •Emphasis on renewables including biofuels
tion. This, simultaneously, addresses the concerns of plantations
the coastal population and their livelihood. Some •Accelerated development of nuclear and
specific measures taken in this regard include con- hydropower for clean energy
struction of coastal protection infrastructure and •Focused R&D on several clean energy related tech-
cyclone shelters, as well as plantation of coastal nologies
forests and mangroves.
Several other provisions relate to reforming energy
2.1.6. HEALTH markets to ensure that energy markets are competitive,
and energy prices reflect true resource costs. These
The prime objective of these programmes is the sur- include: Electricity Act 2005, Tariff Policy 2003,
veillance and control of vector borne diseases such as Petroleum & Natural Gas Regulatory Board Act, 2006,
Malaria, Kala-azar, Japanese Encephalitis, Filaria and etc. The provisions taken together are designed to:
Dengue. Programmes also provide for emergency
medical relief in the case of natural calamities, and •Remove entry barriers and raise competition in
to train and develop human resources for these
tasks.
2.1.7. RISK FINANCING

NATIONAL ACTION PLAN ON CLIMATE CHANGE • 17

 147
exploration, extraction, conversion, transmission An Energy Conservation Building Code (ECBC) was
and distribution of primary and secondary energy launched in May, 2007, which addresses the design of
•Accomplish price reform, through full competition new, large commercial buildings to optimize the
at point of sale buildings' energy demand based on their location in
•Promote tax reform to promote optimal fuel different climatic zones. Commercial buildings are
choices one of the fastest growing sectors of the Indian
•Augment and diversify energy options, sources economy, reflecting the increasing share of the services
and energy infrastructure sector in the economy. Nearly one hundred buildings
•Provide feed-in tariffs for renewables (solar, wind, are already following the Code, and compliance with
biomass cogeneration) the Code has been incorporated into the mandatory
•Strengthen, and where applicable, introduce Environmental Impact Assessment requirements for
independent regulation large buildings. It has been estimated that if all the
commercial space in India every year conform to ECBC
The Rural Electrification Policy, 2006, promotes norms, energy consumption in this sector can be
renewable energy technologies where grid connec- reduced by 30-40%.Compliance with ECBC norms is
tivity is not possible or cost-effective. The New and voluntary at present but is expected to soon become
Renewable Energy Policy, 2005, promotes utilization mandatory.
of sustainable, renewable energy sources, and accel-
erated deployment of renewables through indige- 2.2.4. ENERGY AUDITS OF LARGE INDUSTRIAL CONSUMERS
nous design, development and manufacture.
The National Environment Policy, 2006, and In March 2007 the conduct of energy audits was
the Notification on Environment Impact Assessment made mandatory in large energy-consuming units in
(EIA), 2006, reform India's environmental assessment nine industrial sectors. These units, notified as "des-
regime. A number of economic activities are required ignated consumers" are also required to employ
to prepare environment impact assessments, and "certified energy managers", and report energy con-
environment management plans, which are sumption and energy conservation data annually.
appraised by regulatory authorities prior to start of
construction. The EIA provisions strongly promote 2.2.5. Mass TRANSPORT
environmental sustainability.
The National Urban Transport Policy emphasizes
2.2.2. INTRODUCTION OF LABELLING PROGRAMME FOR extensive public transport facilities and non-motorized
APPLIANCES modes over personal vehicles. The expansion of the
Metro Rail Transportation System in Delhi and other
An energy labelling programme for appliances was cities and other mass transit systems, such as the
launched in 2006, and comparative star-based Metro Bus project in Bangalore, are steps in its
labelling has been introduced for fluorescent tube- implementation. The state government of
lights, air conditioners, refrigerators, and distribu- Maharashtra recently announced that it will impose
tion transformers. The labels provide information a congestion tax to discourage the use of private cars
about the energy consumption of an appliance, in cities where it has created "sufficient public transport
and thus enable consumers to make informed deci- capacity".
sions. The Bureau of Energy Efficiency has made it
mandatory for refrigerators to display energy effi- 2.2.6. CLEAN AIR INITIATIVES
ciency label and is expected to do so for air condi-
tioners as well. The standards and labelling pro- In urban areas, one of the major sources of air pollu-
gramme for manufacturers of electrical appliances tion is emissions from transport vehicles. Steps taken
is expected to lead to significant savings in electric-
ity annually.
2.2.3. ENERGY CONSERVATION BUILDING CODE

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to reduce such pollution include (i) introduction of would also promote the integration of other renew-
compressed natural gas (CNG) in Delhi and other able energy technologies, for example, biomass and
cities; (ii) retiring old, polluting vehicles; and (iii) wind, with solar energy options.
strengthening of mass transportation as mentioned India is largely located in the equatorial sun
above. Some state governments provide subsidies for belt of the earth, thereby receiving abundant radiant
purchase and use of electric vehicles. For thermal energy from the sun. The country receives about
power plants, the installation of electrostatic precip- 5,000 trillion kWh/year equivalent energy through
itators is mandatory. In many cities, polluting indus- solar radiation. In most parts of India, clear sunny
trial units have either been closed or shifted from weather is experienced 250 to 300 days a year. The
residential areas. annual global radiation varies from 1600 to 2200
kWh/m2, which is typical of the tropical and sub-
2.2.7 PROMOTION OF ENERGY SAVING DEVICES tropical regions. The average solar insolation inci-
dent over India is about 5.5 kWh/m2 per day. Just 1%
The Bureau of Energy efficiency has introduced "The of India's land area can meet India's entire electricity
Bachat Lamp Yojana", a programme under which requirements till 2030.
households may exchange incandescent lamps for Solar based power technologies are an
CFLs (compact fluorescent lamps) using clean devel- extremely clean form of generation with practically
opment mechanism (CDM) credits to equate pur- no form of emissions at the point of generation.
chase price. Some states have made mandatory the They would lead to energy security through displace-
installation of solar water heaters in hospitals, hotels ment of coal and petroleum. T&D losses are very low
and large government and commercial buildings. in decentralized systems. Deployment can be done
Subsidy is provided for installation of solar water independently of the national grid and integrated
heaters in residential buildings. with the national grid when needed.

2.2.8. PROMOTION OF BIOFUELS 3.1.1. SOLAR THERMAL POWER GENERATION

The Biodiesel Purchase Policy mandates biodiesel Solar Thermal Power Generating Systems (STPG) or
procurement by the petroleum industry. A mandate Concentrating Solar Power (CSP) use concentrated
on Ethanol Blending of Gasolene requires 5% blend- solar radiation as high temperature energy source (>
ing of ethanol with gasolene from 1st January, 2003, 500°C) to produce electricity.
in 9 States and 4 Union Territories. The working mechanism for solar heat to
electricity is fundamentally similar to that of tradi-
tional thermal power plants. STPG technologies are
now on the verge of significant scale commercializa-
3. The Way Forward: tion. Major technologies include parabolic trough or
Eight National Missions dish, dish-engine system, central tower receiver sys-
tem, and solar chimney (which drives an air draft tur-
The experience gained so far enables India to bine, and does not raise steam).
embark on an even more proactive approach. The Solar power is, obviously available only during
following subsections describe the various pro- sunlight hours. There are also significant seasonal
grammes that may be taken up under the National variations. Moreover, the need to track the movement
Action Plan. of the sun during the day, as also the seasonal variations
3.1. National Solar Mission in orientation, although fully predictable, may add
significantly to cost in respect of dish collector systems.
The National Solar Mission would promote the use of However, design variants are available that require
solar energy for power generation and other appli- movement of only the heat collector at
cations. Where necessary for purposes of system bal-
ance or ensuring cost-effectiveness and reliability, it

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the focus, or only of individual mirrors in an array, 35cr/MW.This includes the cost of the solar panels
thus reducing costs. and balance of system (BOS). The unit cost of gener-
The cyclical (diurnal, annual) and episodic ation is still in the range of Rs. 15-20 KWh, but may
(cloud cover) variations of solar insolation, and the fall significantly for thin-film based systems.
impossibility of regulating the solar flux means that Proposed R&D activities in respect of Solar
in order to ensure steady power supply, meet peak- Photovoltaic generation, for the near and medium
ing requirements, as well as to ensure optimal uti- term would include improvement in solar cell effi-
lization of steam turbines and generators, it is neces- ciency to 15% at commercial level; improvements in
sary to either hybridize solar thermal systems with PV module technology with higher packing density
alternative means of raising steam, or provide for and suitability for solar roofs; and development of
high temperature thermal energy storage. The former lightweight modules for use in solar lanterns and
may be accomplished by hybridization with con- similar applications.
ventional fuels, or by biomass combustion systems.
The latter may be accomplished by insulated storage 3.1.3. R&D COLLABORATION, TECHNOLOGY TRANSFER,
of molten salts; however, in their case the rate of AND CAPACITY BUILDING
heat loss may be significant, and storage for more
than 10-12 hours is uneconomic. In specific areas of both solar thermal and solar PV
The investment cost of stand-alone (i.e. with- systems, it would be useful to enter into collabora-
out hybridization) solar thermal power plants are in tion with institutions working elsewhere, with sharing
the range of Rs 20-22 cr/MW. It usually includes the of the resulting IPRs.
cost of the solar concentrators, balance of system Technology transfer in both Solar Thermal
(BOS), receiver (turbine) with generator and control technologies and the PV technologies will be
equipments, etc. The estimated unit cost of genera- required in respect of cost-effective and efficient
tion is currently in the range of 20-25 Rs/KWh. technologies suitable for use in India. Support to
(Source Scientific American, January 2008) commercial demonstration by entrepreneurs of Solar
Proposed R&D activities in respect of Solar Thermal and Solar PV, both stand-alone and distrib-
Thermal power generation would cover design and uted generation systems, in particular in remote
development of concentrating solar thermal power locations, and using these as training facilities for
systems, including parabolic troughs, central receiver local entrepreneurs and O&M personnel would also
systems, and dish/engine systems. The R&D help develop this sector.
effort should be directed mainly at reducing costs The National Solar Mission would be responsible
of production and maintenance, and include both for: (a) the deployment of commercial and near
production design and fabrication/assembly tech- commercial solar technologies in the country; (b)
niques. In addition, R&D should cover balance of establishing a solar research facility at an existing
systems issues involved in hybridization with bio- establishment to coordinate the various research,
mass combustion based systems and/or molten salts development and demonstration activities being car-
thermal storage. ried out in India, both in the public and private sec-
tor; (c) realizing integrated private sector manufac-
3.1.2. SOLAR PHOTOVOLTAIC GENERATION turing capacity for solar material, equipment, cells
and modules (d) networking of Indian research efforts
In photovoltaic generation, solar energy is directly with international initiatives with a view to promoting
converted to electricity using a semi-conductor, usu- collaborative research and acquiring technology
ally a silicon diode. However, while there are other where necessary, and adapting the technology acquired
semi-conductors (e.g. cadmium telluride) that may to Indian conditions; (e) providing funding support for
be used for power generation, most of them are at the activities foreseen under (a) to (d) through
various stages of R&D. government grants duly leveraged by
The investment costs of solar PV based
power systems are in the range of Rs. 30-

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funding available under global climate mechanisms, als for solar energy conversion infrastructure, such as
and earnings from deployment of research sponsored robust, and inexpensive, thermal management mate-
by the Mission. Policy and Regulatory measures for rials.
promotion of solar technologies would also be The ultimate objective of the Mission would
enhanced as common to all renewables based tech- be to develop a solar industry in India that is capable
nologies. of delivering solar energy competitively against fos-
Over the 11 th and 12 th Plan periods (till sil options from the Kilowatt range of distributed
2017) the Mission would aim to deliver at least solar thermal and solar PV to the Gigawatt scale of
80% coverage for all low temperature (<150° C), base load priced and dispatchable CSP within the
and at least 60% coverage for medium tempera- next 20-25 years.
ture (150° to 250° C) applications of solar energy
in all urban areas, industries, and commercial
establishments. Rural solar thermal applications 3.2. National Mission for Enhanced Energy
would also be pursued under public-private part- Efficiency in Industry
nerships where feasible. Commensurate local man-
ufacturing capacity to meet this level of deploy- The industry sector is the largest user of commercial
ment, with necessary technology tie-ups, where energy in India, accounting for 42% of the country's
desirable, would be established. Further, the total commercial energy use during 2004-05. The
Mission would aim for local Photovoltaic (PV) pro- Indian industry sector, comprising large, medium,
duction from integrated facilities at a level of 1000 and small enterprises registered a growth of 10.6%
MW/annum within this time frame. It would also in April–December 2006 (MoF, 2007). Since the industry
aim to establish at least 1000 MW of Concentrating sector is viewed as central for economic growth, it
Solar Power (CSP) generation capacity, again, with would continue to play a major role in the overall
such technical tie-ups as essential within the stated development of India.
time frame. The industrialization policies of the country
The untapped energy potential of each of have helped in setting up of several energy–intensive
the three generic solar based energy approaches (i.e. primary manufacturing facilities such as iron and
solar PV, solar thermal, and biomass) is well beyond steel, cement, fertilizer, refineries, with investment
current usage levels. In the long term the Mission targets fixed in successive Five-year Plans of the
would aim to network Indian research efforts in solar Government of India. The planners also encouraged
technology with global initiatives in these three various small scale industries, providing huge
areas, so as to enable delivery of solar solutions to employment. The small scale sector produces close to
India's energy needs in tandem with developments 7500 items in which 326 items are reserved by the
worldwide. Government of India (MoSSI, 2007) to be exclusively
In the long-term, the Mission would direct produced by small units.
Indian solar research initiatives to deliver truly dis- As per the national greenhouse inventory,
ruptive innovations that cut across more than one the direct CO2 emissions from industrial sources
approach or technology. These include: (a) getting accounted for nearly 31 % of the total CO 2 emissions
the same electrical, optical, chemical and physical from the country (data for base year 1994)
performance from cheap materials as that delivered (NATCOM, I). The CO2 emissions from the industrial
by expensive materials; (b) developing new para- sector can be broadly categorized into two heads, i.e.
digms for solar cell design that surpass current effi- process related emissions, and emissions due to fuel
ciency limits; (c) finding catalysts that enable inex- combustion in industries. Of the total estimated 250
pensive, efficient conversion of solar energy into million tonnes of direct CO2 emissions from the
chemical fuel; (d) identify novel methods of self- industry in 1994, nearly 60% were accounted for by
assembly of molecular components into functionally energy use (NATCOM, I).
integrated systems; and (e) developing new materi

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3.2.1. GHG MITIGATION OPTIONS IN THE INDUSTRY energy consumption of many of the large plants
SECTOR compares well with the world's best, it is estimated
that CO2 emissions from fuel and electricity use in
GHG Mitigation options in the industry sector can be the industry sector could be further reduced by
broadly grouped under three heads as given below: about 605 million tonnes (approximately 16% reduc-
tion from the BAU scenario) in the year 2031.
•Sector specific technological options However, this will involve major incremental investment
•Cross—cutting technologies options costs, as well as, overall, large economic costs, besides
•Fuel switch options technology transfer.

3.2.2. SECTOR SPECIFIC TECHNOLOGICAL OPTIONS 3.2.6. CO-BENEFITS

Various GHG mitigation technology options in Energy-efficiency measures in the industrial sector
respect of the Chlor-Alkali, Cement, Aluminum, also have some co-benefits due to reduction in fuel
Fertilizer, Iron and Steel, Pulp and Paper, and Textile and material use leading to reduced emission of air-
sectors are currently being investigated. pollutants, solid waste, and waste water. In addition,
some options also lead to improvement in the quality
3.2.3. CROSS-CUTTING TECHNOLOGICAL OPTIONS of product.

Apart from sector—specific options, there are certain 3.2.7 TECHNOLOGY TRANSFER
cross-cutting energy efficient technological options
that could be adopted in a wide range of industries. Relevant technologies under development that
In general, in the industries sector, approximately would reduce specific energy consumption need to
50% of the industrial energy use is accounted for by be transferred to India when commercially viable.
cross-cutting technologies.
The estimated energy saving potential for a 3.2.8. FINANCING
large number of plants is of the order of 5% to 15%.
The move to efficient technologies in the industry
3.2.4. FUEL SWITCH sector generally involves significant incremental
investment, and in many cases, economic costs.
With the increasing availability of natural gas in the These would have to be provided by multilateral
country (both as imported LNG [liquefied natural funding arrangements. In particular, special
gas] and likely increased domestic natural gas sup- financing mechanisms would need to be put in
ply), industries may have the option to switch over place for the SMEs. Bundling and/or programmatic
from coal to the use of natural gas. Fuel—switch to CDM could be a possible financing route for these
natural gas generally leads to increase in energy use units.
efficiency.
Another option is switching over from fossil 3.2.9. CAPACITY-BUILDING NEEDS
fuels to producer gas from biomass fuels for various
thermal applications. Industries with low temperature Cooperative approaches by the government and
requirements (upto 100°C) (for example, textiles and industry are needed to enhance awareness of ener-
pharmaceuticals) may also use solar thermal systems gy-efficient options, and upgrade relevant technical
for water heating. knowledge. The financial sector also needs capacity
building in appraisal of specific energy efficiency
3.2.5 POTENTIAL FOR EMISSIONS REDUCTION improvement investments in existing industries.

Although the efficiency of most large industrial sec-

tors has been improving over time, and the specific

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3.2.10. POLICY AND REGULATORY OPTIONS To further enhance energy efficiency, four
new initiatives may be considered. These are:
Under the Energy Conservation Act (2001), 9 energy
intensive industrial sectors, i.e. thermal power sta- •Mandated specific energy consumption decreases in
tions, fertilizer, cement, iron and steel, chlor-alkali, large energy consuming industries and facilities that
aluminum, railways, textile and pulp and paper, are have been notified as Designated Consumers under the
required to employ a certified energy manager, con- Energy Conservation Act, and provide a framework to
duct energy audits periodically, and adhere to spe- certify energy savings in excess of the mandated
cific energy-consumption norms that may be pre- savings. The certified excess savings may be
scribed. traded amongst companies to meet their mandated
Currently, almost every industrial sector is compliance requirements, or banked for the next
characterized by a wide band of energy efficiencies cycle of energy savings requirements.
in different units. Several of them are at global fron-
tier levels, but some others have relatively poor per- •Tax incentives for promotion of energy efficiency,
formance. As an approach to enhancement of over- including differential taxation on appliances that have
all energy efficiency in each sector, the efficiency been certified as energy efficient through energy
band-width of the sector is divided into 4 bands. The labeling programme.
energy efficiency improvement target, in percent-
age, from current levels for each unit varies with its •Creation of energy efficiency financing platforms for
band, being highest for the least energy efficient, enabling public-private-partnerships to capture energy
and the least for the most efficient. These targets savings through demand side management
would have to be achieved within a period of 3 to 5 programmes in the municipal, buildings, and agri-
years within each group. cultural sectors.
Given the fact of fertilizer subsidies, individ-
ual fertilizer units have little incentive to undertake •Fiscal Incentives
energy-efficiency investments. It is, therefore, imper-
ative that fertilizer subsidies be restructured to elim- 3.2.11. DELIVERY OPTIONS
inate such absence of incentive.
To promote technology upgradation in the The key delivery options for energy efficiency in
SME (small and medium enterprise) sector, it would industry are:
be essential to evolve sector—specific integrated pro-
grammes for technology development. This would •Projects, including retrofits, by the corporate sector,
require external support for significantly longer with institutional finance
•Activities related to cluster development, particu-
durations to address various technological barriers
larly in SMEs
and promote energy efficiencies at the unit level.
•Promotion of ESCOs (Energy Service Companies)
The information or knowledge gap is more pro-
for providing energy efficiency solutions across
nounced in case of small industries and "hand-hold-
industry sectors
ing" to help industries install energy efficient tech-
nologies as well as to ensure their optimum perform-
ance through best operating practices will be The Energy Efficiency Financing Platform initiated by
required. the Bureau of Energy Efficiency, in conjunction with
Most of the energy-efficient equipment a robust ESCO industry could provide the necessary
require higher upfront investment. An accelerated impetus to energy efficiency. In respect of each delivery
depreciation up to 80% in the first year on energy- mode, carbon finance through the CDM would also
efficient equipment would help their deployment. be relevant.
Further, reduced rate VAT (value added tax) on ener-
gy- efficient equipment would also help in
reducingthe required upfront investment.

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3.3 National Mission on Sustainable Habitat a non-airconditioned building the consumption pat-
terns would be significantly different.
The Mission comprises three components, i.e. pro- Energy use in residential and commercial
moting energy efficiency in the residential and com- buildings also varies significantly across income
mercial sector, management of municipal solid groups, building construction typology, climate, and
waste, and promotion of urban public transport. several other factors. There exists significant scope to
These are presented below: reduce energy use, while also providing the requisite
energy services in case of both existing as well as new
3.3.1. PROMOTING ENERGY EFFICIENCY IN THE constructions. Although the saving potential of each
RESIDENTIAL AND COMMERCIAL SECTOR option may vary with typology, climate, space condi-
tioning needs, and the initial base design proposed
The residential sector accounts for around 13.3% of by the client/designer, on an average it is estimated
total commercial energy use in India. While several that the implementation of energy efficient options
households, especially in the rural areas, continue to would help in achieving around 30% electricity sav-
use biomass for cooking in traditional cookstoves, ings in new residential buildings and 40% electricity
which leads to high levels of indoor air pollution and savings in new commercial buildings. In case of existing
poses a major health risk especially to women and buildings, the energy saving potential for residential
children, the use of modern fuels such as LPG (lique- buildings is estimated to be around 20%, and that for
fied petroleum gas) and kerosene is increasing rapid- commercial buildings around 30%.
ly. During 1990-2003, consumption of LPG increased Various studies have established that sub-
at an annual rate of 11.26%, while electricity use stantial energy savings can be achieved in the resi-
increased at 8.25% annually in the residential sector. dential and commercial sectors. Implementing carbon
Electricity consumption in the residential sector mitigation options in buildings is associated with a
is primarily for lighting, space conditioning, refrig- wide range of co-benefits, including improved
eration, and other appliances. According to a study energy security and system reliability. Other co-bene-
on energy consumption in the residential sector in fits of energy efficiency investments include the cre-
the city of Delhi, while lighting accounted for around ation of jobs and business opportunities, while the
8%-14% of total electricity consumption, space-con- energy savings may lead to greater access to energy
ditioning accounted for nearly 52%, and refrigerators for the poor, leading to their improvement and well-
accounted for around 28% (in the summer months). being. Other co-benefits include improved indoor
Accordingly, energy saving measures related with and outdoor air quality, and thereby improved
space conditioning (heating and cooling), refrigera- health and quality of life.
tion, and lighting have great significance in moving
towards sustainable residential energy use. 3.3.1.1. COSTS AND FINANCING
The commercial sector comprises various
institutional establishments such as banks, hotels, The incremental cost of implementation of energy-
restaurants, shopping complexes, offices, and public efficient measures is estimated to vary between 3%5%
buildings. Electricity consumption has increased at for residential buildings and 10%-15% for commercial
the rate of 7.4% annually between 1990-2003 in the buildings on a case-to-case basis. Economic savings
commercial sector. It is estimated that on average, in over the lifetime of the appliances would depend upon
a typical commercial building in India around 60% the specific- usage patterns. Also, it is expected that in
of the total electricity is consumed for lighting, 32% general, private home-owners would seek shorter
for space conditioning, and 8% for refrigeration. pay-back periods than owners of commercial property.
However, the end-use consumption varies signifi- While the use of more efficient appliances
cantly with space conditioning needs. While a fully can play a key role in reducing final energy demands,
airconditioned office building could have about 60%
of the total electricity consumption accounted for
byair conditioning, followed by 20% for lighting, in

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energy-efficient appliances typically have higher up- 3.3.1.3. TECHNOLOGY TRANSFER AND CAPACITY BUILDING
front costs than their non-labeled counterparts.
Given that significant incremental investment costs The energy efficient lighting and space conditioning
are associated with the efficient technologies, appro- technologies developed internationally are generally
priate financing mechanisms need to be adopted in superior as compared to those available within the
order to promote these technologies. country. There is therefore a need for technology
Adoption of energy-efficient lighting and transfer from the developed countries. However
space-conditioning technologies should be integrated adopting these internationally developed technologies
into housing finance schemes of financial institu- is associated with payment of additional costs due to
tions, appliance financing schemes need to incen- the IPR component associated with these technologies.
tivize purchase of energy-efficient equipment, and Mechanisms need to be put in place so that these costs
utility- based programmes should be put in place to do not impose an additional burden on the consumers.
pay for the higher upfront capital costs of lighting Solar evacuated tubular panel technology is
systems in the utility bills. available internationally for solar water heating sys-
Carbon-market financing would enable tems, but needs to be transferred for diffusion in the
access to these technologies where there are higher Indian market.
investment costs, or higher economic costs of the Lack of awareness of energy-saving options
required energy service, or both. This may be espe- and potential among architects, engineers, interior
cially useful in view of the "split incentive" problem designers, and professionals in the building industry
in such cases, that is, the persons who incur the addi- including plumbers and electricians is a major barrier
tional investment costs are different from those that to the construction of low-energy buildings.
might realize the energy savings. Realizing the potential of energy saving requires an
integrated design process involving all the stake-
3.3.1.2. RESEARCH & DEVELOPMENT holders, with full consideration of opportunities for
passively reducing building energy demands.
The R&D needs for the residential and commercial Builders and developers need to be trained
sectors is mainly related to energy efficient technolo- and made aware of the options to save energy in new
gies. It needs to focus on the development of ener- constructions. There is a need to create comprehen-
gy-efficient products for the following applications: sive integrated programmes at universities and other
professional establishments to impart such training
•Energy-efficient buildings and building for designing and constructing low-energy buildings.
components
•Development of energy efficient windows 3.3.1.4. POLICY AND REGULATORY ENHANCEMENTS
•Development of low-cost insulation material
•Development of simulation software to predict the A diverse portfolio of policy instruments would be
energy used in buildings required to address the barriers to efficient energy
•Energy efficient appliances use in the residential and commercial sectors.
•Development of energy-efficient ceiling fans There is a need to continuously update appli-
•Development of very-low-energy-consuming cir- ance energy norms and building energy codes and
cuits for stand-by power labeling, move towards rational energy pricing
•Development of low-cost light-emitting diode based on long-term average economic cost, and pro-
(LED)-based lamps for space lighting vide fiscal benefits for efficiency improvements.
The ECBC (Energy Conservation Building
Code) was developed after the adoption of the
The SAC-C (Scientific Advisory Committee of the Energy Conservation Act (2001). The ECBC aims to
Cabinet) has recommended the launch of a National reduce the baseline energy consumption by supporting
Networked Initiative for R&D on the development of adoption and implementation of efficiency say-
the next generation of LEDs, particularly white LEDs.

NATIONAL ACTION PLAN ON CLIMATE CHANGE • 25

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ings and savings in GHG emissions, besides other ben- codesrather than technology/options prescriptions
efits. ECBC intervention has encouraged design inno- can help keep compliance costs low and may provide
vation in the building envelope and system design incentives for innovation.
and specification, which have resulted in 50% energy
savings (as measured in ECBC compliant buildings) 3.3.1.5. DELIVERY OPTIONS
when compared to conventional constructions.
Given the scale of energy savings that can be The BLY (Bachat Lamp Yojana) model needs to be
achieved by the implementation of ECBC, it is impor- pursued to promote energy efficient and high quality
tant to direct policy towards encouraging/mandating CFLs as replacement for incandescent bulbs in
energy savings. As an example, it would be pertinent households. Comprehensive implementation of the
to address the cost of CFL (Compact Fluorescent Lamp) BLY can lead to a reduction of 10,000 MW
and T5 (Efficient Tube Light) which is a barrier to their (Megawatt) of electricity demand. The BLY depends
wide spread use, and implement measures to increase upon CDM (clean development mechanism) revenues
the demand in order to reduce prices through scale to meet the incremental investment cost as well as
effects. Large-scale availability of appropriate the incremental economic cost that would be the
materials and equipment to meet the requirement of case in many participating households.
ECBC is also urgently needed. The energy codes are ESCOs (Energy Service Companies) need to
still new in India and the products (insulation, efficient be promoted as vehicles to deliver energy-efficiency
glass, efficient HVAC systems, and so on) and improvements, in particular because of the "split
services required by buildings to comply with the incentives" problem, and facilitate access to carbon
code requirements are not readily and abundantly finance through bundled CDM projects.
available, or competitively priced. Market power The energy efficient options in the residen-
monopoly of a handful of manufacturers of energy tial and commercial sectors should be promoted as
efficient products has resulted in a non-competitive bundles of programmatic CDM options.
market for products like insulations, chillers, and so
on. 3.3.2 MANAGEMENT OF MUNICIPAL SOLID WASTE (MSW)
In addition to the above, the MoEF (Ministry
of Environment and Forests) has developed a manual Municipal solid waste (MSW) generation reflects not
on norms and standards for environmental clearance just income levels, but also lifestyle choices. Recycling
for large construction projects after wide consultation of materials is an important option for reducing envi-
with experts from different disciplines. The manual ronmental pressures. Figure 3.3.2.1 below indicates
would be used as a technical guideline to assist the that India has a significantly higher rate of recycling
project proponents/ stakeholders/ consultants for the of materials in MSW than developed countries.
preparation environmental impact assessments of
projects and obtain environmental clearance. Both the Figure 3.3.2.1: Average rate of recycling (in %), excluding re-use
EACs (Expert Appraisal Committee) at MoEF and
SEACs (State Expert Appraisal Committee) at the
state/ UT level appraise and grade all new
construction projects requiring environmental
clearances on the basis of the manual. The state
pollution control boards are required to verify the
compliance of the Environmental Management Plan
and the observance of the criteria of gradation by the
Source: TERI (2006)
project proponents.
GHG emissions from MSW in India are also much
Successful implementation of performance-
lower than in developed countries, reckoned per unit
based codes requires education and training of
of consumption (in $ 1000 at PPP), Figure 3.3.2.2
building officials and inspectors and demonstration
below:
projects. Setting flexible performance-based

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Figure 3.3.2.2: GHG emissions intensity from waste generation of biodegradable matter in the waste stream.
(in gm/$1000 at PPP GDP)
Table 3.3.2.2: Change in waste composition in selected cities
City Compostables Recyclables
(%) (%)
1982-1990 2005 1982-1990 2005
Lucknow 60.31 47.41 6.72 15.53
Kolkata 46.58 50.56 2.58 11.48
Kanpur 53.34 47.52 2.57 11.93
Mumbai 59.37 62.44 3.85 16.66
Delhi 57.71 54.42 8.24 15.52
Chennai 56.24 41.34 6.60 16.34
Source: TERI (2006)
Bangalore 75.00 51.84 2.70 22.43
MSW generation in Indian cities (around 5100 ULBs) Ahemdabad 48.95 40.81 7.57 11.65
is estimated to have increased from 6 million tonnes Source: 1982-90: Planning Commission; 1995, 2005: CPCB
in 1947 to 48 million tonnes in 1997, and to 69 mil-
lion tonnes in 2006 (Central Pollution Control Board 3.3.2.1 POLICIES AND REGULATIONS
2000, TERI 2001). In addition, Indian consumption of
plastics is around 4 MTPA (million tonnes per The 74th Constitutional Amendment (1992) trans-
annum). About 60% of this comprises polyolefins, ferred the responsibility for collection, treatment
which are primarily used as packaging material. and disposal of MSW from State Governments to the
About 2.0 MTPA of total consumption is generated Urban Local Bodies (ULBs). The outbreak of plague at
as plastic waste of which around 70% is recycled, Surat (1994) focused policy attention on the impor-
mostly by the informal sector. The decadal growth in tance of proper systems for MSW in the ULBs. In
consumption of plastics during the period 1991-2001 response to direction by the Supreme Court in a PIL
was around 14% (Indian Centre for Plastics in the (WP No. 888/1996) MSW Rules 2000 were promulgated,
Environment and Central Institute of Plastic MSW service from generation to disposal was
Engineering Technology 2003). Although the quantity mandated, and Local Governments made responsible
of plastic waste reaching disposal sites is fairly low for compliance. Since then ULBs have gradually
(0.62% on a dry weight basis), testifying to the high improved the systems of collection and transport of
rate of recycling/reuse, the management of thin plas- MSW. However, major gaps exist in respect of treat-
tic bags remains a matter of concern due to low col- ment and disposal. In particular, in respect of dispos-
lection efficiency in their case. The plastic waste-recy- al, the compliance is poor (<5%), and while there are
cling sector therefore needs to be strengthened. an increasing number of projects incorporating safe
disposal, most have inadequate capacity.
Table 3.3.2.1: Characteristics of MSW in 59 cities Efforts at composting, and generating ener-
Parameter Unit Range gy from waste have generally not been successful for
Compostable % 30 - 73 a variety of systemic, technology, and pricing issues,
including variable quality of waste, insufficient seg-
Recyclable (Plastics,
regation of MSW, opposition to siting the facilities
Paper, Metal, Glass etc) % 10 - 37
from local residents, and accordingly, the practice of
Moisture % 17 - 65 open dumping continues. The dominant technology
Carbon/Nitrogen (C/N) Ratio 14 - 53 choice remains composting.
HCV kcal/kg 520 - 3766 In addition, experience has made clear that

Source: CPCB, 2005

There is a trend of increase in the percentage of recy-
clables, accompanied by decreases in the percentage

NATIONAL ACTION PLAN ON CLIMATE CHANGE • 27

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Figure 3.3.2.1: Compliance Status of MSW Rules (Survey: 2004)

Source: World Bank WSP, 2007 region, say a district, disposal facilities should
Treatment & be
developed as a common regional facility. Disposal
MSW operations cannot overall be profitable, and
while cost-effectiveness and revenue streams should •Integrated Systems for collection, transport, transfer,
be pursued, MSW operations as a whole should be treatment, and disposal facilities: even if different
recognized as entailing the provision of a public organizations implement different components, as
good (or environmental service), generally requiring opposed to stand-alone facilities and open
net fiscal expenditures by the concerned local bodies. dumping.
The MSW Rules under the Environment
Protection Act are currently somewhat focused on MSW operations cannot be financially viable: ULBs
specific treatment options, including the chain of col- should not expect to realize net royalties for treatment
lection, transport and disposal.Segregation
This focus isPrimary
unduly and Street
disposalCovered
of MSW, and a tippingProcessing
Covered fee would be SLF
at Source Collection necessary of waste
Sweeping (reckoned on tonnage of MSW or number
Storage transport
prescriptive, and prevents innovation in systems and
procedures, as well as update on new technologies Activity of SWMof different kinds)d Number
of sources to be ofmet
citiesfrom ULB
with 80% coverage
and techniques. The MSW Rules should be revised to revenues.
focus instead on performance or outcome norms While there are several potential benefits in
that are to be met, irrespective of particular systems implementing MSW operations through public-pri-
and procedures, or technologies. This would provide vate partnerships, including cost-effectiveness, as
benchmarks for monitoring and enforcement, as compared to operations carried out by the local bodies
well as give space for innovation in systems, proce- on their own, it is imperative that municipal finances
dures, and technologies. are placed on a sound footing prior to outsourcing this
There is an emerging consensus that MSW function. While the issue of municipal finance reform
Rules should enable (but not require) the sharing of is complex with many dimensions, and needs to be
infrastructure, including transport and treatment pursued independent of MSW issues, a pre-requisite
facilities, across a given region, including towns and is separation of the accounts of the local bodies in
villages. This would help realize scale economies, respect of their different responsibilities, such as
besides access to better and more cost-effective sys- MSW, water supply, sewage disposal and roads. This
tems and treatment options for the smaller urban separation would firstly, provide
centres and habitations.
Broad guidelines for policy reform in the
MSW sector include:Common Regional Facilities: In
respect of smaller towns and villages located in a

28 • NATIONAL ACTION PLAN ON CLIMATE CHANGE

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guidance to setting user charges (however collected), urban population with sewerage and sanitation by the
and a benchmark against which bids for provision of end of the plan period. Under the JNURM, till January
MSW services may be judged. 2008, funds amounting to Rs 900 crores were released
to ULBs. The required funding for upgrading MSW
The National Environment Policy, 2006, provides for: facilities in all cities and towns would be much greater.

•Removal of barriers (incentives, regulation) for 3.3.3. PROMOTION OF URBAN PUBLIC TRANSPORT
beneficial utilization of non-hazardous materials
•Implementing viable PPPs for operation of haz- An increase in the demand for transportation services
ardous and non-hazardous waste disposal facilities for both passengers and freight is inevitable, given
on payment of user fees, taking into account con- economic growth and increase of population. The
cerns of local communities total number of registered motor vehicles in India
•Survey and preparation of national inventory of has increased from 21.4 million in 1991 to 72.7 million in
toxic and hazardous waste sites and online moni- 2004 at a CAGR of 9.9%, with the two wheeler
toring of their movement segment comprising of motorcycles, scooters, and
•Giving legal recognition to and strengthening informal mopeds growing most rapidly amongst personalized
sector systems of, collection and recycling and modes of transportation. Road based transportation
enhancing their access to finance and technology is the main source of GHG emissions in the
transportation sector.
The significance of the last is that while the informal Various studies have estimated that policy and
recycling sector is the backbone of India's highly technological measures can lead to significant energy and
effective recycling system, unfortunately, a number thereby emission savings in the transport sector. Estimates
of municipal regulations impede the operation of of the Planning Commission indicate an energy saving
the recyclers, owing to which they remain at a tiny potential of 115 mtoe (million tonnes of oil equivalent) in
scale without access to finance or improved recycling the year 2031/32 by increasing the share of railways and
technologies. improving efficiencies of different modes of transport
(Planning Commission, 2006). Similarly, TERI estimates
3.3.2.2. R&D NEEDS indicate an energy saving of 144 mtoe in 2031 by including
efficiency improvement across modes as well as considering
Technological requirements are listed as follows: enhanced use of public transportation and rail based
movement, use of bio-diesel as compared to business-as-
•Biomethanation technology for waste to usual trends. The corresponding CO2 emissions reduction is
energy estimated at 433 million tonnes in 2031.
including its decentralised application for segre-
gated waste streams like vegetable market waste, 3.3.3.1. TRANSPORT OPTIONS
slaughterhouse waste and dairy waste.
•Development of indigenous gas engines for waste Mass transport options including buses, railways and
to energy applications to reduce the overall cost of mass rapid transit systems, etc. are the principal
the package. option for reducing energy use in the urban transport
•Upgrading plastic waste recycling technologies to sector, and mitigating associated GHG emissions and
reduce occupational and environmental hazards. air pollution. The use of CNG has helped reduce air
•Recycling technologies for construction and demo- pollution due to diesel use in some cities because of
lition wastes and e-waste streams. its lower particulates emissions. Regarding biofuels,
ethanol blending of gasoline upto 5% is required in 9
3.3.2.3. FINANCING states, and is expected that this limit would be
increased to10%. R&D has to be carried out on the
The 10th Plan emphasized provision of important
infrastructure facilities and 100% coverage of urban
population with water supply facilities, and 75% of

NATIONAL ACTION PLAN ON CLIMATE CHANGE • 29

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combustion characteristics of motor engines for improvements, and increased adoption of bio-diesel
blending of higher content of ethanol in petrol. Bio- or CNG have important co-benefits at the regional
diesel production from Jatropha curcas and and local levels.
Pongamia shrubs is also increasing. The National Pricing, taxes, and charges, apart from raising
Mission on Bio-diesel aims in the first (demonstra- revenue for governments, are expected to influence
tion) phase to establish biodiesel plantations in 26 travel demand and choice of transportation modes,
states, while the second phase will lead to the pro- thereby decreasing fuel demand and GHG emissions.
duction of sufficient bio-diesel to enable a 20% Transport pricing can offer important gains in social
blend in vehicle diesel in 2011/12. However, the oil welfare by simultaneously reducing local pollution
content of bio-diesel crops from different parts of and GHG emissions, accidents, noise and congestion, as
India is highly variable. R&D has to be carried to well as generating state revenue for enhancing social
identify superior genotypes and collect seeds, which wel-being and/or infrastructure construction and
need to be inventorised, documented and stored maintenance.
under different agro-climatic zones. Introduction of FCVs fuelled by hydrogen have zero CO2
bio-fuels should not divert land marked for food pro- emission and high efficiency, address air quality (zero
duction and thus decrease the availability of food- tailpipe emissions), and may promote energy security
grains to population. There is also some controversy since hydrogen can be produced from a wide range
about the net GHG emission of some biofuels. of sources.
Hydrogen has the potential to replace fossil With an expanding automobile sector, recy-
fuels in the future. In recent years, significant cling of recoverable materials at end-of-life of auto-
progress has been reported by several countries for mobiles would lead to considerable energy savings9.
overcoming problems in its storage and production. It is estimated that by 2020, recoverable materials
In India, a National Hydrogen Energy Road Map has annually will be of the order of 1.5 million tons of
been prepared. Some organisations have already steel, 180,000 tons of aluminium and 75,000 tons
developed prototypes of two-and three-wheelers and each of rubber and plastics. Recycling of these mate-
buses to run on hydrogen fuel. However, large scale rials will also reduce mining, depletion of natural
penetration of the market by hydrogen propelled resources, and degradation of environment. India
vehicles is not expected till a few decades from now. has no formal regulations regarding recyclability and
disposal of end-of-life vehicles.
3.3.3.2. COSTS AND FINANCING
The following actions are proposed for the transport
sector:
Most of the energy-efficiency measures require huge
•Promoting the use of coastal shipping and inland
investments in the creation of new infrastructure.
Efforts to reduce CO2 emissions by the way of intro- waterways, apart from encouraging the attractiveness
duction of MRTS (mass-rapid transit system) would of rail-based movement relative to long-distance road
involve diverting resources from other priority claims based movement
on fiscal resources. •Encouraging energy R&D in the Indian Railways
Moreover, the possibility of substantially •Introducing appropriate transport pricing measures to
reducing the dependence on petroleum products is influence purchase and use of vehicles in respect of
constrained by the significantly higher costs of most fuel efficiency and fuel choice
alternative fuel options as of now. The main barrier •Tightening of regulatory standards such as enforcing
to the use of hydrogen based fuel cell vehicles (FCVs) fuel-economy standards for automobile manufacturers
is that of high FCV drive-train costs. •Establishing mechanisms to promote investments in
development of high capacity public transport systems
3.3.3.3. CO-BENEFITS (e.g. offer equity participation and/or via-

Mitigation options such as enhanced shares of public

transport or rail-based movement, efficiency

30 • NATIONAL ACTION PLAN ON CLIMATE CHANGE

 160
bility gap funding to cover capital cost of public to agriculture in the form of irrigation. Key elements
transport systems) on surface water studies include the following:
•Abandoning of old vehicles to be made illegal •Estimating river flows in mountainous areas
with suitable legislation and fixing the responsibility •Customizing climate change models for regional
of handing over the end-of-life vehicle to collection water basins
centers on the last owner of the vehicle •Extending isotopic-tracer-based techniques of mon-
•Setting up of a demonstration unit to take up recy- itoring river water discharge to all major river
cling of vehicles, especially two wheelers, which monitoring stations
require new techniques •Developing digital elevation models of flood-prone
•Setting up a Combustion Research Institute to areas for forecasting floods
facilitate R&D in advanced engine design •Mapping areas likely to experience floods and
•Providing tax benefits and investment support for developing schemes to manage floods
recovery of materials from scrap vehicles •Strengthening the monitoring of glacial and seasonal
snow covers to assess the contribution of snowmelt to
water flows of Indian rivers that originate in the
3.4. National Water Mission Himalayas
•Establishment of a wider network of automatic
India gets on an average 1197 mm of rainfall every weather status and automated rain gauge stations
year. This amounts to a total precipitation of 4000 •Planning of watershed management in mountain
billion m3. However, 3000 billion m3 of this is lost ecosystems
due to run off, and only 1000 billion m 3 is available
as surface and ground water sources, amounting to 3.4.2. MANAGEMENT AND REGULATION OF GROUNDWATER
c.1000 m3 per year per capita water availability. This RESOURCES
is about 115th –1/10th of that of many industrialised
countries. Many parts of India are water stressed Groundwater accounts for nearly 40% of the total
today and India is likely to be water scarce by 2050. available water resources in the country and meets
The problem may worsen due to climate change nearly 55% of irrigation requirements, 85% of rural
impacts. It is therefore important to increase the effi- requirements and 50% of urban and industrial
ciency of water use, explore options to augment requirements. However, overexploitation of the
water supply in critical areas, and ensure more effec- resource has sharply lowered the water table in
tive management of water resources. New regulatory many parts of the country, making them increasingly
structures with appropriate entitlements and pricing vulnerable to adverse impacts of climate change. Key
and incentives to adopt water-neutral and water areas in this programme may include the following:
positive technologies may be required. Integrated •Mandating water harvesting and artificial recharge
water policies will help to cope with variability in in relevant urban areas
rainfall and river flows at the basin level. Some spe- •Enhancing recharge of the sources and recharge
cific aspects related to water resources are discussed zones of deeper groundwater aquifers
in more detail below. •Mandatory water assessments and audits; ensuring
proper industrial waste disposal
3.4.1 STUDIES ON MANAGEMENT OF SURFACE WATER •Regulation of power tariffs for irrigation
RESOURCES
3.4.3. UPGRADING STORAGE STRUCTURES FOR FRESH

Rivers and lakes, the most visible sources of surface WATER AND DRAINAGE SYSTEMS FOR WASTEWATER

water, often indicate the state of the environment

more clearly than many other indicators. Such To address the problems of droughts and floods trig-
resources also have economic significance in the gered by extreme weather events, it is essential to
form of waterways for transport, sources of clean
energy in the form of hydropower, and vital inputs

NATIONAL ACTION PLAN ON CLIMATE CHANGE • 31

 161
both augment storage capacity and improve In India, desalination has been recognized as a pos-
drainage systems. Effective drainage is also essential sible means to argument the water supply through
to reclaim waterlogged and saline-alkali lands and to natural resources for meeting the growing needs of
prevent the degradation of fertile lands. Key areas water due to population and industrial growth.
are listed below: Since desalination is an energy intensive process (the
•Prioritizing watersheds vulnerable to flow changes energy required may vary from about 3 kWh to 16
and developing decision support systems to facilitate kWh for separating 1000 litres depending on the
quick and appropriate responses type of process used), the application of desalina-
•Restoration of old water tanks tion technology for increasing regional water sup-
•Developing models of urban storm water flows plies strongly links to energy issues and thus GHG
and estimating drainage capacities for storm-water emissions. Development activities have been initiated
and for sewers based on the simulations in various laboratories in the country.
•Strengthen links with afforestation programmes Desalination has been recognized as an important
and wetland conservation cross disciplinary technology area for R&D in the
•Enhancing storage capacities in multipurpose 11th Plan. Technologies are being developed for the
hydro projects, and integration of drainage with following:
irrigation infrastructure •Seawater desalination using Reverse Osmosis and
multistage flash distillation to take advantage of
3.4.4. CONSERVATION OF WETLANDS low-grade heat energy e.g. from power plants located
in the coastal regions or by using renewable energy
Wetlands provide a range of ecological services, such as solar
including water conservation, recharge of ground- •Brackish water desalination
water, and preservation of flora and fauna, including •Water recycle and reuse
species and varieties at risk and are a source of liveli- •Water purification technologies
hood to many. Wetlands face the threat of conver-
sion to other uses, which means a loss of their eco-
logical services, making those who depend on them 3.5. National Mission for Sustaining the
vulnerable. Actions identified for conserving wet- Himalayan Ecosystem
lands are listed below:
The Himalayan ecosystem is vital to the ecological
•Environmental appraisal and impact assessment of security of the Indian landmass, through providing
developmental projects on wetlands forest cover, feeding perennial rivers that are the
•Developing an inventory of wetlands, especially source of drinking water, irrigation, and
those with unique features hydropower, conserving biodiversity, providing a
•Mapping of catchments and surveying and assess- rich base for high value agriculture, and spectacular
ing land use patterns with emphasis on drainage, landscapes for sustainable tourism. At the same time,
vegetation cover, silting, encroachment, conver- climate change may adversely impact the
sion of mangrove areas, human settlements, and Himalayan ecosystem through increased tempera-
human activities and their impact on catchments and ture, altered precipitation patterns, and episodes
water bodies. of drought.
•Creating awareness among people on importance Concern has also been expressed that the
of wetland ecosystems Himalayan glaciers, in common with other entities
•Formulating and implementing a regulatory in the global cryosphere, may lose significant ice-
regime to ensure wise use of wetlands at the mass, and thereby endanger river flows, especially
national, the state, and district levels in the lean season, when the North Indian rivers
are largely fed by melting snow and ice. Studies by
3.4.5. DEVELOPMENT OF DESALINATION TECHNOLOGIES

32 • NATIONAL ACTION PLAN ON CLIMATE CHANGE

 162
several scientific institutions in India have been 3.6. National Mission for a -Green India-
inconclusive on the extent of change in glacier
mass, and whether climate change is a significant Forests are repositories of genetic diversity, and supply
causative factor. a wide range of ecosystem services thus helping
It is accordingly, necessary to continue and maintain ecological balance. Forests meet nearly
enhance monitoring of the Himalayan ecosystem, in 40% of the energy needs of the country overall, and
particular the state of its glaciers, and the impacts of over 80% of those in rural areas, and are the back-
change in glacial mass on river flows. Since several bone of forest-based communities in terms of liveli-
other countries in the South Asian region share the hood and sustenance. Forests sequester billions of
Himalayan ecosystem, appropriate forms of scientific tons of carbon dioxide in the form of biomass and
collaboration and exchange of information may be soil carbon. The proposed national programme will
considered with them to enhance understanding of focus on two objectives, namely increasing the forest
ecosystem changes and their effects. cover and density as a whole of the country and con-
It is also necessary, with a view to enhancing serving biodiversity.
conservation of Himalayan ecosystems, to empower
local communities, in particular through the 3.6.1. INCREASE IN FOREST COVER AND DENSITY
Panchayats, to assume greater responsibility for
management of ecological resources. The report of the Working Group on Forests for the
The National Environment Policy, 2006, inter- 11th Five-Year Plan puts the annual rate of planting
alia provides for the following relevant measures for during 2001/02 to 2005/06 at 1.6 million hectares and
conservation of mountain ecosystems: proposes to increase it to 3.3 million hectares during
the 11th Plan. The final target is to bring one-third of
•Adopt appropriate land-use planning and water- the geographic area of India under forest cover.
shed management practices for sustainable devel- The Greening India Programme has already
opment of mountain ecosystems been announced. Under the programme, 6 million
hectares of degraded forest land would be afforested
•Adopt "best practice" norms for infrastructure with the participation of Joint Forest
construction in mountain regions to avoid or min- Management Committees (JFMCs), with funds to the
imize damage to sensitive ecosystems and despoiling extent of Rs 6000 crores provided from the accumu-
of landscapes lated additional funds for compensatory afforestation
under a decision of the Supreme Court in respect of
•Encourage cultivation of traditional varieties of forest lands diverted to non-forest use.
crops and horticulture by promotion of organic The elements of this Programme may include
farming enabling farmers to realize a price premium the following:

•Promote sustainable tourism through adoption of •Training on silvicultural practices for fast- growing
"best practice" norms for tourism facilities and and climate- hardy tree species
access to ecological resources, and multistakeholder •Reducing fragmentation of forests by provision of
partnerships to enable local communities to gain corridors for species migration, both fauna and flora
better livelihoods, while leveraging financial, •Enhancing public and private investments for raising
technical, and managerial capacities of investors plantations for enhancing the cover and the density
of forests
•Take measures to regulate tourist inflows into •Revitalizing and upscaling community-based initia-
mountain regions to ensure that these remain
within the carrying capacity of the mountain ecology
•Consider particular unique mountain scapes as enti-
ties with "Incomparable Values", in developing
strategies for their protection

NATIONAL ACTION PLAN ON CLIMATE CHANGE • 33

 163
tives such as Joint Forest Management (JFM) and •Development of drought- and pest-resistant crop
Van Panchayat committees for forest management varieties
•Implementation of the Greening India Plan •Improving methods to conserve soil and water
•Formulation of forest fire management •Stakeholder consultations, training workshops and
strategies demonstration exercises for farming communities,
for agro-climatic information sharing and
3.6.2. CONSERVING BIODIVERSITY dissemination
•Financial support to enable farmers to invest in and
Conservation of wildlife and biodiversity in natural adopt relevant technologies to overcome climate
heritage sites including sacred groves, protected related stresses
areas, and other biodiversity 'hotspots' is crucial for
maintaining the resilience of ecosystems. Specific 3.7.2. RISK MANAGEMENT
actions in this programme will include:
The agricultural sector may face risks due to extreme
•In-situ and ex-situ conservation of genetic climatie events. Priority areas are as follows:
resources, especially of threatened flora and fauna
•Creation of biodiversity registers (at national, dis- •Strengthening of current agricultural and weather
trict, and local levels) for documenting genetic insurance mechanisms
diversity and the associated traditional knowledge •Development and validation of weather derivative
•Effective implementation of the Protected Area models (by insurance providers ensuring their
System under the Wildlife Conservation Act access to archival and current weather data)
•Effective implementation of the National •Creation of web-enabled, regional language based
Biodiversity Conservation Act, 2001 services for facilitation of weather-based insurance
•Development of GIS and remote-sensing method-
3.7. National Mission for Sustainable ologies for detailed soil resource mapping and land
Agriculture use planning at the level of a watershed or a river
basin
Contributing 21% to the country's GDP, accounting •Mapping vulnerable eco-regions and pest and dis-
for 11 % of total exports, employing 56.4% of the ease hotspots
total workforce, and supporting 600 million people •Developing and implementing region-specific con-
directly or indirectly, agriculture is vital to India's tingency plans based on vulnerability and risk scenarios
economy and the livelihood of its people. The pro-
posed national mission will focus on four areas cru- 3.7.3. ACCESS TO INFORMATION
cial to agriculture in adapting to climate change,
namely dryland agriculture, risk management, access Although many information channels are available
to information, and use of biotechnology. to farmers, none of them offers need-based informa-
tion in an interactive mode. Supplying customized
3.7.1. Dryland Agriculture information can boost farm productivity and farm
incomes, and the following areas deserve priority:
Out of the net cultivated area of approximately 141
million hectares , about 85 million hectares (60%) •Development of regional databases of soil, weather,
falls under the dryland/rain-fed zone. Accordingly, to genotypes, land-use patterns and water resources.
realise the enormous agricultural growth potential •Monitoring of glacier and ice-mass, impacts on
of the drylands in the country and secure farm-based
livelihoods, there is a need to prevent declines in
agricultural yields during climatic stress. Priority
actions on dryland agriculture with particular rele-
vance to adaptation will be as follows:

34 • NATIONAL ACTION PLAN ON CLIMATE CHANGE

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water resources, soil erosion, and associated the quality and specificity of climate change pro-
impacts on agricultural production in mountainous jections over the Indian sub-continent, including
regions changes in hydrological cycles
•Providing information on off-season crops, aro- •Strengthening of observational networks and data
matic and medicinal plants, greenhouse crops, pas- gathering and assimilation, including measures to
ture development, agro-forestry, livestock and enhance the access to and availability of relevant data
agro-processing. •Creation of essential research infrastructure, such
•Collation and dissemination of block-level data on as high performance computing and very large
agro-climatic variables, land-use, and socio-eco- bandwidth networks to enable scientists to access and
nomic features and preparation of state-level share computational and data resources
agro-climatic atlases
These broad themes are elaborated in the sub-sec-
3.7.4 USE OF BIOTECHNOLOGY tions below:

Biotechnology applications in agriculture relate to 3.8.1. CLIMATE MODELLING AND ACCESS TO DATA
several themes, including drought proofing, taking
advantage of elevated CO2 concentrations, Although the IPCC-AR4 has addressed the general
increased yields and increased resistance to disease global trends on climate change, spatially detailed
and pests. Priority areas include: assessments are not available for India. This is
because of inadequate computing power available,
•Use of genetic engineering to convert C-3 crops to difficulties in getting climate related data, and
the more carbon responsive C-4 crops to achieve dearth of trained human resources amongst climate
greater photosynthetic efficiency for obtaining modelling research groups in India. The following
increased productivity at higher levels of carbon actions will be taken:
dioxide in the atmosphere or to sustain thermal
stresses 3.8.2. ENHANCED RESEARCH ON CLIMATE MODELLING IN
•Development of crops with better water and nitrogen INDIA
use efficiency which may result in reduced emissions
of greenhouse gases or greater tolerance to drought There is a need to develop high resolution Air Ocean
or submergence or salinity General Circulation Models (AOGCM) and nested
•Development of nutritional strategies for manag- Regional Climate Models (RCM) that simulate region-
ing heat stress in dairy animals to prevent nutrient al climate change, in particular monsoon behaviour,
deficiencies leading to low milk yield and produc- by pooling institutional capabilities and computational
tivity resources.
In respect of General Circulation Models
(GCM), there is a need to build national level core climate
3.8. National Mission on Strategic Knowledge modelling groups to develop high resolution coupled
for Climate Change AOGCM that effectively simulate monsoon behaviour.
These would be employed for multi-ensemble and
This national mission envisages a broad-based effort multi-year simulations of the present and future
that would include the following key themes: climate. Indigenous Regional Climate Models (RCM)
are necessary to generate accurate future climate
•Research in key substantive domains of climate sci- projections upto (at least) district level. Regional
ence where there is an urgent need to improve the data re-analysis projects should be encouraged. A
understanding of key phenomena and processes, Regional Model Inter-comparison
including, for example, monsoon dynamics,
aerosol science and ecosystem responses
•Global and regional climate modelling to improve

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Project (RMIP) for climate is required to minimize provide access to the data. A concept of 'registered
uncertainty in future climate projections. users' has been proposed, who will have easier access
to climate related data held by the various scientific
3.8.3. PROMOTING DATA ACCESS Ministries and Departments of the Government.
There is a need to review the restrictions on data
There are several databases that are relevant for cli- access. The Ministries and their agencies should also
mate research, along with the respective agencies take action to digitize the data, maintain databases
that are responsible for collecting and supplying that of global quality, and streamline the procedures gov-
data. It is suggested that each of these Ministries and erning access. Existing databases that will need to be
Departments may appoint a 'facilitator', who will expanded and improved are listed below.

Table 3.8.3 Some Databases for Climate Research

S. No. Database Data Collecting and Supplying Agency Facilitator reporting to
1 Oceans Ministry of Earth Sciences Secretary, Ministry of Earth Sciences
Sea surface temperature Salinity
Sea level rise
2 Cryosphere a)National Remote Sensing Agency (NRSA) a)Secretary, Department of Space
Snow cover b)Geological Survey of India b)Secretary, Ministry of Mines
Glacial data c) Snow and Avalanche Studies c) Secretary, Department of Defence
Establishment (SASE), Defence Research Research and Development
and Development Organization
3 India Meteorological Department, Secretary, Ministry of Earth Sciences
Meteorology
Precipitation Ministry of Earth Sciences.
Humidity
Surface temperature
Air temperature
Evaporation data
4 a)Secretary, Department of Science
Land Surface a)Survey of India
Topography and Technology
Erosion b)National Remote Sensing Agency (NRSA) b)Secretary, Department of Space
Imagery (vegetation map)
Forest cover
5
Hydrological a)Central Water Commission a)Secretary, Ministry of Water
Ground water Resources
Water quality b)State Water Resource Organizations b)Chief Secretaries of the respective
River water States
Water utilization
6 Ministry of Agriculture a)Secretary, Department of Agriculture
Agriculture
Soil profile and Co-operation
Area under cultivation b)Secretary, Department of
Production and yield Agricultural Research and Education
Cost of cultivation
7 Census of India Registrar General India, Ministry of
Socio-Economic
Demography Home Affairs
Economic status
8 Forests a)Forest Survey of India
Forest resources b)State Forest Department a)Secretary, Ministry of Environment
Plant and animal c)Botanical Survey of India and Forests
species distribution b)Chief Secretaries of the respective
a)Zoological Survey of India States
e) Department of Space a)Secretary, Ministry of Environment
and Forests
c)Secretary, Ministry of Environment
and Forests
e) Secretary, Department of Space
9 Health Related Data Department of Health Research Secretary, Department of Health
Research

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3.8.4. STRENGTHENING NETWORKS At present, fossil fuels account for 66% of the total,
and are responsible for most of the GHG emissions
The creation of an integrated National Knowledge from the energy sector. During the 11th Five-Year
Network (scalable and ultimately of multi-10 Gbps Plan, utility-based generation capacity is expected to
capacity) as suggested by the National Knowledge increase by 78,000 MW. A significant proportion of
Commission and the Principal Scientific Adviser's this increase will be thermal-coal based. While the
Office would obviously benefit climate modellers. new investments in the thermal power sector, which
The upcoming Grid Computing stands out as a are substantial, have high efficiencies, the aggregate
unique technology for handling terabytes of experi- efficiency of the older plants is low. In addition, high
mental data requiring hundreds of teraflops of com- ATCL (aggregate technical and commercial loss) in
puting power. Various Ministries of the Government power transmission and distribution is a key concern
are also taking steps to augment their super-comput- There are three ways of lowering the emissions
ing resources in the Eleventh Plan. from coal based plants: increasing efficiency of existing
power plants; using clean coal technologies (relative
3.8.5. HUMAN RESOURCE DEVELOPMENT emissions are c.78% of conventional coal-thermal),
and switching to fuels other than coal, where
In order to meet the new challenges related to climate possible. These measures are complementary and not
change, human resources would require to be mutually exclusive. Another option that has been
enhanced through changes in curricula at the school suggested is carbon capture and sequestration (CCS).
and college levels, introduction of new programmes However, feasible technologies for this have not yet
at the university level, and training of professionals been developed and there are serious questions about
and executives in relevant fields. An overall assess- the cost as well permanence of the CO2 storage
ment of additional skills required will have to be car- repositories.
ried out at the national, state and local levels, so that Approximately 5000 MW out of total of
necessary measures can be undertaken for enhanc- 73,500 MW of present installed capacity (at the end
ing the quality and quantum of human resource of November, 2007) of coal thermal plants have low
required in the coming years and decades. The latter capacity utilization of less than 5%, as well as low
would have to be viewed also in the context of the conversion efficiency. During the 11th Plan, these
current difficulties faced in attracting young people units would be retired, and during the 12th Plan, an
to careers in science in general, to overcome which additional 10,000 MW of the least efficient operating
steps are being taken during the 11th Plan. plants would be retired, or reconditioned to improve
their operating efficiency.

4. Other Initiatives 4.1.1. SUPERCRITICAL TECHNOLOGIES

4.1. GHG Mitigation in Power Generation Supercritical and ultra-supercritical plants can
achieve efficiencies of - 40 and - 45% respec-
The present energy mix in India for electricity gener- tively, compared to about 35% achieved by subcritical
ation is shown in Table 4.1 below: plants. Since coal-based power generation will
continue to play a major role in the next 30-50 years,
Table 4.1: Present Energy Mix in Electricity Generation in India it would be useful, wherever cost-effective and oth-
Source Percentage erwise suitable, to adopt supercritical boilers, which
Coal 55 is a proven technology, in the immediate future, and
Hydropower 26 ultra-supercritical boilers when their commercial via-
Oil and gas 10 bility under Indian conditions is established. At
Wind and solar power 6 present, construction of several supercritical coal
based power projects is in progress.
Nuclear power 3

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Research and development with regard to GHG mitigation option in India.
ultra-supercritical technology needs to focus on the
following areas: 4.1.4. CLOSED CYCLE THREE STAGE NUCLEAR POWER
PROGRAMME
•Development of materials for use in steam generator
tubes, main steam piping, and high-pressure turbines Promotion of nuclear energy through enhancing
that can withstand high pressure and high nuclear capacity and adoption of fast breeder and
temperatures of more than 600°C, and are resistant to thorium-based thermal reactor technology in nuclear
oxidation, erosion, and corrosion power generation would bring significant benefits in
•Development of know-how related to heat transfer, terms of energy security and environmental benefits,
pressure drop, and flow stability at ultra-supercritical including GHG mitigation.
conditions India's uranium resources are limited but the
country has one of the largest resources of thorium
4.1.2. INTEGRATED GASIFICATION COMBINED CYCLE in the world. Therefore, right from inception, India
(IGCC) TECHNOLOGY has adopted a programme that will maximize the
energy yield from these materials. This is the three-
Integrated gasification combined cycle technology stage nuclear power programme. The first stage of
can make coal-based power generation - 10% more nuclear power generation is based on PHWR
efficient. For every 1% rise in efficiency, there is a 2% (Pressurized Heavy Water Reactor) technology using
decrease in CO2 release. Besides, there is a substan- indigenous natural uranium. The second stage is
tial reduction in NOx emissions. Demonstration of based on FBR (Fast Breeder Reactor) technology
plants using high-ash, low-sulphur Indian coal needs using plutonium extracted by reprocessing of the
to be pursued, while recognizing constraints such as spent fuel obtained from the first stage. The third
high costs and availability of superior imported coal. stage consists of using thorium resources.
Recent research has shown that these plants should The current installed capacity of nuclear
be based on the Pressurized Fluidized Bed (PFB) power plants is 4200 MW, accounting for nearly 3%
approach. of total installed capacity. A 500 MW fast breeder
Bharat Heavy Electricals Ltd. (BHEL) already reactor is under construction and is expected to go
has 3 R&D plants based on PFB, which have provided on stream in about three years. A 300 MW Advanced
design information to scale up this technology". Heavy Water Reactor (AHWR) has been designed. Its
BHEL and APGENCO have signed an agreement construction is due to begin in the 11th Plan. The
recently to set up a 125 MW plant at Vijayawada projected installed nuclear power by Department of
using indigenous IGCC technology. Atomic Energy (DAE) is shown in Figure 4.1 below.

4.1.3. NATURAL GAS BASED POWER PLANTS

Figure 4.1.4: Nuclear Power Generation Projections upto 2050
Natural gas based power generation is cleaner than by DAE
coal-based generation as CO2 emissions are only -
50% compared to coal. Besides, natural gas can be
used for electricity generation by adopting advanced
gas turbines in a combined cycle mode. Introduction
of advance class turbines with inlet temperature in
the range 1250 °C - 1350° C has led to combined
cycle power plant efficiency of about 55% under
Indian conditions. Many such plants are in operation
in India. With the discovery of significant reserves of
natural gas in the Godavari basin, setting up more
combined cycle natural gas plants is an attractive

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For sustainability of nuclear energy as a mitigation care.
option in the long term, it is important to close the
nuclear fuel cyclel 1. In this way one can produce
several tens of times more energy from the existing 4.2. Other Renewable Energy Technologies
uranium resources if the plutonium from the spent Programmes
fuel is recycled in fast breeder reactors and this
potential can be increased by another order of mag- Renewable energy sources, i.e. based on primary
nitude by closing the nuclear fuel cycle with thorium. energy sources that are regenerated naturally in
Therefore, the three stage nuclear programme of time-spans that are meaningful in terms of policy
India based on the closed fuel cycle philosophy and planning horizons, represent genuine supply
assumes greater significance in the context of cli- side sustainability of global energy systems.
mate change mitigation. The closed fuel cycle, in Renewable energy technologies (RETs) have
comparison to the once-through cycle, also reduces several well-recognized advantages in relation to
the volumes of radioactive waste requiring treat- conventional, largely fossil fuels based, energy sys-
ment and disposal. tems. First, by displacing use of fossil fuels, in particular,
petroleum based fuels, they promote energy security.
4.1.5. EFFICIENT TRANSMISSION AND DISTRIBUTION Second, they are amenable to adoption at different
scales – from hundreds of megawatts capacity to a
India's current technical losses during transmission few kilowatts. In many cases they may be deployed in
and distribution are as high as 16%-19%. By adopt- modular, standardized designs. This enables RETS to
ing HVAC (high voltage AC) and HVDC (high voltage be matched closely with end-use scales, enabling
DC) transmission, the figure can be brought down to decentralized deployment, and thus avoiding the risk of
6%-8% by using amorphous core transformers and failures, and unauthorized access to large networks,
up-grading the distribution system (avoiding conges- which leads to non-commercial losses. The feasibility
tion etc.). Distribution losses can also be reduced by of location close to the load or consuming centres
adopting energy-efficient transformers, which use enables reduction of technical transmission and
high-grade steel in the transformer core. distribution losses. However, where centralized grids
(networks) exist, they may be inserted as individual
4.1.6. HYDROPOWER modules in the grid (network) supply. Third, they can
help promote sustainable development, broadly
The CEA (Central Electricity Authority) has estimated defined, through increased opportunities for local
India's hydropower potential at 148,700 MW. The employment, especially the rural poor, and
hydroelectric capacity currently under operation is environmental improvement through reducing GHG
about 28,000 MW, while 14,000 MW capacity is emissions, local air pollutants, solid waste and waste-
under various stages of development. The CEA has water generation, and (in case of forestry-based
also identified 56 sites for pumped storage schemes sources), soil and water conservation, and maintaining
with an estimated aggregate installed capacity of habitats of wild species.
94,000 MW. In addition, a potential of 15,000 MW in On the other hand, several RETs also have
terms of installed capacity is estimated from small, disadvantages. First, some primary energy flows (e.g.
mini, and micro-hydel projects. Of this only about solar, wind) are intermittent, and insufficiently pre-
2000 MW has been exploited at present. These proj- dictable, requiring hybridization with systems more
ects are important, in particular, for electrification of under human control. For another, some RETs forms,
remote hilly areas, where it may not be feasible for such as biofuels compete with arable land and irrigation
the grid electricity to reach. Large-scale hydropower water with food crops. If not implemented with great
with reservoir storage is the cheapest conventional care, they may have adverse social and economic
power source in India. However, resettlement of dis- consequences,
placed population due to submergence of large
areas of habitation lands has to be attended to with

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RETs easily have the potential to replace all ed state-wise gross and net availability of agro-
current and foreseeable use of fossil fuels, for power residues for power generation.
generation, transportation, and industrial use, for all There are two basic technology pathways for
time to come. RETs represent a range of specific con- biomass for power options currently being imple-
version pathways and technologies. These are at dif- mented. These technologies are Straight Biomass
ferent stages of deployment, innovation, and basic Combustion and Biomass Gasification.
research. Some that are fully established commercial-
ly, e.g. biomass combustion and gasification based 4.2.1.1.1. COSTS AND FINANCING
power generation need up-scaling through policies
and regulations that would permit some unique Plant capacities for straight primary biomass combus-
deployment models to be operationalized. In other tion are not very large due to limited radius of eco-
cases, where commercial scale operation has been nomic biomass collection. Investment cost for bio-
demonstrated, but costs are still high, with the possi- mass combustion based power projects or co-genera-
bility that increased scale and further innovation in tion projects varies between Rs. 4 to Rs. 5 crores per
both technology and deployment models will reduce MW, depending upon project site, design and opera-
costs, tariff and regulatory support for a limited period tion related factors. The cost of electricity generation
may be needed. Where technologies have been is around Rs. 3/kWh depending upon specific fuel
demonstrated at laboratory scale, further R&D to consumption, which in turn depends on type of fuel
enable pilot and commercial scale demonstration and operating pressure of the boiler and steam tur-
may involve facilitation of industry and research lab- bine. This technology is, thus, generally cost-compet-
oratory partnerships, and may also involve public fis- itive with conventional power delivered by the grid
cal (investment) support. to rural areas.
In respect of biomass gasification technolo-
4.2.1. RETs FOR POWER GENERATION gies, the investment cost, with IC engines as source
of power generation, comes between Rs. 25,000 –
Power generation technologies based on renewable 60,000 / kW, depending on the type of gasification
energy flows comprise the following major primary system and type of fuel, including costs of gasifier
sources: Biomass, Hydropower, Solar, and Wind. and IC engine. The cost of electricity generation cost
Technologies in each of these primary sources have varies between Rs.3 kWh to Rs. 5/kWh for the cur-
already been deployed in India at commercial scale, rently available technologies in India.
but there remain several challenges in respect of In both cases, the costs of biomass collection
policies and regulations, R&D and transfer of tech- and transportation are key issues, which limit scale of
nologies, costs and financing, and deployment mod- operation of individual units.
els, that need to be addressed in order to ensure
their mainstreaming in the commercial power sector. 4.2.1.1.2. CO-BENEFITS

4.2.1.1. BIOMASS BASED POWER GENERATION TECHNOLOGIES Biomass based power technologies avoid problems
associated with ash disposal from coal based plants.
Biomass based technologies include those involving The ash from the biomass combustion may be
primary biomass combustion, and those that do not returned to the fields to enhance agricultural pro-
involve direct biomass combustion, but may involve ductivity. If the biomass is grown in energy planta-
conversion to a secondary energy form. tions on wastelands or common/panchayat lands,
Historically, primary biomass combustion has there would be increase in rural employment,
been the main source of energy for India. The besides water, and soil conservation. T&D losses
Integrated Energy Policy (Planning Commission, would be very low especially in decentralized sys-
2006) has estimated that around 80 mtoe is current- tems, and deployment can be done independently of
ly used in the rural household sector. In addition, the
Ministry of New and Renewable Energy has estimat-

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 170
the national grid and integrated with the national addition, there are 56 assessed sites for pumped storage
grid when extended. hydropower, totaling 94,000 MW. The total small
hydropower (upto 25 MW) potential is 15,000 MW, of
4.2.1.1.3 RESEARCH & DEVELOPMENT which only 1905 MW has been utilized. Large-scale
hydropower with reservoir storage is the cheapest
The technology for power generation through conventional power source in India. Small-scale
straight primary biomass combustion is mature, with hydropower is cost competitive with conventional
significant commercial deployment. R&D is required generation options, in particular for rural elec-
for compacting different types of biomass for trans- trification. In remote rural locations far away from
portation, and improved boiler design to enable the the grid, it may be the only feasible and economic
use of multiple biomass feedstocks. power option.
One significant area of R&D is development The technology options for hydropower at
of hot gas cleaning systems and optimum integration all scales are commercially well established, except in
with the gasifiers. Another is the development of the pico-turbine ranges i.e. < 1 kW.
gasifier systems based on charcoal and pyrolized bio-
mass, since volatile distillates of biomass feedstock 4.2.1.2.1. COSTS AND FINANCING
may have significant economic value, which would
be lost if the biomass is directly burned. The cost of generation ranges from Rs. 2 to 4 per
kWh. The capital costs are higher than for conven-
4.2.1.1.4. TECHNOLOGY TRANSFER AND CAPACITY BUILDING tional power, and usually in the range of Rs. 7 crore
per MW.
Biomass gasifiers available in the country are of very
low capacity compared to European and American 4.2.1.2.2. CO-BENEFITS
gasifiers, where the capacities vary from 1 MW to
100 MW. Biomass gasifiers with capacities upto 100 Small hydropower displaces diesel gensets, thereby
MW based on Circulating Fluidised Bed (CFB), avoiding local pollution. By thus avoiding consumption
Bubbling Fluidised Bed (BFB) and Pressurised of petroleum products, it also promotes energy security.
Fluidised bed (PFB) are available in the USA, Finland Small hydropower is generally more predictable than
and UK. Transfer of these technologies, and where solar or wind based sources, with variations occurring
necessary adaptive R&D, would enable deployment over the year, rather than on a hourly or daily basis.
models involving energy plantations on wastelands 4.2.1.2.3. RESEARCH & DEVELOPMENT AND CAPACITY BUILDING
or common/panchayat lands which would not com-
pete with food crops. The following are priorities for R& D:
Capacity building needs include support to
commercial demonstration by entrepreneurs of bio- •Design of pico turbines (< 500W range): This would
mass based distributed generation systems and using enable very small scale generation at the household
these as training facilities for local entrepreneurs and level, based on local hydro resources
O&M personnel. Such demonstration and skills devel- •Electronic Load Controller for micro hydro: This
opment would enable accelerated deployment of would enable supply of power from micro-hydel
these technologies. sources to village level grids
•Cost reductions in E&M
4.2.1.2. SMALL-SCALE HYDROPOWER •Standardizing the modules and optimizing the
usage of materials is critical for reducing equipment,
Hydropower, both large (reservoir storage) and small and hence generation, costs
scale, accounts for 18% of the total electricity gener- •Support to commercial demonstration by entrepre-
ated in India. Of the total estimated large hydropower
potential of 148,700 MW (storage and run-of-
river), so far only 35,000 MW has been utilized. In

42 • NATIONAL ACTION PLAN ON CLIMATE CHANGE

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neurs of small/micro-hydel based distributed gen- sources that are used for human food) may be set
eration systems, in particular in remote locations, at 5% of total grids purchase, to increase by 1%
and using these as training facilities for local entre- each year for 10 years. SERCs may set higher per-
preneurs and O&M personnel would help develop centages than this minimum at each point in time.
this sector.
•(ii) Central and state governments may set up a ver-
4.2.1.3. WIND ENERGY ification mechanism to ensure that the renewables
based power is actually procured as per the appli-
The installed capacity for using wind energy has cable standard (DMRPS or SERC specified).
gone up rapidly during the last few years (presently Appropriate authorities may also issue certificates
about 8000 MW). However, the capacity utilization that procure renewables based power in excess of the
factors are low due to the variations in the wind national standard. Such certificates may be tradeable,
flow. Action is required to design, develop and man- to enable utilities falling short to meet their
ufacture small wind energy generators (WEGs) upto renewables standard obligations. In the event of
10 kW capacity, that can generate power at very low some utilities still falling short, penalties as may be
speeds (- 2 to 2.5 m/sec). Effort is also required for allowed under the Electricity Act 2003 and rules
the development of low weight carbon fiber and thereunder may be considered.
other new generation composites, etc. for use in
wind turbines. •(iii) Procurement of renewables based power by the
An encouraging sign is the strong interest of SEBs/other power utilities should, in so far as the
the private sector in the wind area. Some Indian pri- applicable renewables standard (DMRPS or SERC
vate companies are involved in setting up wind tur- specified) is concerned, be based on competitive
bines in other countries in a big way. bidding, without regard to scheduling, or the tariffs of
conventional power (however determined).
4.2.2 GRID CONNECTED SYSTEMS Further, renewables based power may, over and
above the applicable renewables standard, be
The Electricity Act, 2003 and the National Tariff enabled to compete with conventional generation on
Policy, 2006, provide for both the Central Electricity equal basis (whether bid tariffs or cost-plus tariffs),
Regulatory Commission (CERC) and the State without regard to scheduling (i.e. renewables based
Electricity Regulatory Commissions (SERC) to pre- power supply above the renewables standard should
scribe a certain percentage of total power purchased be considered as displacing the marginal
by the grid from renewable based sources. It also conventional peaking capacity). All else being equal,
prescribes that a preferential tariff may be followed in such cases, the renewables based power should be
for renewables based power. preferred to the competing conventional power.
The following enhancements in the regula-
tory/tariffs regime may be considered to help main- 4.2.3. RETS FOR TRANSPORTATION AND INDUSTRIAL FUELS

stream renewables based sources in the national

power system: Internal combustion engine based power plants for
transportation modes require liquid or gaseous fuels.
•(i) A dynamic minimum renewables purchase In addition, rail (inc. LRT) modes, and some niche
standard (DMRPS) may be set, with escalation personal transportation modes are based on storage
each year till a pre-defined level is reached, at battery power, which may be recharged from mains
which time the requirements may be revisited. It is outlets. The focus in this section is on liquid fuels of
suggested that starting 2009-10, the national biological origin for transportation, and industrial
renewables standard (excluding hydropower with applications (prime-movers, heating fuels).
storage capacity in excess of daily peaking capacity,
or based on agriculture based renewables

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4.2.3.1. TECHNOLOGY PATHWAYS •Disaster-specific vulnerability assessments and sec-
toral impacts assessments at the state and district
There are several possible pathways for deriving level for preparing contingency plans
transportation and industrial fuels (not being feed- •Maintenance of critical facilities such as health care
stocks where the chemical composition rather than services and water supplies
energy content is the main consideration). •Collaboration with insurance providers to insure
At present, only biodiesel sourced from infrastructure, mainstreaming disaster risk reduction
Jatropha or Pongamia plantations, and bioethanol into Sarva Shiksha Abhiyan, Jawaharlal Nehru National
using spoilt foodgrains are cost-effective in relation Urban Renewal Mission and Indira Awas Yojana
to petroleum based fuels. While significant R&D is •Capacity building among design engineers, project
being carried out in several countries, including in planners and financial institutions on incorporating
India, in respect of technologies based on several of elements of disaster management
the above pathways, at present, the costs are not •Development of prefabricated structures instead of
competitive with petroleum. However, it is probable cast-in-place construction in vulnerable areas
that several biofuels technologies would eventually •Enforcement of building codes; better urban plan-
become competitive with petroleum, and the ning and zoning of vulnerable areas
policy/regulatory regime must enable them to be
commercially deployed when that happens. 4.3.2. STRENGTHENING COMMUNICATION NETWORKS AND
DISASTER MANAGEMENT FACILITIES

4.3. Disaster Management Response to Ensuring that communication channels are not severed
Extreme Climate Events during disasters can protect lives and expedite relief
and rehabilitation operations. Furthermore, it is
With projected increases in the frequency and inten- essential to have a regular monitoring programme in
sity of extreme events including cyclones, droughts, place to provide early warning of imminent disasters to
and floods attributable to climate change, disaster facilitate a planned response, including evacuation
management needs greater attention. In the 11th from vulnerable areas to minimize the impact of
Plan, the approach towards disaster management disasters. Specific action areas will include:
has moved from relief to prevention, mitigation, and
preparedness. Two main planks of the new approach •Upgrading forecasting, tracking and early warning
are mainstreaming disaster risk reduction into infra- system for cyclones, floods, storms and tsunami
structural project design and strengthening commu- •Monitoring river flows and mapping flood zones
nication networks and disaster management facili- •Generation of regional scenarios based on single or
ties at all levels. multi-hazard mapping
•Disaster response training at the community level
4.3.1. REDUCING RISK TO INFRASTRUCTURE THROUGH to build infrastructure and human resources for
BETTER DESIGN medical preparedness and emergency medical
response to manage mass casualties during extreme
As a planned adaptation strategy, reducing risks events
from natural disasters needs to be a part of infra-
structure project design, especially in areas vulnera-
ble to extreme events. It is generally much cheaper 4.4. Protection of Coastal Areas
to incorporate appropriate features in the initial
design and construction of infrastructure projects, The coastal areas are an important and critical region
including siting, than to undertake retrofits later. for India not only because of the vast 7500-km coast-
The various elements of this Programme may
include:

44 • NATIONAL ACTION PLAN ON CLIMATE CHANGE

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line but also because of the density of population triggers of asthma and respiratory diseases) and how
and livelihoods dependant on coastal resources. they are affected by climate change
Coastal zones are particularly vulnerable and sensi- •Studies on the response of disease vectors to cli-
tive to such impacts of climate change as rise in the mate change
sea level, rise in the high-tide level, and cyclones and •Enhanced provision of primary, secondary, and ter-
storms, which are projected to become more fre- tiary health care facilities and implementation of
quent and intense. The programme will focus on two public health measures, including vector control,
elements, namely (1) coastal protection and (2) early sanitation, and clean drinking water supply
warning systems. Priority areas on coastal zones
include:
4.6. Creating Appropriate Capacity at Different
•Development of a regional ocean modelling system Levels of Government
especially in the Bay of Bengal and the Arabian
Sea In view of several new initiatives that would be
•High-resolution coupled ocean–atmosphere vari- required, both in respect of adaptation and mitigation,
ability studies in tropical oceans, in particular the creation of knowledge and suitable capacity at each
Indian Ocean level of Government to facilitate implementation of
•Development of a high-resolution storm surge appropriate measures assumes great importance.
model for coastal regions At the level of the central government, there
•Development of salinity-tolerant crop cultivars would be a need to carry out the following:
•Community awareness on coastal disasters and There should be support to relevant policy
necessary action; plantation and regeneration of research to ensure that adaptation and mitigation
mangroves takes place in a manner that enhances human well-
•Timely forecasting, cyclone and flood warning sys- being, while at the same time minimizing societal
tems costs. This should lead to the design of suitable legal,
•Enhanced plantation and regeneration of man- fiscal and regulatory measures.
groves and coastal forests Appropriate capacity for implementing R&D
activities and promoting large-scale public awareness
and information dissemination on various aspects
4.5 Health Sector of climate change is required. For adequate R&D
activities a proactive approach favouring partnerships
The proposed programme comprises two main com- between research organizations and industry would be
ponents, namely provision of enhanced public health efficient and productive.
care services and assessment of increased burden of At the level of state governments, several
disease due to climate change. Areas that can con- agencies would need to enlarge and redefine their
tribute to enhanced health care services include the goals and areas of operation. For instance, State
following: Electricity Regulatory Commissions would need to
concern themselves with regulatory decisions that
•Providing high-resolution weather and climate ensure higher energy efficiency, greater use of
data to study the regional pattern of disease renewable energy, and other low carbon activities
•Development of a high-resolution health impact that would ensure energy security, reduced local pol-
model at the state level lution, and increased access to energy in areas where
•GIS mapping of access routes to health facilities in distributed and decentralized forms of energy pro-
areas prone to climatic extremes duction would be economically superior to conven-
•Prioritization of geographic areas based on epi- tional methods. State governments may also employ
demiological data and the extent of vulnerability to
adverse impacts of climate change
•Ecological study of air pollutants and pollen (as the

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fiscal instruments to promote appropriate options overriding priorities of the developing country parties."
and measures. Thus, developing countries are not required to divert
Local bodies would need to create capacity resources from development priorities by imple-
on regulatory measures, particularly for ensuring menting projects involving incremental costs – unless
energy efficiency in new buildings as well as through these incremental costs are borne by developed
a programme of retrofits. In respect of adaptation countries and the needed technologies are trans-
measures, local capacity and the involvement of com- ferred.
munities in actions to adapt to the impacts of climate The Global Environmental Facility (GEF)
change would be crucial. finances implementation of projects in developing
Public awareness on climate change would countries under the Convention. Additionally, the
have to be spearheaded and driven by government Kyoto Protocol created the Clean Development
at all levels. Emphasis on schools and colleges is Mechanism (CDM), which allows developed countries
essential. to meet part of their emission reduction commit-
In some cases legislation may be required at ments by purchasing credits from emission reduction
the central and state levels to arrive at appropriate projects in developing countries, thus serving the
delegation of responsibility and authority for meeting dual objective of facilitating compliance by developed
some of the goals mentioned above. countries of their emission reduction commitments
and of assisting developing countries to achieve
sustainable development.

5. International Cooperation: the

Multilateral Regime on Climate Change 5.1. Some Technology Development and
Transfer Issues
As a party to the UN Framework Convention on
Climate Change and its Kyoto Protocol, India plays an In the move towards a low-carbon economy, technol-
active role in multilateral cooperation to address cli- ogy has a vital role to play. Technology solutions are
mate change. These agreements are based on the also very important for enhancing adaptive capacity
principle of "common but differentiated responsibil- and reducing vulnerability to climate change and its
ities and respective capabilities" of Parties. Thus, impacts. In this respect, international cooperation in
they incorporate certain common commitments for science and technology assumes great significance.
all Parties, including an obligation to "formulate and It is important to ensure that within the mul-
implement programmes containing measures to mit- tilateral process under the UNFCCC, the menu of
igate climate change". Additionally, the Convention cooperation mechanisms is not constrained, and
requires the developed countries (listed in its Annex indeed, proactive measures are taken for these
I) to stabilize and reduce their greenhouse gas emis- mechanisms to be used. The stage of the technology
sions and the Kyoto Protocol establishes quantified, in terms of its progression from research to wide-
time-bound targets in this regard. Countries with the spread market adoption will play an important role
most advanced economies (listed in Annex II of the in determining the mechanisms that are appropriate
convention) are also required to transfer financial and relevant.
resources and technology to developing countries For example, when the technology solutions are
for purposes of mitigation and adaptation. at a very early stage of development, the primary focus
The Convention specifically notes that "per is usually on cooperation in basic scientific research.
capita emissions in developing countries are still rel- India has always been very actively engaged in, and
atively low and...the share of global emissions origi- is making key contributions to international scientific
nating in developing countries will rise to meet their programmes that may have significant implications
social and development needs." The Convention also for the transition to a sustainable
recognizes that "economic and social
developmentand poverty eradication are the first and

46 • NATIONAL ACTION PLAN ON CLIMATE CHANGE

 175
energy future, such as the International funds may be required that would finance the devel-
Thermonuclear Experimental Reactor (ITER). At the opment, deployment, diffusion and transfer of tech-
individual and institutional level, Indian participa- nologies for both mitigation and adaptation to
tion in scientific networks is also very strong. From a developing countries.
long-term perspective, this scientific cooperation will One of the main barriers to technology
remain very important. adoption lies in the low absorptive capacities of
As ideas progress from the laboratory closer developing countries. It is vital that mechanisms for
towards the market, the focus shifts towards tech- technology transfer include measures that will
nology design and development. Mechanisms that enable the enhancement of absorptive capacities,
enable joint technology development involving pub- keeping in mind the targets of such technology
lic and private sector entities and with suitable interventions.
norms for financing and IPR-sharing would be impor-
tant for ensuring that the process of technology
development and commercialization happens more
rapidly and effectively. 5.2. Clean Development Mechanism
For the final stage of deployment and mar-
ket adoption of technologies in developing coun- India has given host-country approval for 969 CDM
tries, two different contexts may be identified. For projects as of June 2008. Renewable energy, including
technologies that are already mature and deployed renewable biomass, accounted for the largest number
in the developed countries, appropriate financing of projects (533), followed by energy efficiency
models are essential, which may become operational (303). Very few projects in the forestry (6) and
through multilateral institutions, carbon markets municipal solid waste (18) sectors were included,
and mechanisms like the CDM. However, as was despite their large potential. The expected investments
noted earlier, given the somewhat limited role that in these 753 projects (if all go on stream) is about Rs.
the CDM appears to have played with regard to tech- 106,900 crores.
nology transfer, this issue will merit detailed exami- Of the 969 projects, 340 projects have been
nation. registered by the multilateral Executive Board (CDM
However, the transition to a more sustain- EB). India accounts for about 32% of the world total
able energy future will require a much more rapid of 1081 projects registered with the CDM EB, followed
progression towards a variety of newer, low-carbon by China (20%), Brazil (13%), and Mexico (10%)
and energy efficient technologies in different areas. (Source: UNFCCC). About 493 million certified emission
The usual mechanism considered for this purpose is reductions (CERs) are expected to be generated until
that of technology transfer from the developed to 2012 if all these host-country approved projects in
the developing countries. The conventional model of India go on stream (National CDM Authority,
technology transfer, considers that technology devel- November 2007). As of June 2008, 152.4 million CERs
oped in the North is first established there, before it had been issued to projects worldwide, of which
is supplied to the South. The rapid changes in the India accounted for 28.16%%, China (29.25%),
global economic and technology environment are Korea (17.87%), and Brazil (14.13%).
making this model less applicable. As the experience Some cross-cutting challenges in CDM imple-
so far also suggests, this model may be inadequate in mentation in India are listed below:
terms of satisfying the scale and scope of the tech-
nology response required. New models and mecha- •The projects from India are generally small. Of the
nisms for technology transfer will need to incorpo- 283 projects registered with the CDM EB till October
rate at least three key elements: appropriate funding 2007, 63% are small-scale projects (in terms of the
modalities and approaches; a facilitative IPR environ- Protocol definition)
ment, and enhancing the absorptive capacity within •The portfolio is dominated by unilateral projects,
developing countries.
New multilateral technology cooperation

NATIONAL ACTION PLAN ON CLIMATE CHANGE • 47

 176
i.e. the investors are Indian parties, employ locally grow substantially in the future.
available technologies, and use domestic financial
resources. While this has provided a significant
impetus to local innovation, CDM has not led to 5.3. Enhanced Implementation of the UNFCCC
the technology transfer from industrialized to
developing countries envisaged by the Protocol India looks forward to enhanced international coop-
•Industrialized countries have not participated sig- eration under the UNFCCC. Overall, future interna-
nificantly in project financing and the project risks are tional cooperation on climate change should address
mostly taken up by the host industries the following objectives:
•Insurance companies in general have shown little
interest in CDM, which is unfortunate since they can •Minimizing the negative impacts of climate
catalyse carbon trading by providing risk and change through suitable adaptation measures in the
financial analysis skills countries and communities affected and mitigation at
•There is much subjectivity in the multilateral CDM the global level
process, and divergent interpretations are given by •Provide fairness and equity in the actions and
different designated operating entities (DOEs) measures
accredited by the CDM EB •Uphold the principle of common but differentiated
•High transactions costs prevent the small-scale sector responsibilities in actions to be taken, such as
(in the Indian definition) from participating in CDM concessional financial flows from the developed
•In the absence of an international transactions log countries, and access to technology on affordable
(ITL), there is lack of reliable information in the terms
carbon market on CDM transactions
India as a large democracy, with the major challenge
Despite the above, there is encouraging response of achieving economic and social development and
from Indian entrepreneurs to the CDM across differ- eradicating poverty, will engage in negotiations and
ent sectors. Besides, several recent enhancements of other actions at the international level in the coming
CDM such as bundling and programmatic CDM need months that would lead to efficient and equitable
to be mainstreamed. Alongside the carbon market solutions at the global level.
under the Kyoto Protocol, a voluntary (non-compli-
ance) carbon market is emerging involving trades in
VERB (verified emission reductions). This market may

48 • NATIONAL ACTION PLAN ON CLIMATE CHANGE

 177
References
1. Intergovernmental Panel on Climate Change 4. Area Sea Levels trends along the North
(IPCC), Climate Change 2007: The Physical Indian Ocean Coasts consistent with global
Science Basis. (page 13) esti-mates? by A.S. Unnikrishnan and D.
Shankar, Global and Planetary Change, 57,
1. Growth and CO2 Emissions — How do different 301 (2007). (page 15)
countries fare? by R.W. Bacon and S.
Bhattacharya, The World Bank Environment 5. Impact of Climate Change on Forests in India
Department, November, 2007. (page 14) by N.H.Ravindranath, N.V. Joshi, R. Sukumar
and A. Saxena, Current Science 90, 354
2. National Energy Map for India, Technology (2006). (page 16)
Vision 2030 by The Energy and Resources
Institute (TERI) for Office of the Principal 6. Re cy cl in g of A u to m obi l es – Pro bl em
Scientific Adviser to the Government of Definition and Possible Solutions in the
India, PSA/2006/3. (page 14) Indian Context, by Captain N.S. Mohan Ram,
INAE Seminar on Recycling, September, 2007.
2. International Energy Agency (IEA) data cited (page 31)
by Planning Commission, India, 2007. (pagel4)
7. Development of the Integrated Gasification
3. India's Initial National Communication, 2004 Combined Cycle (IGCC) Technology as suited
(NATCOM I) to UN Framework Convention to Power Generation using Indian Coals,
on Climate Change (UNFCCC). (page 15) PSA/2005/4. (page 39)

3. Increasing Trend of Extreme Rain Events 11. Closing the Nuclear Fuel Cycle in the Context
Over India in a Warming Environment by of the Global Climate Change Threat by R.
B.N. Goswami, V. Venugopal, D. Sengupta, Chidambaram, R.K. Sinha and Anand
M.S. Madhusoodanam, Prince K. Xavier, Patwardhan, Nuclear Energy Review, 38
Science, 314, 1442 (2006).(page 15) (2007). (page 40)

NATIONAL ACTION PLAN ON CLIMATE CHANGE • 49

 ANNEXURE P/6
178
2. Role and Mandate of the Ministry

2.1 The Ministry of Environment & Forest and Climate Change (MoEF &CC) is the
nodal agency in the Central Government for overseeing the implementatio

natural resources including lakes and rivers, its biodiversity, forests and wildlife, ensuring the
welfare of animals and prevention and abatement of pollution. While implementing these
policies and programmes, the Ministry is guided by the principle of sustainable development.
The Ministry is also the nodal agency for the United Nations Environment Programme
(UNEP), South Asia Co-operative Environment Programme (SACEP), International Centre
for Integrated Mountain Development (ICIMOD) and the United Nations Conference on
Environment and Development (UNCED). The Ministry also coordinates with multilateral
bodies such as the Commission on Sustainable Development (CSD), Global Environment
Facility (GEF) and regional bodies such as Economic and Social Council for Asia and Pacific
(ESCAP) and South Asian Association for Regional Cooperation (SAARC) on matters
pertaining to environment. The broad objectives of the Ministry are:

Conservation and survey of flora, fauna, forests and wildlife

Prevention and control of pollution
Afforestation and regeneration of degraded areas
Protection of environment, and ensuring the welfare of animals.

2.2 These objectives are well supported by a set of legislative and regulatory measures,
aimed at the preservation, conservation and protection of the environment. Besides the
legislative measures, a National Conservation Strategy and Policy Statement on Environment
and Development, 1992, National Forest Policy, 1988, a Policy Statement on Abatement of

2.3 Subjects under the Ministry of Environment, Forest and Climate Change.

2.3.1 The following items of work have been allocated to the Ministry of Environment,
Forest and Climate Change :

6
 179
MINISTRY OF ENVIRONMENT, FOREST AND CLIMATE CHANGE
(PARYAVARAN, VAN AUR JALVAAYU PARIVARTAN MANTRALAYA) 1

1. Environment and Ecology, including environment in coastal waters, in mangroves and coral reefs
but excluding marine environment on the high seas.
2. Environment Research and Development, education, training, information and awareness.
3. Environmental Health.
4. Environmental Impact Assessment.
5. Forest Development Agency and Joint Forest Management Programme for conservation,
management and afforestation.
6. Survey and Exploration of Natural Resources particularly of Forest, Flora, Fauna, Ecosystems etc.
7. Bio-diversity Conservation including that of lakes and Wetlands.
8. Conservation, development, management and abatement of pollution of rivers excluding the river
Ganga and its tributaries.2
8A. National River Conservation Directorate.3
9. Wildlife conservation, preservation, protection planning, research, education, training and
awareness including Project Tiger and Project Elephant.
10. International co-operation on Issues concerning Environment, Forestry and Wildlife.
11. Botanical Survey of India and Botanical Gardens.
12. Zoological Survey of India.
13. National Museum of Natural History.
14. Biosphere Reserve Programme.
15. National Forest Policy and Forestry Development in the country, including Social Forestry.
16. All matters relating to Forest and Forest Administration in the Union territories.4
17. Indian Forest Service.
18. Wild Life Preservation and protection of wild birds and animals.
19. Fundamental and applied research and training including higher education in forestry.
20. Padmaja Naidu Himalayan Zoological Park.
21. National Assistance to Forestry Development Schemes.
22. Indian Plywood Industries Research and Training Institute, Bangalore.

1 Modified vide Amendment series no.306dated 31.07.2014

2 Substituted vide Amendment series no.306dated 31.07.2014
3 Inserted vide Amendment series no.306dated 31.07.2014
4 Modified vide Amendment series no.300 dated 26.02.2012

7
 180
23. Afforestation and Eco-Development which shall include National Afforestation and Eco-
Development Board.
23A. Bio-fuel plantations in forest, wastelands and environmental issues concerning bio-fuels.1
24. Desert and Desertification.
25. Forest Survey of India.
26. Indian Institute of Bio-diversity, Itanagar.
27. Central Pollution Control Board.
28. G.B.Pant Institute of Himalayan Environment & Development.
29. Wildlife Institute of India and Indian Board for Wildlife.
30. Indian Institute of Forest Management.
31. Central Zoo Authority including National Zoo Park.
32. Indian Council of Forestry Research & Education.
33. Andaman and Nicobar Islands Forest and Plantation Development Corporation Limited.
34. Prevention of cruelty to animals.
35. Matters relating to pounds and cattle trespass.
36. Gaushalas and Gausadans.
36A. Climate change and all other matters related thereto.2
37. The Prevention of Cruelty to Animals Act, 1960 (59 of 1960).
38. The National Environment Tribunal Act, 1995 (27 of 1995).
39. The National Environment Appellate Authority Act, 1997 (22 of 1997).
40. The Water (Prevention and Control of Pollution) Act, 1974 (6 of 1974).
41. The Water (Prevention and Control of Pollution) Cess Act, 1977 (36 of 1977).
42. The Air (Prevention and Control of Pollution) Act, 1981 (14 of 1981).
43. The Indian Forest Act, 1927 (16 of 1927).
44. The Wild Life (Protection) Act, 1972 (53 of 1972)
45. The Forest (Conservation) Act, 1980 (69 of 1980).
46. The Environment (Protection) Act, 1986 (29 of 1986).
47. The Public Liability Insurance Act, 1991 (6 of 1991).
NOTE:- The Ministry of Environment, Forest and Climate Change will be responsible for overall
policy in relation to forests, except all matters, including legislation, relating to the rights of forest
dwelling Schedule Tribes on forest lands.3

1 Inserted vide Amendment series no.287 dated 12.07.2006

2 Inserted vide Amendment series no.306dated 31.07.2014
3 Inserted vide Amendment series no.285 dated 17.03.2006
8
 ANNEXURE P/8
182

LEADER

We must know
THE struggle for people’s right to all information relevant to representative organisations.
their lives is intensifying worldwide. While some countries Thus, the NGO sector has to take up this issue on its own.
have accepted it as fundamental to the human rights issue, This is even more relevant today, when under the combined
most — even those who have partially accepted this — have onslaught of liberalisation and globalisation, natural resources
restricted the right to a greater or a lesser degree. No regime is of the people are coming under increasing threat. Each of the
today ready to allow unhindered access to all information, constituents of this concept of the right to information —
fearing a complete image crisis: there are too many skeletons transparency, social audit and accountability — have very
to hide in each cupboard. In developing countries like ours, it widespread implications. The real struggle is to push for a leg-
is the struggle to find out where the 85 paise out of every islation with teeth, because halfway houses, like the one pro-
rupee, meant for the poor and underprivileged and yet not vided by the Rajasthan government, will only frustrate people;
reaching them, is going. half measures always do.
However, some developments in India and abroad are Take for instance the attempt made earlier this year by the
encouraging. In April this year, under immense pressure from Union ministry of environment and forests, to empower local
the Majdoor Kisan Shakti Sangathan (MKSS), and facing the communities with the right to access information regarding
general elections, the chief minister (CM) of Rajasthan, hazardous industries (Down To Earth, Vol 4, No 19). But the
Bhairon Singh Shekhawat, belonging to the Hindu fundamen- moot question is, why only hazardous industries? Under the
talist Bharatiya Janata Party, accepted the villagers’ right to Land Acquisition Act, all those whose property is being
information about developmental problems (Down To Earth. acquired for any developmental project, have a right to ques-
Vol 4, No 24). It was, however, a partial victory. tion the public purpose under which the land is being
For a year now, Shekhawat has been promising the vil- acquired. But people cannot question a project if they do not
lagers the right to examine every document relevant to devel- have the relevant information regarding it.
opmental projects. Adding to this already Even internationally, the need for trans-
radical measure, the CM has been promising parency is being felt, and a conservative
that they would be allowed to photocopy the agency like the World Bank too, under
documents too. When the MKSS finally made intense public pressure, has taken a signifi-
this an eve-of-election issue, the CM must cant first step towards making information
have realised that it would be a political hara- public through its “Disclosure of Operational
kiri to renege at that point. So the right Information Policy, 1994”. But our govern-
was granted, but the rider was, the right ment, ever ready to provide all information
to photocopy was not. A photocopied to international funding agencies, never tires
document can be used to take legal action of finding excuses for not providing the same
against erring officials, if need be. The state information to our own people, for whom it
government, facing the wrath of the is supposed to be working. One of our own
bureaucracy, went for the halfway house: reporters was once refused common meteo-
information, yes; evidence, no. rological data collected by the Bhaba Atomic
So, the task only starts here. The dharna Research Centre, Mumbai, on grounds that
(sit-in) for the right to photocopy has been going on since the these were state secrets… the air and water of our land!
last month, and the venue has now shifted from Beawar town One international NGO has drafted a comprehensive piece
to the state capital Jaipur. There is a need for NGOs in other of legislation, “Public Participation and Access to
states to take this up and build up a national-level campaign. Information”. Its attempt is to get the draft adopted
The MKSS’s struggle is to force open the doors of ethical by the World Conservation Union (IUCN) general assembly to
governance through the power of information in the hands of be held this November. To ensure the safe passage of the draft,
the people. None of the political parties will be willing to go the IUCN has already started lobbying with its own members
too far on this. Their village power bases lie with that crucial and others. It is high time Indian NGOs got their acts together,
figure, the sarpanch (village headperson), who controls the too, on this issue. Eighty five paisa out of every rupee is not a
vote bank. The sarpanches are the ones who will be directly small matter. It is the tax payer’s money and the tax payer’s
affected, for their very real financial ‘black’ bank from corrupt health and future which is at stake; so, the person on the
practices will be destroyed if the right to information comes street must know. Information is our birthright, and we
through and is utilised intelligently by the people and their must have it. ■ 3

Down To Earth May 31, 1996

 SPECIAL REPORT ANNEXURE P/9

183

Uproar over a burning issue

With rising awareness regarding the hazards of incinerating waste, a lot of proposals
for incinerators have been ruled out in the West and the search
for a viable alternative is on

RAKSHA KHUSHALANI all released during combustion. Acid the US, incinerator proposals are facing
gases like hydrogen chloride and sul- delays and public opposition.
IRE is mounting globally against a tech- phur dioxide are formed during com- Opposition to commercial or merchant
nology that has existed for more than a bustion, when certain elements in sector facilities in the last two decades
100 years now. Although it is not in garbage come in contact with oxygen or has grown. As a result of this, plans for
good taste to get up one fine morning hydrogen, and are released into the new plants do not get approvals or may
and start protesting about what has atmosphere. Oxides of nitrogen are face great delays in many countries.
been going on for ages, it is certainly formed during garbage incineration by Examples are the problems faced in
rational if done to ensure good health the combination of nitrogen from the Spain and Australia for their proposals
and better environment. Incineration is wastes and oxygen from the atmos- to handle wastes. The ’70s saw a rapid
an industrial combustion process phere. growth in the concern over incineration
designed to reduce unwanted materials The ash which is left after combus- as a public health risk. This was as a
to simple solid and gaseous residues. tion also contains a lot of toxic ele- result of the identification of chlorinat-
Unwanted materials can range from ments. Ash is of two types. Bottom ash, ed dibenzo-p-dioxins and dibenzofu-
solid municipal refuse to highly toxic which contains non-combustible and rans in municipal solid waste (MSW)
liquid and solid chemical residues. incompletely burned solid matter, and incinerator emissions which coincided
Though in vogue for long it has now is generally dumped in nearby land, and with the release of 2,3,7,8-TCDD
been blamed for its devastating side- fly ash, which comes out of the inciner- (Tetrachlorodibenzo-p-dioxin) and
effects, including releasing of a cocktail ator during burning and escapes into subsequent environmental contamina-
of pollutants into the atmosphere. the atmosphere. tion in a chemical accident at Seveso in
Emissions include particulate matter, In many countries in Europe and in Italy.
heavy metals, acid gases, oxides of
nitrogen and products of incom- Toxic chimney: a hospital waste incinerator Waste Symptoms
plete combustion, including chlori- The pollution that results from
nated organic compounds (diox- incinerators is to a large extent
ins, furans, chlorobenzenes, dependent on the type of waste that
chlorophenols, etc). Incinerators is put into it. This in turn reflects
are of three types: municipal waste, the consumption and production
hazardous (industrial) waste, and patterns of the society as a whole.
medical waste incinerators. The For instance, plastic convenience
design of the incinerator also influ- packaging content may be seen as
ences the rate of particulate loading indicative of societal trends. Twice
in the flue gases. Other factors as much plastic (five per cent by
influencing the emissions include weights of total waste) is found in
the incinerator size, grate type, and Italian and US’ MSW than that in
the combustion chamber design. UK’s MSW.
Large incinerator units seem to The advantage incinerators
have slightly higher emission rates. have is that they reduce the bulk of
Its potential hazards have been the waste and the remainder can
recognised since many years, and sometimes be used as fuel.
there is a large body of knowledge Incinerators reduce upto 90 per
in the West that has initiated a mass cent in volume and 70 per cent in
AMIT SHANKER / CSE

movement against incinerators. weight of wastes, specially bulky

Heavy metals like arsenic, cadmi- solids with a high combustible con-
um, chromium, mercury, lead and tent. Destruction of some wastes
20 nickle which have toxic effects are and detoxification of others ren-

May 31, 1996 Down To Earth

 SPECIAL REPORT

184
ders them more suitable for final dis- ash from incinerators. If this metal-con- those found in milk from other cows. In
posal as in the case of combustible car- taminated ash (specially in the case of terms of agricultural effects, lead has a
cinogens, pathologically contaminated industrial incinerators) is disposed off permanent effect on soil contamination.
materials, toxic organic compounds, or in landfills, it can result in metal mobil- Humans have secondary exposure to
biologically active materials that could isation due to leaching. dioxins via milk and eggs.
affect sewage treatment works. It also This problem occurs par- Incinerators are A recent British study
destroys the organic component of ticularly when incinerator showed marked concen-
generally favoured
biodegradable waste which when direct- ash is disposed off with tration of larynx cancer
ly landfilled generates landfill gas (LFG). other wastes. Similarly, in communities cases among adults in a
Incineration development has been disposing off the ash from offering the least community within two-
influenced by many factors like con- MSW and hospital waste political resistance. and-a-half km from a
cerns over direct landfill of clinical incinerators is a problem. As a result, these commercial waste inciner-
wastes, identification of problem wastes This ash lands up in land- ator.
facilities are
for which incineration represents the fills and creates an acidic This awareness about
only commercially available method of environment. overwhelmingly the environmental devas-
disposal and the recognition of energy Hazardous waste inci- found in areas tation caused by incinera-
generation potential from wastes having nerators are supposed to where the tors is spreading fast in the
the capacity for adverse environmental be different from ordinary population is West, and finding more
impact, if inappropriately disposed. MSW incinerators. Surpri- and more eager ears and
poor, elderly
Incinerators are generally favoured singly, however, haz- attempts are being made
in communities offering the least politi- ardous industrial wastes and rural to search for alternatives.
cal resistance. As a result, these facilities are routinely incinerated This anti-incineration
are overwhelmingly found in areas in facilities that are not designed for that movement has led to several interna-
where the population is poor, elderly purpose. The problem components of tional bans. For instance, in 1985, the
and rural. In the US, more than half of hazardous waste that is incinerated are government of Sweden implemented a
the nation’s existing and proposed com- chlorinated solvents, PVC, pesticides and two year moratorium on the construc-
mercial hazardous waste burning facili- pharmaceuticals. tion of all new incinerators. In May
ties are located in rural communities Incineration of industrial wastes has 1992, the company, Chemical Waste
near agricultural lands. been practiced for the last 50 years, and Management, tried unsuccessfully to
early units were based on MSW incinera- persuade communities in Mexico to
Pure polluters tion technology itself. Rotary Kiln units accept proposals for hazardous waste
Emerging evidence shows that these were the result of poor performance of incinerators. These proposals were met
hazardous waste incinerators contami- ordinary units in dealing with haz- with local opposition. In March 1995,
nate the food chain and pose health ardous industrial wastes. The first rotary an ecological group in Chihuahua,
threats to the consumers who eat food kiln type of units were constructed in Mexico, protested against a proposal to
grown near incinerators. That the inci- Germany. build a municipal waste-to-energy
nerators’ emissions have a negative Water pollution from incinerators is incinerator, promoted by a Canadian
effect on the crops is not well docu- not generally regarded as an important Company — Alberta Special Waste
mented and statistically researched, but problem because of the limited amount Management.
is, nevertheless, a fact proved by field of waste water generated. However, In the US, since 1985, two hundred
studies and experimental tests. waste water from municipal waste and eighty incinerator proposals have
One of the many problems with incinerator plants is contaminated with been struck down. Despite this, the US
incinerators is mercury, a large part of heavy metals and inorganic salts. still has twice the hazardous waste
which is pushed out into the atmos- According to an US Environmental incineration capacity than what is good
phere. Where there is an efficient bat- Protection Agency report, “dioxins are for it. There is a five-year moratorium
tery collection system in place (as is the one of the most toxic chemicals known on waste incineration in Berkley,
case with a Swiss MSW incinerator), the and exposure to one molecule can be California. Waste incineration has been
mercury levels in the feedstock have harmful... Incinerators are the largest banned within city borders by the
been found to be considerably lower. producers of dioxins”. There are more Philadelphia city council. There was a
Waste incineration is responsible for the than 210 molecular variations of chlori- law suit against the internal revenue ser-
emission of some 20 tonnes of mercury nated dioxins and furans in effluents of vice for allowing the use of tax exempt
into the atmosphere per year in incinerators. Interestingly, concentra- bonds for mass burn incinerator plants
Germany. The behaviour of mercury is, tions of dioxins from the same incinera- in Vermont, US. All the above sited
however, the least understood. One tor tested at different times can vary up examples are evidence to the fact that
method to minimise mercury emissions to 15 fold. One of the effects of exposure there is definitely an anti-incineration
is by changing the temperature in key to dioxins is infertility. It is also known movement in the Organization for
components of the plant, though this is to cause birth defects and cancer and it Economic Cooperation and Develop-
likely to cause problems with other also effects agriculture. For example, ment countries. It is time cue thought
emissions. milk from cows grazing near a munici- out whether we should buy from the
In India, as in other countries, there pal incinerator in Switzerland contained West what they do not want in their
are no laws governing the disposal of dioxin concentrations upto ten times own land. n 21

Down To Earth May 31, 1996

 ANALYSIS ANNEXURE P/10
185

Hospital waste:
management morass

Every day, the country’s numerous hospitals and

medical facilities churn out millions of tonnes of
waste. An alarming percentage of this waste lies
in the open, like festering sores on civilisation’s
body, as breeding grounds of lethal virulences and
epidemics. Is incineration really the cure for this
malady? A team of Down To Earth reporters
investigates

AS HORROR stories about recycled syringes and quilts packed

with used surgical cotton keep pouring out of the dirty back-
yards of our hospitals, the country finally sees action, though
belated, on medical waste management. The problem stands
diagnosed, but the treatment labours under a cloud of
confusion.
The question is whether to follow the West, which used
incinerators to deal with the hospital waste problem last
decade, only to modify, restrict or even dump these gadgets as
unviable and environmentally harmful propositions, or to
look for safer alternatives. Even as incinerator manufacturers
in India and abroad strive to cash in on the newfound oppor-
tunity and market, environmentalists are busy pushing for
alternatives like segregation and chemical and electro-thermal
treatment of waste.
PHOTOGRAPHS: AMIT SHANKER / CSE

True to the trend, it was the Supreme Court (SC)

which had set the ball rolling. On March 2, 1996, the SC, in
response to a public interest litigation for cleaning Delhi
filed by advocate B L Wadehra, had directed the Delhi state
government to install incinerators in all hospitals and
nursing homes (having over 50 beds) in the capital for burning
off their waste. What had paved the way to the Court’s
decision was the April 1995 ministry of environment and
forests (MEF) draft rule — the Bio-Medical Wastes
(Management and Handling) Rules, 1995 — regarding the
disposal of biomedical wastes. 27

Down To Earth May 31, 1996

 ANALYSIS

186

But waste keeps piling up in the backyards of hospitals, in clandestinely imported to France from Germany. Segregation
municipal dumpsites and landfills. Schedule I of the MEF draft of wastes at the source prior to storage or transportation has
rule provides the different categories of bio-medical wastes, also been made mandatory under the rule.
which include the following: Certain hospitals have set up expensive incinerators. The
l human anatomical wastes (human tissues, organs) literature of one particular Indian manufacturer lays claim to
l blood and body fluids all 22 major medical incinerators installed in Delhi. According
l animal wastes to Greenpeace campaigner Anne Leonard, many manufac-
l microbiological wastes turers, who suffered due to opposition to incinerator techno-
l highly infectious wastes logy in the West are now eagerly looking forward to enter
l discarded medicines India (see Interview).
l discarded glassware
l disposables Seeds of death
l waste sharps (needles, syringes, scalpels, blades) The problem of clinical waste disposal has acquired gargan-
l liquid wastes tuan proportions in today’s cities. While about one-and-a-half
l slaughter house wastes kg of waste is produced per bed per day, of the total waste gen-
l incineration wastes (ash from incineration of any erated by hospitals, 47 per cent is biomedical waste, contami-
bio-medical wastes) nated with disease-carrying pathogens. According to
l bio-technology wastes (genetically engineered organisms researchers from Delhi’s G B Pant Hospital, pathogens which
or products and their culture) cause hepatitis-B (a chronic and lethal liver ailment carried by
The rule makes it mandatory for hospitals, nursing 43 million Indians), for instance, can remain in the blood at
homes and clinics having more than 30 beds or catering to needle-tips or bandages and spread infections for a long time.
more than 1,000 patients per month, to install incinerators At the Delhi-based Tuberculosis Hospital, leftovers from the
on their premises. The smaller facilities are required to kitchen find their way into a bin, which has become a breeding
set up common incinerators. The rule also directs veterinary ground for the very bacterium which the hospital was set up to
institutions, animal houses and slaughter houses generating demolish. Ailments like laptospira, a brain infection, germi-
more than 200 kg of biomass waste per day to install nate at places where hospital wastes mix with household
incinerators. garbage.
Another important facet of the draft rule is the ban on Internationally, there have been alarming reports of
import and export of biomedical wastes. In the early ‘90s, an anatomical waste popping up at dumpyards near settlements.
international furore had broken out when it was found that The Lancet (Vol 343) had reported that poor slum-dwellers in
medical waste, including bloodsoaked bandages, was being Olinda, Brazil, found human parts in the city’s garbage dump,

Pathogens of deadly ailments like hepatitis-B, a disorder of the liver, and laptospira, a brain infection, find ready and fertile
28
breeding grounds in the piles of undisposed medical wastes

May 31, 1996 Down To Earth

 ANALYSIS

187
Incinerators, when they transform solid and liquid toxic wastes into gaseous emissions, actually add to the volume of waste by
dispersing pollutants into the atmosphere

which sometimes even ended up as part of their food. In a sin- Earth, Vol 4, No 23); medical waste reduction and selective
gle inspection, a team sent by Olinda’s acting health secretary reuse need to be focussed on. Segregation of waste into the
found human fat, skin, foetuses, brains and breasts in the infectious and the non-infectious, however, is an area which
dumpyard. In 1995, human foetuses were found near a nurs- has generally suffered from gross neglect. Says Ravi Agarwal
ing home in Hapur, Uttar Pradesh (UP) according to local and Bharati Chaturvedi of Srishti, a Delhi-based NGO,
police and residents. “Though the 1995 rules recommend incineration only for
There have also been reports of recycling of hospital waste. select waste streams, in the absence of waste segregation prac-
Workers in Delhi’s hospitals regularly pilfer used syringes and tices, all kinds of wastes reach the incinerator.”
drip bottles, which sell at rates between Rs 10-25 a kg. In 1991, A series of three Srishti reports point out that the inciner-
The Pioneer reported a well-knit racket operating from the ation process does not destroy matter; it merely changes the
backyard of Delhi’s All India Institute of Medical Sciences, chemical composition and toxicity of the substances burnt.
which cleaned used syringes and transported them in bulk to The report argues that by transforming solid and liquid toxic
Meerut in UP. Slum-dwellers near another Delhi hospital — wastes into gaseous emissions, incinerators actually increase
the Loknayak Jai Prakash Narayan Hospital — were reported- the volume of waste by mixing it with air, and dispersing pol-
ly selling used cotton to make gaddis (mattresses). lutants into the atmosphere.
A nationwide concerted effort is, obviously, needed A two-year Danish National Environmental Research
to tackle the immensely complicated problem. Ironically, Institute study, published in 1990, had found that hospital
while the nation is striving to provide safer medicare to its wastes contributed 30 per cent of the dioxins and furans pro-
citizens through the use of disposables, unhygienic duced, even though they made up only one per cent of the
waste disposal methods have grossly undermined all total waste generated. In one of the most comprehensive
well-intentioned efforts. health risk assessments of medical waste incineration carried
Delhi’s hospitals: waist-deep in refuse
Is incineration the solution? Hospital Wastes Segre- Incinerator Amount of Pilferaging by Non
An incinerator converts solid waste into liquid managed gation wastes hospital staff incinerrated
by picked up wastes
and then gaseous form and releases it to the by ragpickers (total)
atmosphere, generating toxic chemicals like Mehrauli Hospital No Absent 60 per cent None 100 per cent/
TB staff infected sputum
dioxins and furans, formed directly from
Guru Teg Hospital No Present 10 per cent 40 per cent 50 per cent/
chlorine and chlorinated products like surgi- Bahadur staff of saleable of saleable gloves,
cal gloves and catheters, in the process. These biomedical biomedical blood
wastes waste vials,
chemicals — carcinogenic properties of diox- bandages
ins are well known — are found in incinerator Ram Hospital No Present 10 per cent 30 per cent 40 per cent/
Manohar staff of saleable of saleable syringes,
ash at levels of the order of micrograms per Lohia biomedical biomedical gloves,
gram of ash, much of which finds its way into wastes wastes bottles
domestic and municipal landfills. Safdarjung Hospital Yes Present No 60 per cent 60 per cent/
staff ragpickers of saleable bottles
During a recent survey of 10 government biomedical
hospitals, five private hospitals, seven small wastes
All India Hospital Yes Present No 40 per cent 40 per cent/
private nursing homes and 10 government Institute of staff ragpickers saleable bottles,
dispensaries in Delhi by Vatavaran, a Delhi- Medical biomedical
Sciences wastes
based environmental NGO, it was found that
Source: Hospital Waste: a Dangerous Infusion, a vatavaran report Iqbal Malik

Jai Hospital No Present 20 per cent 38 per cent 58 per cent/

20 per cent of these hospitals had bhattis Prakash staff of saleable of saleable bottles,
(crude large ovens) for incinerators. Fifty per Narayan biomedical biomedical blood
wastes wastes vials,
cent either burned the waste in the open or syringes,
bandages
dumped it in landfills; 10 per cent took their
G B Pant Hospital No Present 30 per cent 20 per cent 50 per cent/
wastes to other hospitals which had incinera- staff of saleable of saleable dirty linen,
tor facilities and 20 per cent had incinerators, biomedical biomedical bottles,
wastes wastes bandages,
which were mostly out of order. Most of these syringes,
hospitals were found to be operating incinera- gloves
Hindu Rao Hospital No Absent 30 per cent 20 per cent 50 per cent/
tors at 400-500°C, whereas they are required to of saleable of saleable dirty linen,
be operated at 1,200°C. Temperature control biomedical biomedical bottles,
wastes wastes bandages,
devices are vital to incineration. If the exhaust syringes,
gases in medical waste incinerators are not gloves

rapidly cooled, they run the risk of elements Kalavati Hospital No Absent 32 per cent 28 per cent 60 per cent/
Saran staff of saleable of saleable linen,
re-forming into dioxins and furans. biomedical biomedical gloves,
wastes wastes bottles
Experts are of the opinion that instead of
Sucheta Hospital No Absent 30 per cent 25 per cent 55 per cent/
adopting end-of-the-pipe solutions like inci- Kriplani staff of saleable of saleable linen,
neration, a more systematic approach needs to biomedical biomedical syringes
wastes wastes
be taken for disposal of these wastes (Down To 29

Down To Earth May 31, 1996

 ANALYSIS

188
The Vatavaran report throws considerable light on the gruesome racket in recycling of m
Medical Sciences, regularly pilfer used syringes, drip bottles and other items, which sell a

out by the California department of health services along with

the California air resources board in 1990, it was found that
dioxins and metals like cadmium exercised the most signifi-
cant carcinogenic effects. In 1991, in UK, a hospital incinerator
was believed to be the cause behind leukemia which killed a
citizen — an incident which prompted the much-discussed
case against the Gateshead Health Authority. Says Ravi
Agarwal, “There is already so much international debate on
this controversial technology, and India is still bent upon
adopting it.”
Medical waste incinerators, particularly in developing
countries, often carry out ‘batch processing’ of their contents:
the wastes are fed in batches on an ‘as arrives basis’. The
incinerator, hence, does not fire continuously, as is recom-
mended for optimising performance and minimising
emissions. In Latin America, there is a tendency to install
oversized incinerators. These are either inefficiently utilised or
are ineffective since they have to be filled with too little waste
leading to batch processing or with waste which was never
meant to be incinerated.
In India, no regulatory minimum or maximum tempera-
ture standards are followed for incineration. It is the manufac-
turer who decides and prescribes recommended temperature
ranges depending on the type of waste and incinerator. The
picture in developed countries — wherever incinerator tech-
nology is still in use — is not rosy either. In Washington, US, a
recent survey showed that between 48-87 per cent of the state’s
operating incinerators were without emission control equip-
ment. In UK, according to a study of 36 hospital incinerators in
Wales carried out in March 1990, only six operated between
the temperature ranges of 800°C to 1,000°C, while the rest
operated at a temperature as low as 400°C, leading to a danger
of dioxin production.

Reuse: a matter of economy

A recent move by the Mumbai-based King Edward Memorial Hospital to ban the reuse of disposable surgical items, fol-
lowing a consumer court directive, has served to create a flutter in various circles. Doctors and medicos, pointing out the
incapability of Indian manufacturers in meeting the demand, fear that foreign brands would take a stranglehold over the
market for these devices and prove to be a severe drain on the resources of cash-starved hospitals; this, they contend,
would affect the quality and reach of available medical facilities to all strata of society.
A Jaslok Hospital surgeon believes the reuse of certain items after sterilisation and repackaging is necessary, as it helps
in keeping in check medical costs. The ban on reusing disposables like catheters (tubes for draining body fluids), for
instance, will probably result in doubling the cost for angioplasty from Rs 35,000 to a steep Rs 70,000; every reuse of a
catheter, on the other hand, serves to bring down the charges.

Currently, the pollution control devices available for med- posal of incinerator ash, which consists of both fly ash and
ical waste incineration systems are wet or dry acid scrubbers bottom ash. This ash is highly toxic, containing large concen-
(to remove/neutralise acid gases), bathhouse (fabric filters), trations of heavy metals, dioxins and furans. The ash is
electrostatic precipitators (to remove airborne particulate dumped into landfills where it is rarely or insufficiently
matter) and hybrid dry/wet scrubbers and afterburners. covered with inert material. This results in groundwater pollu-
But the repair and maintenance costs of these devices are tion through leaching. It can also play havoc with the health
steep and there is very rarely any backup system in case of a and safety of scavengers and ragpickers, with liberal amounts
failure in operations. of sharps like needles constituting part of the waste. Nearly
30 Another major problem, says the Srishti reports, is the dis- 93 per cent of hospitals and nursing homes in Delhi surveyed

May 31, 1996 Down To Earth

 ANALYSIS

189
medical waste. Workers in Delhi’s hospitals, including the prestigious All India Institute of
at rates between Rs 10-25 a kg

l microwaving and
l electron beam sterilisation
These alternate technologies boast of much lower
operational costs than that incurred in running sophisticated
incinerators. Says Agarwal, “The running cost of an
ideal incinerator with all the pollution control gadgets in the
US is $1.5 million for incinerating 250 kg/hour, whereas
autoclaving and microwaving would cost only one-third of the
incineration cost.”
Autoclaving or steam sterilisation is normally used for
reusable items; an estimated 45 per cent of infectious medical
equipment in the West is made amenable for reuse through
this technology. “What is clearly required is a comprehensive
waste management system that deals with the problem not
only at all levels, but works from the bottom up and not from
the top down,” says Bharati Chaturvedi.
The Southeast Asian regional office of the World Health
Organization (WHO) had undertaken a survey in 1994 to assess
the status of hospital waste management in the countries of
the region. A P Hirano, an environmental health engineer
from the promotion of environmental health unit, WHO,
pointed out, “Although hospital waste management has
become a serious concern in Southeast Asia, only a few gov-
ernments in the region have adequate programmes for proper
collection and disposal of waste from hospitals.” The survey
concluded that the existing unsatisfactory management of
hospital wastes needed to be gradually changed through a
process of legislation, with sustained enforcement of rules and
regulations and systematic training and orientation of the
staff involved.
A 1991 Congressional report of the US office of technology
assessment had also recommended a “comprehensive waste
reduction and materials management approach to waste man-
agement”, saying that “while there is no one preferred treat-
by Srishti use the Municipal Corporation of Delhi waste ment method, source separation practices are the key to tar-
stream to dispose off their garbage. geting particular wastes for the most appropriate treatment
This means the disposal of medical waste in a methods”.
landfill depends upon the highly suspect and debatable Srishti, on its part, has put forth a few recommendations
efficiency of collection demonstrated by the local for a systematic approach to waste management in its
municipal ward. “Even internationally, while the law often report. The list includes measures like waste audit, account-
stipulates stringent requirements on handling the ash, there is ability, inventory control, categorisation of medical wastes,
usually no clear guidance on its disposal,” informed specific air emission standards for medical wastes and
Ravi Agarwal. finally, awareness, education and training of personnel.
“We have to be more accountable for the waste we generate
The alternatives and adopt cleaner technologies and not incineration for man-
Incinerators, clearly, are passé in the developed aging the ever growing menace of hospital wastes,” asserts
world. Industrialised countries are witnessing a concerted Ravi Agarwal.
move towards non-incineration technology. Nearly 80 per The premier judicial body in the country seems to have
cent of the hospitals in California use alternatives to recognised that. In a judgement on May 7, the SC, directed the
on-site incineration, which include the following broad Central Pollution Control Board to examine emission levels
categories: from installed incinerators, and to set emission level standards
l mechanical treatment in the wake of the anti-incineration call to “consider the best
l chemical treatment disposal technologies”. The next hearing on the issue has been
l plasma torch scheduled for July this year. n
l thermal deactivation
l electro-thermal deactivation With inputs from Max Martin and Madhumita Dutta
l autoclaving 31

Down To Earth May 31, 1996

 CROSSCURRENTS
ANNEXURE P/11
190
Time to sit up
A green clean or the polluted nether worlds? The choice must be made soon. May be
global ‘redistribution of opportunities’ in the countries of the South can help set the
scene right for a green crusade

MAX VAN DEN BERG Western knowledge and technology as the exclusive answer to
the environmental problems that the South continues to face.
THERE are very few countries in the world that have such a There is something else which is more important. If we
sophisticated environmental policy as the Netherlands. And consider the world to be a global village (and who would not
there are very few countries on the face of the earth that have these days?), and if we acknowledge the coexistence of
polluted their environment so much, as have we in the poverty (mainly in the South) and abundance (mainly in the
Netherlands. These two facts, of course, are interrelated. North) to be at the heart of the deterioration of our environ-
In the Netherlands, a population of 16 million people ment, then at the end of everything only redistribution of
have to live together on a very limited geographical space. The opportunities can be the answer to the problem.
standard of living of this teeming millions is exceptionally During the United Nations Conference on Economic
high, and all of them share a common passion for mobility for Development (UNCED) in 1992, which was held in Rio de
the sake of global competition through the international divi- Janeiro, developing and developed countries together tried to
sion of labour. As a result, the Netherlands have specialised negotiate a global deal aiming at such redistribution: develop-
mainly in those sectors that have turned out to be more-than- ing countries would take measures to curb pollution and
average polluters: bulk chemicals, mechanised agriculture, exhaustion of natural resources in exchange for Western
road transport and so on and so forth. support in their fight against poverty, through methods
Therefore, ironically in our country, a direct link exists like development aid, reduction of debt and liberalisation
between our well-guarded material abundance and burgeon- of trade.
ing environmental degradation which is a cause for alarm. In Since UNCED, undoubtedly, the environment of the world
most developing countries on the other hand, one can see has gained prominence on policy agendas of the North as well
that it is poverty that is a root cause for alarm. And poverty is, as the South. But in the end, when ecology and economy have
of course, coupled with exhaustion of primary products and to fight it out for ‘who comes first’, all too often it is economy
land, and extinction of species. The felling of trees, pollution that wins hands down. This is why today we risk the danger of
of rivers and the uncontrolled disposal of wastes, all these are building up frustration among all those global citizens who
not only symptoms but also causes of poverty. were once motivated to explore the potential of a global deal
With the roots of environmental degradation being so that was put down on the agenda of UNCED.
much different in the North and the South, the question that Export of environmental knowledge and technology
one can ask is, if Northern knowledge, technology and opin- alone will not be enough to prevent this frustration, almost
ion (which I have been asked to four years after UNCED and other
share with readers of this magazine topics are dominating the interna-
on a more or less regular basis) is tional negotiating agenda. The sense
useful for people who live in the of urgency that one could perceive
South. The answer is definitely in the Rio proceedings has disap-
positive. But this is true only if peared, although the environmental
certain conditions are met. problems plaguing different regions
In the first case, a gratuitous of the world have not yet been
‘export’ of ideas, policy recom- solved.
mendations and technological However, shortly, the interna-
achievements are all not very help- tional community is set to under-
ful. It would be helpful if modern take its first effort to evaluate
technologies which are heavily the implementation of the commit-
protected through intellectual ments adopted at Rio. For NGOs,
property rights, would be available governments of nations all over the
much more easily for Southern world and international organisa-
entrepreneurs. A point to be tions alike, this is a compelling
noted is that all this technology is opportunity to show that their
nestled in the hands of Western lobbying for ecological awareness
companies. was not only a temporary whim, but
And it would indeed be a is a lasting commitment till the
wrong signal if for negotiations, necessary results are achieved. ■
VISHWAJYOTI

this noose of protection is only

tightened further. But still, I would Max van den Berg is the director
56 not recommend the export of general of NOVIB, The Netherlands

May 31, 1996 Down To Earth

 ANNEXURE P/12
INTERVIEW 191
‘India way ahead in tackling waste’ another, and, what is left, on the conveyor belt,
which could then be used in the compost pits.
India is one step ahead of the west when it
PAUL CONNET, professor at the Chemistry department, St Lawrence University, comes to recycling wastes.With incinerators,
New York, has toured 29 countries in the last 11 years, educating and assisting you are taking a leap backwards.
On the myth of waste being turned
communities in waste disposal systems, while warning them of the ills of
into domestic fuel:
incineration. He was in India recently, on this self-propelled mission, and A professor from a premier engineering insti-
spoke to RAJAT BANERJI tute in Delhi put forth the proposal for making
fuel pellets out of wastes by pyrolysis.
On what brought him to India: This would be a disaster! And on a
The stimulus to visit India was an much larger magnitude as compared to
advertisement in the local papers: a even incinerators. Imagine 10 or 20 mil-
global invitation on waste disposal sys- lion households burning these pellets.
tems (read incineration) by the govern- This would lead to pollution of such a
ment of India. I just couldn’t believe it! magnitude that right from the pollution
Incineration is an incredibly expensive monitoring agencies to those in preven-
method of waste disposal and is the tion, no one would even know where to
most harmful one, too. India already start its control. That is the tyranny of
has an ideal situation and system of small decisions. They add up to a big
waste recycling, that is, the separation of problem, as users would not feel that
different kinds of wastes (by rag-pick- they are in any way threatening the
ers). Going in for incineration would health of their children.
undo whatever good exists here, and On the anti-incinerator campaign
also repeat one of the West’s most trag- in the US; given its high con-
AMIT SHANKER / CSE

ic mistakes. sumption levels, how this is

Being from North America one being tackled:
feels responsible for the rape earth is The movement took off in about three
subjected to by multinational corpora- years in the early ’80s, coinciding with
tions (MNCS), mostly American. But the peaking of incinerator building. By
while 20 per cent of the world’s population has ing the immune, neurological and reproduc- 1991, most major environmental groups had
brought the planet to its knees, it is even more tive systems. They are absorbed into the joined in making it a national issue.
scary that the remaining 80 per cent is being human body through the food chain. Women Challenging over-consumption, however, is
seduced into adopting the same philosophy. pass them onto the baby they bear. not so easy. It is much more difficult to get
On his perception the part MNCS have Experiments have proved that upto 85 per across to people who are not threatened, as
played in ‘bringing the planet to its cent of wastes need not even reach the landfill against communities which are. But the ball
knees’: or incinerators. Bio-degradables and organic has started rolling. Earlier, the average person
The mindless greed of MNCS seem to be plun- matter can be used to make compost, and on the streets had not much idea of recycling
dering the planet as if we had another one to go waste in India has a very high content of this resources. Now, recycling is the most
to when this was exhausted. The worldwide type; then there are the recyclables. What is left respectable thing to talk about. We are making
rise in expenditure on advertisement is an can be compacted and put into landfills. If you some inroads in industry regarding cleaner
indication of how they are expanding business, have incinerators, waste managers would want technology and production. May be the envi-
leading to a corresponding rise in consump- everything to be burnt, destroying valuable ronmental disaster China is headed for, due to
tion. This further stretches the worlds fast resources. Cost-wise, one incinerator used in adopting Western, consumerism will open the
depleting resources. If it were true that con- an American city initially cost US $60 million. eyes of US policymakers.
sumption makes people happy, we would Eventually, the government had to spend an On the chances of an anti-incineration
should have been very happy people in the additional US $250 million on pollution con- movement in India:
West. But that is not true. Consumption and trol devices for the same incinerator! There is a very good chance of it succeeding.
happiness are not related. On the options, apart from incinera- You have the added advantage of learning
On why incineration is bad: tors, that India has: from the West’s mistakes and know the exist-
Incinerators are bad as they are (i) a major Since the government obviously has at its dis- ing alternatives. The Indian NGOs I have inter-
threat to public health, (ii) they destroy posal vast resources, it would be a better idea acted with seem to have done their homework
resources (which can be recycled and reused), to get the rag-pickers organised into coopera- well, and that is a good sign. If the NGOs net-
and (iii) they are the most expensive method tives. By spending a fraction of what an incin- work well and exchange information and ideas
of waste disposal. Toxic metals are liberated erator would cost, you could have chambers at freely, you could pressurise politicians, and
from incinerated garbage at inhalable levels; the mouth of the landfill, where the waste eventually the government, to reconsider the
lead, cadmium and mercury being the most enters in a conveyor belt. With adequate pro- decision on incinerators. Part of the battle is to
dangerous of these. Also, dioxins and furans tection for the rag-pickers and also an exhaust mobilise the opinion of the local people and
get released when a chlorine-based substance fan system to pull out the vapours, the rag- bring them into the global network of citizens
is burnt. These two are growth disregulators pickers could sort out the waste, putting who want to ensure that the planet is hos-
and can lead to hormonal imbalances, damag- recyclables into one set of boxes, toxins into pitable in the next century. ■ 57

Down To Earth May 31, 1996

 EDITOR’S PAGE ANNEXURE P/13
192
manage, their goals, what they achieved ronmental NGOs have repeatedly raised.
and what they did not during the But very little has happened in this area.
past year and what were the obstacles in Over the last 200 years, we have totally
their work? I don’t know of any bureau- moved away from our roots and tradi-

W e now have a new government.

To those of us concerned about
the environment, it is obvious that
cracy anywhere that does this, but it
would probably be a great innovation
for state bureaucratic systems to
tions and centralised natural resource
management under state bureaucracies,
which are totally incapable of managing
the biggest challenge before this produce an annual public document of in a cost-effective manner, for instance,
government will be to create systems of this kind. the 500,000 tanks that exist across the
governance that bring about a healthy Bureaucrats definitely must be country. Indeed, they are not even inter-
balance between environment and asked to produce a report on the state of ested in doing so.
development. With a population ready the natural resource they are trying to And yet, India was once a country
to cross a billion, and one of the manage — air, water, forests and so with a million institutions. Every eri
poorest and most illiterate in the world, forth, so that citizen’s groups can assess (tank) in Tamil Nadu had a people’s
economic growth will be vital to meet for themselves whether the country is institution to look after it. That is why
its basic needs and provide jobs. But making progress or not. Many environ- even today, in Ramanathapuram
without taking care of the environ- ment ministries across the world district, they stretch across the land-
ment, it may only mean a little produce an annual status report which scape. But who is there today, other
more bread for a decade or two, and provides the public with the latest than centralised bureaucracies, to
a degraded, poisoned wasteland data on the state of the environment. look after each of our tanks, rivers,
thereafter. Many governments, unlike ours, make national parks... each of our village
But as our recent report showed, environmental impact assessments ecosystems and urban atmospheres? It is
our political parties say one thing but of major projects available to the the resolution of this institutional crisis
do quite another (Down To Earth, public. that will most help us to bring about the
Vol 4, No 24). None of this will l Public participation: How much balance between environment and
change with the new government. But decisionmaking should be left to the development.
under the combined impact of popula- bureaucrats? They have their own per- None of these will happen without
tion growth, urbanisation and enhanced sonal agendas and to a great extent sub- ideas and constant pressure to learn and
economic activity, the environment serve political agendas. If a balance change. How do we organise ourselves
will continue to deteriorate at an between environment and development to constantly monitor the government,
accelerated pace. So the question is, has to be achieved, then people’s partic- and jointly demand the changes that are
what do we, as citizen’s groups in civil ipation has to be brought about. But necessary? Public awareness will obvi-
society, do? what are the procedures necessary to ously play the most important role, but
The first step is a national debate on ensure that this happens more and more so will clear thinking and practical
what, within our country and culture, in decisionmaking systems? In fact., the demands on your part. There are
will constitute good and effective envi- biggest change in environmental gover- enough regulatory apparatuses in the
ronmental governance. To my mind, nance has come because the courts have country, but the point is that we have to
some of the obvious issues are: become more open to public participa- get one that delivers ‘effective’ regula-
l Accountability of government insti- tion in questioning projects, policies tion or management.
tutions: The major challenge here is, and procedures and this has been the It is definite that India cannot meet
what does civil society do to make these most redeeming feature of the ’90s. But the challenges of the 21st century
institutions more accountable? And what is needed to ensure increasing with 19th century institutions and
what governmental procedures and public participation in decisionmaking legal frameworks — though, may be,
activities does civil society insist upon within the executive system? 15th century institutions built on
that would make state institutions more l Decentralisation and institutional our own roots still have certain things
accountable? For some time to come, development: This is an issue that envi- to teach us. n
groups in civil society must focus not
just on substantive issues like water and
air pollution, but also on institutional
issues like what are the reasons for Public awareness, clear thinking
pollution control boards being so
ineffective. and practical demands will help us
l Transparency: Transparency and
accountability tend to go hand-in-hand. monitor the government and fight
Bureaucrats would hate to do this, but
why can’t each one of them be forced to
for the changes that are needed
produce a self-assessment report in
4 terms of the problem they are trying to

June 15, 1996 Down To Earth

 ANNEXURE P/14
193

LEADER

Forestry convention: lair in the woods

THE issue of who will govern the world’s forests, and how, of the money transfered.
is hotting up again. The Commission on Sustainable But for us the main issue is not which institution will do
Development (CSD) has set up the Ad hoc Intergovernmental the work, but what work has to be done. Forests are local
Panel on Forests (IPF) to recommend what should be done by resources, best managed by local communities. Therefore, It is
the global community to better manage the world’s forests. At time to redefine the role of multilateral organisations in this
the Earth Summit (1992) in Rio, NGO’s like CSE had success- crucial area.
fully opposed the proposal for a global forestry convention. Another parallel issue is also gaining momentum — the
The convention would become a tool for strengthening development of a set of criteria and indicators (C&I) for the
bureaucratic management of our forests, instead of deepening “sustainable management of forests”. This process has been
community control. underway since Rio. The idea is to use the C&I for labeling
We knew that despite our temporary victory at Rio, which woods are ecofriendly and vice versa. Across the world,
the real battle was still to come. In March 1995, we were invi- there are at least four C&I initiatives underway, and many
ted by the director general of the UN’s Food and Agriculture more are still taking off.
Organization (FAO) to a special meeting on forests and forest- In addition, there is the initiative led by NGOs like World
people. That meeting was to precede a meeting of the world’s Wide Fund for Nature (WWF) and Forest Stewardship Council
forest ministers. Interestingly, even though FAO has the charter (FSC). The FSC offers its services to national governments as a
for the management of forests, it has been the playground for “certifier of certifiers” for trade in forest products. These ini-
agriculture ministers. This then was the first time FAO tiatives are vying with each other for legitimacy. One can also
convened a meeting of forest ministers. hear the call for developing a “harmonised” C&I — that is, a
Not surprisingly, the unsaid agenda was to give FAO a single set of criteria for the entire forests of the world.
leadership role in global forest management. Worse still, FAO These are reasons for serious concern. Firstly, the single
was reviving the idea of the forest conven- most important criterion and indicator for
tion. A draft statement of the forest minis- sustainable forest management has to be the
ters — ostensibly the result of their meeting direct control of local people in forest man-
— was prepared even before their arrival, agement. How can this process, led as it is,
and leaked out to us. It said that the minis- by supra-national agencies who see trees
ters resolved to work on the “need, or other- and not people, ensure that this criterion is
wise, to proceed towards a legally binding followed? A study of the current C&I shows
instrument on forests”. The recommenda- that in most cases, people are not even men-
tions of this meeting would go to CSD and tioned, and if they are then, at best, their
could well have been accepted. After mas- participation is sought, not guaranteed.
sive lobbying, the FAO backed out and the Besides, since forests are local resources,
statement was watered down. The CSD then the C&I have to be first developed by local
decided to set up the Ad Hoc IPF. The Panel communities and then ‘harmonised’ into
has to submit its report in April 1997. global standards. In fact, what is happening
Of the five agenda items of the IPF, item is that criteria developed for ‘green trade’
5 is politically the most important. It calls are being palmed off as criteria for green
for the study of international organisations forestry. For the deprived millions who live
and multilateral institutions and instru- in them, the vast tropical forests are habi-
ments, including appropriate legal mechanisms. Therefore, tats. The extraordinary diversity of forest types and use by the
the panel has to recommend to governments if the existing forest people, and in particular, the diversity of life, cannot be
forest-related global institutions and instruments are ade- coded into a national or global C&I. This can only be done for
quate, or there is a need for new institutions/legal instrument. the single-use, humanmade, monoculture forests of the
Multilateral agencies and multilateral instruments are Northern model.
all desperate for survival, and each wants to bag the mandate It is our strong belief that the C&I process is controlled by
to protect and manage Southern forests. In 1993, roughly the pulp and timber lobby of the temperate North. The real
us $1.5 billion was given in overseas assistance for forests. worry for the South lies in this process becoming the logical
This comprised of grants (71 per cent) and loans (29 per input into a legal framework, which will then govern its
cent). But the multilateral agencies controlled only 13 per cent adherence. The forest convention then would not be far away. ■ 3

Down To Earth June 15, 1996

 ANNEXURE P/15
THE FORTNIGHT 194

US / POLLUTION
now. The EPA has been considering

The tiny killers whether to issue new standards that

would be strong enough to shield the
public against these microscopic killers.
Carol Browner, administrator of the
A recent study highlights the need for better pollution control EPA, had taken note of epidemiological

technology and stricter laws to curb the emission of minute studies, including a survey by the
American Cancer Society conducted
particles of air pollution, which claim thousands of lives in earlier. The recent study by NRDC adds
the US alone to the necessity of enacting new legisla-
tion as soon as possible. Said Browner,
A TINY speck of particle floating in the air measures 100 microns in diameter.) “This is a very serious issue, and we are
could ultimately send you to the grave. Recent discoveries have shown that par- moving ahead quickly to come up with
That air pollution leads to respiratory ticles smaller than 2.5 microns in dia- conclusions. The science suggests that
and heart ailments speeding up death, is meter pose the greatest health risk. the smaller particles really are a prob-
a well known fact. But a recent study by These minute particles, when inhaled, lem”. The EPA is likely to propose a new
an environmental group has revealed are drawn deep into the lungs. They rule concerning small-particle pollution
alarming facts about the lethal powers escape the body’s natural defences and by November this year. It is expected to
of seemingly innocuous fine particles of settle in the most fragile sections of the be ready for enactment next year.
air pollution. According to the survey of lungs, leading to serious respiratory However, tightening the noose of
239 cities by the Natural Resources ailments and even cancer. regulations alone will not deliver clea-
Defense Council (NRDC) in the US, tiny An overhauling of the regulatory ner air. When new rules come into
particles of airborne pollution cause force, the US science and industry will
64,000 deaths nationwide every year. have to come up with better alternatives
The mortality rate due to particle to meet it. But grumblings can already
pollution is the highest among people be heard from industries that may have
who already have breathing problems, to make investments in new technolo-
including asthmatic children and some gies for pollution control. For example,
elderly people. According to the NRDC, the American Mining Association dis-
coal-fired power plants are the largest missed the study saying that it was based
source of ‘fine particle pollution’ in the on “junk science”.
US. The other culprits contributing to the Before enforcing costly new regula-
pollution are diesel-burning trucks and tions, the EPA will have to make sure that
buses, petrol-powered cars, industrial they are backed by solid scientific evi-
boilers and even wood-burning stoves. dence. Studies identifying the small par-
In a country which takes pride in ticles as deadlier than bigger ones are
being in the forefront of environmental relatively new and small in number. But
legislation, the study has thrown open a then, the industry always puts up a
floodgate of debate on the laws which defensive front when confronted with
VISHWAJYOTI

govern air pollution. The Clean Air environmental responsibilities. Hope-

Act of 1970, which was strengthened fully, the industry’s stand will not deter
in 1977, considerably improved the the EPA from coming up with the right
quality of America’s air. Cleaner cars standard —- a standard that permits 50 regulatory weapon to fight the tiny
and cleaner fuels have been produced in micrograms of particulates per cu m of killers.
accordance with tough federal man- air does not cover the particles that have While scientists may take some time
dates. Still, it is now obvious, the war the most damaging effect on health —- to find an answer to fine-particle pollu-
against air pollution is far from over. devised by the Environmental tion, the solution to the problem of air-
More than 5,000 lives in Los Angeles Protection Agency (EPA) to enforce the borne soil particles could be at hand. The
could be saved annually if more strin- air pollution law has been proposed. source of these particles had long
gent regulations to curb small-particle NRDC said that a federal rule narrowing remained unknown. But Ann Kennedy, a
pollution were enforced. down the limit of particulates to 20 soil scientist with the US Agricultural
The existing laws have loopholes micrograms per cu m of air (in mea- Research Service in Washington, claims
that let the finer particles to pass surements averaged over a year) would that she can identify the source of dust by
through. Pollution control laws like the save about 4,700 lives a year in the US, examining the fatty acid content of the
Clean Air Act were essentially drafted to while a limit of 10 micrograms per cu m microorganisms clinging to the particles.
reduce the amount of all airborne would save about 56,000 lives a year. According to John Bachmann, an EPA
microscopic particles that are 2.5 to 10 The new environmental legislation official, fatty acid profiling could play a
microns in diameter. (A human hair has been on the anvil for some time crucial role in curbing air pollution. n 5

Down To Earth June 15, 1996

 ANNEXURE P/16
CROSSCURRENTS
195

To be healthy, wealthy
and wise…
…activists must fight for better prevention and health education

ANIL AGARWAL philosopher Ivan Illich who was quite correct

in his diatribe against modern professionals
IT IS a matter of great concern that India lacks — how they distort issues and disempower
a health policy worth the name. Nearly a people — particularly the medicos.
billion people have no assured access to health People’s disempowerment is a serious

ILLUSTRATIONS: RUSTAM VANIA

care and the benefits of modern science. And issue as our not-very-democratic political sys-
what’s worse, there is little pressure on the tem often lacks a political will to counter the
government to prepare such a policy for the problems. Moreover, we ourselves have
people. Unless there are health activists like adopted natural resource management
there are environmental activists, the govern- bureaucracies, laws and systems left behind by
ment will never take a decision either. our colonial rulers, which have left the poor
Traditional diseases like malaria, filariasis, disempowered as always. In fact, keeping the
diarrhoea and various gastrointestinal disorders continue to people disempowered in terms of knowledge can be the worst
dominate the morbidity and mortality rates of India. form of disempowerment in a modern-day society when
Simultaneously, modern diseases, because of changing changes are taking place at a bewildering pace, showing
lifestyles and deteriorating environmental conditions, are also equally bewildering consequences. This may cause women
affecting the humanity. Apart from cancer and cardiovascular and children in developing countries to suffer several diseases
disorders, AIDS is growing menacingly. This double, or rather and health problems not only due to their ecological and eco-
triple, burden of diseases is a very serious challenge. Of the nomic conditions, but also cultural conditions.
several factors responsible for a slipshod health care system,
lack of money is one. Resource shortage will continue to Prevention is always better
bedevil developing countries. Therefore, unless these coun- The challenge before us today is: how do we develop low cost
tries decide to restrict themselves to health care services for the solutions to deal with our health problems? The two major
rich and neglect their poor majority, which many countries opportunities to reduce costs are, preventive health pro-
are in fact, willy nilly doing, they will have to search for low grammes, and traditional curative care. Both the areas
cost health service measures. demand education, people’s campaigns and action. There is
Lack of respect for local traditions has proved to be a enough worldwide data to show that it is far cheaper to reduce
major bane. Most developing countries have adopted modern the health impacts of smoking through preventive pro-
science as the panacea. Health workers in the developing grammes than to allow a smoking epidemic and then cure the
world will totally fail to meet challenges if they do not respect resulting diseases. The same holds for the AIDS epidemic or
the traditions of the developing world and integrate the best in cardiovascular diseases.
them with that of modern medicine. In most developing Traditional medicine can also play a very important role in
countries, lack of understanding and concern for environ- providing low cost service. During its war with the US, North
mental conditions is leading to rapid environmental Vietnam, which had little financial resource to tackle its health
deterioration. From standard air and water pollutants to all problems and a very small drug manufacturing base, needed
kinds of highly toxic substances, the air that we breathe and enormous foreign exchange to import its medicinal require-
the water that we drink, are becoming increasingly poisonous ments. Its supporters like China and the then Soviet Union
and unhealthy. too, were unable to supply such vast quantities of pharmaceu-
Like all science and technology professionals in India, ticals. And aid to Vietnam in those days was anathema for all
health scientists and public health engineers are pushing Western donors except for Sweden. Vietnam, therefore,
Western ideas and practices as the only solutions to the prob- decided to make the best of its traditional resources.
lems. But developing countries, which have a heavily stressed Standardised herbal gardens to treat common diseases were
environment and limited financial resources, can respond developed, providing succour to the public as the first line of
only to innovative solutions. One is reminded of the Mexican pharmaceutical defence. Unfortunately, as few efforts in 53

Down To Earth June 15, 1996

 CROSSCURRENTS

196
traditional medicine have been appreciated by modern practi- participation. The work of the Vector Control Research
tioners, they have been little studied and statistically analysed. Centre in Pondicherry and the work of the Malaria Research
There is now, however, a revival of interest in traditional Centre in various villages of India are outstanding examples of
medicine even in rich countries. People will turn to herbs strategies that need to be replicated worldwide. Similarly, the
because they believe they have fewer side effects; or they will work of the Orangi Pilot Project, an NGO, in the slums of
turn to acupuncture to cure arthritis, or to yoga to reduce Karachi in Pakistan, where people themselves — once made
stress because modern medicine has no magic pills for these aware of the health costs of bad sanitation — have invested
problems. Even that arch centre of modern medicine in the US millions to construct a sewage-based waste disposal system
— the National Institutes of Health — has set up an Office of without any State intervention. But few governments learn
Alternative Medicine to evaluate traditional curative systems one lesson: environmental management is not possible with-
of the world. By giving yoga a secular form, Maharishi Mahesh out participatory systems of governance.
Yogi was able to popularise it in the US and other Western
countries. But it is a shame that in India itself, nothing much Success: a different mindgame
has been achieved. To identify low cost and environment-friendly tecnological
systems requires great skills in first identifying the needs, and
Handle with Care in developing the necessary technologies. In the last century or
Environmental problems are still more difficult to deal with. so, the world over, people have built sewage-based waste dis-
In many countries, population and consumption are increas- posal systems which have innumerable inherent problems.
ing faster than the increase in the waste management infra- Firstly, in poor countries, they prove so expensive that only a
structure, leading to an increase in contaminated water, air fraction of the population can afford them. Secondly, these
and toxic chemicals. Improved irrigation systems has lead to systems demand enormous quantities of water which have to
the spread of schistosomiasis (a disease caused by infection be supplied by building large dams; and then, nearly a quarter
with blood flukes). Development of water supply systems is flushed down the drain to carry away a few grammes of solid
without adequate drainage facilities have helped spread filari- waste to the nearest waterbody, thereby polluting and messing
asis. Construction of overhead water supply tanks in cities up innumerable waterbodies and rivers. Despite their high
have led the urban mosquito — A aegypti and the dengue epi- cost, more and more sewage systems and dams continue to be
demic to proliferate. Extensive paddy cultivations have built, which is a wastage of public money.
spurred Japanese encephalitis. Surely, there must be alternative ways to deodorise and
Felling of tropical forests have generated diseases like the depathogenise human waste and turn them in to excellent
recent Ebola virus epidemic in Zaire and some years ago, the compost so that the nutrients can go back to the very medium
Kyasanur Forest Disease in Karnataka. Due to the mismanage- from which they came — to farm soils. All over southeast and
ment of the sub-Himalayan flood plains, drainage congestion northeast Asia, recycling of human excreta has been a com-
and constant waterlogging appear to have revived kala azar in mon practice, and even today, many Japanese cities do not use
Bihar. Cancer incidence has much to do with environmental
carcinogens, dietary and lifestyle shanges. Undoubtedly, we
are getting exposed to numerous little known chemicals.
Delhi’s citizens have the highest concentration of DDT in
their body fat in the world, because of the pesticide’s wide-
spread use. There is also very little concern in India about
toxic waste disposal. Because of the Indians’ love for film
music but restricted coverage of the electricity grid, battery-
based transistor radios have become extremely popular. But
no thought has been given to the disposal of the batteries con-
taining highly toxic substances. This is just one instance. Good
environmental management will play a critical role in keeping
many diseases at bay. But changes call for massive educational
campaigns for creating mass awareness and alternative con-
sumption patterns and governance systems; interventions in
the market to ensure more environment-friendly investment
in industrial processes and products; reworking of national
budgetary and pricing policies so that people pay the full
ecological costs of their consumption; and of course, legal
exercises to bring to book environmental criminals.
Over the years, NGOs worldwide have played a major role
in doing three things: a) making people aware of environ-
mental issues; b) fighting against disastrous projects, and c)
developing participatory systems of resource management.
Excellent efforts have been made by various Indian research
institutes to show that mosquito-borne diseases can be con-
trolled by eradicating breeding sites — an environmental
54 management that simply requires a very high order of people’s

June 15, 1996 Down To Earth

 CROSSCURRENTS

197
sewage-based disposal systems. Yet, the total funding in this to increase medical professionalism and introduce consumer
area of research is probably not more than US $5 million. What and health laws to reduce medical malpractice. There is even a
does this mindset show? A total lack of concern about the great need to empower communities by teaching them to con-
good uses of the environment? Our sanitary engineers have duct their own epidemiological surveys, especially given the
learnt sewage systems from the European schools of engineer- money-power of the environmental exploiter and the State’s
ing, and that is all that they think of now. And, since most negative role in environmental issues all the way from Love
sanitary engineers serve wasteful systems, they could care less. Canal in the US to Bhopal in India.

Illusion and reality There is no safe womb

There has never been a greater need than today to undertake Women and children often are the last to recieve the benefits
mass education programmes — both formal and informal. of health services. Wherever women live within a biomass-
Health communicators should document the health needs of dependent economy, environmental degradation has meant
the poor and the marginalised, and bring them to the atten- that women have to spend enormous time just collecting fuel-
tion of policy planners; secondly, they should understand and wood, fodder and water to meet household needs. In such
apply effectively the new knowledge that scientists are regu- conditions, the crumbling local economic-ecological base
larly throwing up. We know very little about the long or short- induces male migration, causing the work burden on women
term health impacts of the dietary changes taking place world- to become heavier. While the women work in the fields, their
wide. Even in Asia, dietary habits which comprise cuisines children, especiallly infants, are neglected. Gradually, the chil-
developed over thousands of years, are changing rapidly. Just dren too get involved in various economic and household
20 years ago, dairy products and meat and eggs were all con- activities. While young girls are entrusted with the care of their
sidered good food in the West. Today, Western nutritionists younger siblings, boys take to grazing cattle. As the situation
advise us to have as little of these as possible if we want to ut worsens, even young boys move out of the degraded eco-
avoid a range of diseases, including cancer. system in search of work, thus leading to an increase in child
Traditional Indian doctors (vaids) bemoan the fact that labour in formal industrial and commercial sectors.
cow milk is no longer easily available, being replaced in all A Centre for Science and Environment study of the late
Indian cities by buffalo milk. What is the long-term implica- ’80s revealed that women worked anywhere between nine
tion of the switch to vegetable oils? In southern Europe, wide- hours to 14 hours daily, depending on different seasons. The
spread use of olive oil is apparently a key factor for the low girl child’s education was neglected. Since the mother plays a
incidence of cadiovascular diseases in the region. But how critical role in raising the children, any condition that arrests
does the ordinary citizen acquire that knowledge which female literacy, proves detrimental for the society. In urban
enables his family to adopt health-friendly dietary decisions? areas, women and children, including the unborn foetus, face
Third World newspapers rarely have a health correspondent new threats. Numerous pollutants are found to pass through
on their staff. I am deeply impressed by Jean Carper’s two the foetus and affect the child. A recent United Nations
books: The Food Pharmacy Educational Programme study reports that some toxins which
and Food: Your Miracle may not affect the exposed mother, may affect the foetus.
Medicine. Carper sat in the Rarely — if ever — data on the exposure levels to toxic
National Medical Library in substances are known or made available to the public.
the US, and scanned nearly Numerous surveys on developing countries have shown that
10,000 papers recording rural women using woodstoves in badly ventilated rooms, can
scientific analyses of food be exposed to more carbon monoxide and benzopyrene than
products, and the health chain smokers or people working in the most polluted cities of
impacts of various foods. the world. But such studies are rare. A UN report prepared
The Centre for Science before the Rio Conference on environmental degradation and
in the Public Interest, a its impact on women and children noted in no uncertain
Ralph Nader group in the terms, “There is no safe womb today.”
US, does outstanding work My recommendations to overcome this stalemate are:
in monitoring resturant l There is a need to constantly inform people about opportu-
food in the US, so much so nities and options they have in terms of health services and
that it has earned the media measures.
epithet of ‘the food police’. l There is a need for constant campaigns for mechanisms that
The Centre regularly carries empower people, especially women, both in terms of
out surveys of various knowledge and legal rights to demand better health and
resturants and snacks like education services and ecological conditions.
popcorns sold in cinema l There is a need to constantly analyse the specific environ-
halls. These surveys are so mental and economic conditions of poor developing coun-
widely recognised and tries and identify appropriate technological needs. n
accepted that whole restu-
rant chains can lose busi- This article is the edited version of a keynote lecture by the
ness for weeks if an adverse author at the 15th annual conference of the International
survey is released. Public Union of Health Promotion and Education held recently in
campaigns are also needed Tokyo, Japan 55

Down To Earth June 15, 1996

 ANNEXURE P/17
INTERVIEW
A N YELLAPPA REDDY
198

“It is wiser for industry to

invest in pollution control”
Which is the guiding and
enforcing authority in the
state?
The Karnataka Pollution Cont-
rol Board (KPCB). The environ-
ment department can guide but
cannot enforce pollution con-
He was the archetypical
trol. It is for the PCB to insist on
activist-bureaucrat. For
environmental planning and
A N YELLAPPA REDDY, former
regulations. But when I ques-
special secretary to the
tioned PCB officials, they said
government of
the industries have been war-
Karnataka’s department
ned but they “do not listen”.
of environment and
Why is the PCB ineffective?
ecology, the issues were
The attitude of the PCB officials
real and live. He
seems to be one of abetting the
would not let avaricious
industry. They are interested in
politicians and big
giving licences and consents,
business lobbies destroy
which is more lucrative. What
the valuable ecosystem
industry does not understand is
of the Western Ghats.
that expenditure for pollution
Naturally, he could not
control is a pittance when com-
continue for long and
pared to the expenses incurred
voluntarily retired in late
in renewal of licences through
1995. But before that, he
underhand methods. So, I also
had been instrumental in
blame the big businessfolk, the
starting indigenously
elite who are in direct touch
developed mechanised
How do you rate the level of with the politicians, keeping the latter in their
afforestation of two lakh
environmental awareness and motivation ‘payroll’. That is why any ruling party stops the
hectare of barren land in
in the state government? PCB from taking action. But industry should
Uttara Kannada, and in
I was absolutely amazed at the total ignorance understand that improper pollution control
demarcating and setting
and negligence of any environmental consider- affects productivity too. Indian industry does
up the Nagarhole
ation while taking policy decisions. There is no not fall into the category of viability.
National Park. In the first
concern whatsoever, both at the administrative What do you mean by ‘viability’?
candid interview after
and ministerial levels. We do not have any viable technology. No
retirement, Reddy spoke
Would you say that this neglect points industry has spent any money on research and
to Keya Acharya about
ultimately to a comprehensive lack of development in this sector, whereas they
environment, politics and
planning? should be devoting at least 25 per cent of their
the exotic gardens he is
Yes, definitely. Until and unless the enforcing budget to study ways and means of reducing
working on
authority of the Central government takes the use of resources and reusing their wastes.
environmental issues seriously, industry will The electroplating industry generates chemi-
not spend money on pollution control because cals like cyanide, chromium, cobalt and nickel.
they view this as an useless expenditure. We Installation of digital sensors can tell you —
have mega industries here that give out at least during the manufacturing process itself — of
20 to 30 different types of emissions without the precise quantities of chemicals used, the
proper control measures. We do not even have amount of other chemicals needed to neu-
any decent pollution monitoring equipment. tralise cyanide and so on. They can help
Take Bangalore: we have just three outmoded recover at least 25 per cent of the original
and ancient air pollution monitoring devices, inputs and also some of the by-products. What
56 for a city of this size. is required is stream-wise recovery and the

June 15, 1995 Down To Earth

 INTERVIEW

199
control of effluents. mining. Bellary has very high diurnal ranges in
There is also complete ignorance in the temperature, which will be further aggravated
field of reuse. For instance, much of the three- by so many largescale industries. A whole chain
four million litre of water used daily by Mother of negative effects would be shot off by the
Dairy can be treated and reused by textile units. industries there. At each stage, I have vehemen-
It works out much cheaper than buying water tly opposed these decisions with facts and
from the Cauvery. I had begun working on this figures. Yet, a powerful lobby saw to it that
angle of reuse during my tenure, but I do not permission was granted. The government
know if the initiative will be sustained. keeps saying “we want industry, at whatever
There was a major controversy over a cost”, and systematically weeds out whoever
speech you made prior to your retirement. opposes it. It is difficult to function under such
What was it about? conditions.
In a seminar, I had spoken of the ecological Your environmental concerns also include
threats posed to the Western Ghats by the ther- the ‘sacred garden’ in Ramnagaram, near
mal plants coming up in Dakshina Kannada. Bangalore. What is this all about?
The area is ecologically sensitive; it is the water I discovered that in Bangalore there was a
basin for peninsular India. What I had been shortage of bilwapatra, or bael leaves, used for
insisting on was a ‘clean burn’ of de-sulphuri- worship by the priests of the famed temple at
sation technology for any coal-based plant Gokarna. I eventually realised that most of the
coming up in the area, with particular reference flowers needed for worship were not found,
to Cogentrix. They alone will be generating 250 and the priests used substitutes.
tonnes of sulphur emissions per day. Ron Actually, every religion regards as sacred
Somers (the managing director of Cogentrix) certain flowers and plant parts. Our studies in
says he is bringing in air emission standards set organic chemistry showed that most of these
by the US Environment Protection Agency, but plants and flowers have volatile oils which
I am more concerned about the sulphur and evaporate when torn and are held inside
nitrogen oxides in that emission, a query that cupped palms, and find their way into our body
he was not able to answer. The Ghats run up system. These oils have significant value in
just 20 km from the coast rising to a height of aromatherapy. They possess other medicinal In a seminar, I had
3,000-4,000 feet (ft). So, even if they erect values as well. By 1989, with the help of
spoken of the
American-size chimneys (the tallest is 250 ft), Vedic scholars, I had published a book, Sacred
they are not going to mitigate the sulphur emis- Plants, through the forestry institute in ecological threats
sions problem, which causes acid rain. On the Dehradun. All this culminated in setting up the
posed to the
contrary, tall chimneys will increase the pro- gardens.
blem because the sulphur will lodge itself on a How is the pavitra vana structured? Western Ghats by
wider area of forest canopy and the area’s There are separate plots for each flower needed thermal plants
3,000-millimetre-rainfall will cause the dissolu- for a specific puja. For instance, the Lakshmi
tion of these chemicals onto the forest floor plot breeds Calophyllum inophyllum, which is coming up in
where most breeding takes place in the mon- said to be Lord Shiva’s favourite. Its juice is a Dakshina Kannada.
soons. Also, no one knows how the 680 tonnes purgative, its oil is used to treat rheumatism
of flyash per day is going to be handled. Somers and the bark for treating wounds and ulcers. Actually, I was
says he will put up a de-salinisation plant to There are plots devoted to the seven Hindu doing my job. So I
recycle the water used, but what will Cogentrix rhishis, (sages), nine planets and the 12 signs of
do with the remaining salts? Dumping this will the zodiac. There is also the Garden of Eden do not understand
threaten the estuary, marine life and the man- and the Garden of Mohammed. We have iden- why the chief
groves. My main contention is that they have tified sacred plants of Islam and Christianity
minister took
used industrial benchmarks in an ecologically but we are yet to procure most of them.
fragile zone. Actually, I was just doing my job Actually, I had wanted the scheme to flower umbrage
by discussing environmental hazards. So I do into social forestry. Each village temple could be
not understand why the chief minister took allotted about two ha of land for practicing this.
exception to my speech. But the chief of the social forestry department
Why did you seek voluntary retirement? said that this did not fall within his jurisdiction.
At that time, my comments were being sought What other schemes are you working on?
on high-level decisions regarding setting up There is also the Dhanvantari vana, where we
industries. Ever since the new government came are cultivating 700 species of medicinal plants in
to power in 1995, not one of my suggestions a 12 ha-garden named after the mythical Indian
have been heeded to. I had opposed the setting medico, Dhannvantari. These can be used by
up of a large number of steel industries in common people by following simple prescrip-
Bellary. The area has no groundwater. The tions. We have conducted radio conversations
farmers rely entirely on the river Tungabhadra, and used other methods of spreading awareness
which is itself threatened due to relentless and the response has been very favourable. n 57

Down To Earth June 15, 1995

 Black Red

STATISTICS
ANNEXURE P/18
200

Carbon, carbon everywhere

The origin of greenhouse gas emissions is an important issue in relation to the need for devising policy options
to minimise potential global climate change and its impacts. The best known of the greenhouse gases is CO2,
which is emitted into the atmosphere in large amounts — the equivalent of more than 6,000 tonnes of carbon
per year. The industrialised world, particularly the US, is largely responsible for the accumulation of greenhouse
gases in the atmosphere. An international system for tradeable permits in carbon emissions would break new
ground in international trade. But how to allot these permits is a debatable question.

Time to stop and change North takes the cake

Extrapolated figures showing the dark future of the planet Per capita CO2 emissions in affluent countries is very high
Emissions of CO 2 by region (Giga tonne Carbon), 1985
Western Europe 0.85 World
Industrialised
Pacific 0.31 North America 2.37
United States
Centrally-planned South-East Asia 0.27
Europe 1.33 Former USSR
Middle East 0.13
Africa 0.17 Germany
Latin America 0.22
Centrally-planned
Asia 0.54 Spain
Estimated emissions in 2025 assuming no abatement
China
Western Europe 1.19
Industrialised North America
Pacific 0.62 2.37 Brazil

Morocco

Centrally-planned South-East India

Europe 2.77 Asia 1.55
Ethiopia
Centrally-
planned Middle
Asia 1.80 East 0.67 0 2 4 6 8 10 12 14 16 18 20
Africa 0.8
Latin Tonnes per inhabitant per year
America 0.65

Know your limits

A system to reduce CO2 emissions has to be developed

The table shows how CO2 trade permits might be distributed among the top 20 countries taking different criteria. For
simplicity, the total number of permits are assumed to be 1,000. The table has been compiled using 1989 figures

In proportion to CO2 emissions Equal rights per head of population Cleanliness of production
(1989 country totals) (1989 population figures) (GNP / tonnes CO2, 1989)

United States 273 China 353 Japan 117

Soviet Union 213 India 244 France 109
China 134 Soviet Union 84 Italy 89
Japan 58 United States 72 Brazil 80
India 37 Brazil 43 Fed Rep of Germany 72
Fed Rep of Germany 36 Japan 36 Spain 72
United Kingdom 32 Mexico 25 United Kingdom 58
Canada 26 Fed Rep of Germany 18 United States 54
Poland 25 United Kingdom 17 Canada 52
Source: UNCTAD Report 1995 and WRI

Italy 22 Italy 17 Australia 42

France 20 France 16 Romania 36
German Dem Rep 18 Republic of Korea 12 Soviet Union 35
Mexico 18 Spain 11 Republic of Korea 35
South Africa 16 Poland 11 Czechoslovakia 34
GRAPHICS: SHRI KRISHAN

Australia 14 South Africa 11 German Dem Rep 31

Czechoslovakia 13 Canada 8 Mexico 28
Republic of Korea 12 Romania 8 India 25
Romania 12 Australia 5 South Africa 12
Brazil 12 German Dem Rep 5 Poland 9
60 Spain 11 Czechoslovakia 5 China 8

June 15, 1996 Down To Earth

 ANNEXURE P/19
201

LEADER

Another wait and watch

THE picture is getting bleaker day by day. First, the President of But first, the parties in the coalition will have to settle down,
India surprised everyone by asking the Bharatiya Janata Party resolving their ego hassles and mad scramble for lucrative
(BJP) to take over the reigns of the country at a time when the ministries. By the time the smoke is cleared, the development
party’s strategists themselves knew they could not have pulled agenda will be relegated to the back-burner.
off the game. The President had probably been trying to stick But whatever hopes one could still retain would seem to
to his statement before the elections, that he was committed to vanish in the face of the fact that the new Prime Minister,
invite the single largest party. But in this instance, the single H D Deve Gowda, is himself too firmly hooked to an aggres-
largest party did not the reflect the majority opinion. sive liberalisation agenda. In an interview to our research
That the BJP at all agreed to stage the 11-day drama was team, while he was still the chief minister (CM) of Karnataka,
even more ludicrous. Way back in 1988-89, the Rashtriya he came out as a person least concerned with environment.
Swayamsevak Sangh (RSS), fountainhead of the BJP and its Indeed, he has categorically stated that there is no link between
allied formations, had decided that it would assume power in liberalisation and environment!
1995-96. Probably to appease the RSS hawks within the leader- Gowda’s track record as CM does nothing to assuage our
ship and the rank and file, the BJP decided to ‘fight it out’. But fears. He has been obsessed with the development of his native
in retrospect, the party did not even stay back for the voting, state, and in that drive, he has washed aside all environmental
and decided to give the opposition a walkover. The BJP’s elec- considerations. Most of the developmental projects in
tion plank had been su-raj, that is, good governance. But good Karnataka, which include the Cogentrix power plant, the mas-
governance is about accountability, among other things. In sive aerodrome in Bangalore, the setting up of dye plants near
this instance, the party had decided to take over power without the Bangalore water tank (Tippangowdanhalli), or the four
the mandate, and left the country in a limbo for 11 days. super-highways, have all been severely criticised by environ-
Where was their commitment to accountability? mentalists. Besides, despite repeated warnings against aqua-
But all this is less important than the fact that in the furi- culture, Gowda is so keen to ensure investment in this sector
ous debate inside and outside Parliament, envi- that he has given it a stature equal to agricul-
ronment was not the issue. No one challenged ture, with the same benefits that the latter is
the BJP on the grounds of its developmental entitled to.
agenda, or on its commitment to environmen- Environmentalists have been beseeching
tal issues. The party is in power in three states politicians time again to protect the sensitive,
and in all three, environmental issues have biodiversity-rich Western Ghats. But sadly, it
assumed critical proportions in the last few was under Deve Gowda’s regime that one rare
years. Enron is perhaps the most notorious bureaucrat, committed to preserving
among them, but there are other issues too. the Ghats — former special secretary to
These were, however, not debated, and neither the state’s department of environment,
was the BJP’s commitment to resolve other A N Yellappa Reddy — was forced to give up
PTI

burning issues. The centre of squabbling was his job. Reddy had told Down To Earth that he
the numbers game. had to resign for warning against the threats to the Western
But that game, too, is over. And today, a loose coalition of Ghats from recent developmental projects.
ideologically heterogenous parties is in power. There are two One can only pray and hope that the person from Karnataka
sides to the picture. On the one hand, this is a situation which will try and see the world from a better perspective, once
lends itself to a political tug-o’-war, ensuring that the coalition he becomes the fountainhead of power in New Delhi,
will be short-lived. No major progress can be foreseen, and the although this is a tough proposition. As it is, concepts such
future cannot be very bright. On the other hand, the fact that as sustainable development seem to be just mouthfuls to
some regional parties are active members of the coalition has our politicians. And then, in order to stay even for a while,
been heralded by some social scientists as the first expression, Deve Gowda’s best bet will be to push for foreign investment,
notwithstanding all its fragility, of a truly federal government to give the country a feeling of economic buoyancy. That is
and a broadened sharing of power at the Centre. the lurking danger behind the present regime. It is surprising
These experts argue that in this situation, the regional par- that a person whose hands still smell of the village soil, has
ties will push their agenda, and perhaps there will be a better so little to offer in terms of environmental thinking. But
apportioning of resources. Some of the neglected regional that being the case, the country might see any prospects of a
issues may see solutions, they aver. Such hopes, no doubt, pro- balance between development and sustainability headed for a
vide the only silver lining in the otherwise clouded scenario. precipice. ■ 3

Down To Earth June 30, 1996

 ANNEXURE P/20
202

Item no.1 Court No. 1

BEFORE THE NATIONAL GREEN TRIBUNAL

PRINCIPAL BENCH, NEW DELHI

Original Application No. 407/2017

(M.A. No. 779/2017 & M.A. No. 795/2017)

Lt. Col. (Retd.) Sarvadaman Singh Oberoi

Applicant(s)

Versus

State of Haryana & Ors.

Respondent(s)

Date of hearing: 05.03.2019 Uploaded on 08.03.2019

CORAM: HON’BLE MR. JUSTICE ADARSH KUMAR GOEL, CHAIRPERSON

HON’BLE MR. JUSTICE RAGHUVENDRA S. RATHORE, JUDICIAL
MEMBER
HON’BLE MR. JUSTICE S.P. WANGDI, JUDICIAL MEMBER
HON’BLE MR. JUSTICE K. RAMAKRISHNAN, JUDICIAL MEMBER
HON’BLE DR. SATYAWAN SINGH GARBYAL, EXPERT MEMBER
HON’BLE DR. NAGIN NANDA, EXPERT MEMBER

ORDER

1. The issue for consideration is whether the land, measuring

52.2991 acres, in Village Sarai Khawaja, Faridabad, Haryana,

bearing Khasra Nos (73/15, 16,24,25), (74/11, 12, 19, 20, 21,

22), (81/4, 5,6/1, 7, 8, 11, 12, 13, 14/1, 14/2, 15 to 25),

(82/1, 4, 5 to 25), (83/5, 6, 15, 16, 25) is a forest, as per stand

of the officials of Forest Department of State of Haryana and

whether the contrary view taken in letters dated 24.4.2017 and

1.5.2017 by the Additional Chief Secretary (Forests) of the

State is illegal, being in violation of the judgements of the

Hon’ble Supreme Court in T.N Godavarman Thirumalpad v.

Union of India & Ors. (1997) 2 SCC 267 and Lafarge Umiam

Mining (P) Ltd. v. Union of India, (2011) 7 SCC 338.

1
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2. According to the applicant, Respondent Nos. 7 and 8, M/s Ajay

Enterprises Pvt. Ltd and M/s Bharti Land Limited, propose to

develop residential complex in the area in question is in

violation of Forest (Conservation) Act, 1980. The Forest

Department of State of Haryana, in several communications,

acknowledged the area to be forest. Reference has been made

to letter dated 13.4.2015 and 17.4.2015 from the Principal

Secretary to Government of Haryana, Forest Department to the

effect that status of area marked as parameters/criteria are yet

to be finalized and approved by the Hon’ble Supreme Court.

The status of areas marked as “Non Forest” (‘N’) may undergo

further change when the criteria is finalized by the Ministry of

Environment and Forests and adopted by the States. Letter

dated 30.9.2015 from Deputy Conservator of Forests,

Faridabad to Conservator of Forest, Gurgaon is to the effect

that the area in question is only category of ‘yet to be decided’.

Letter dated 27.11.2015 from DCF, Faridabad to Conservator

of Forest Gurgaon is that the area is ‘deemed forest’. In the

report dated 17.8.2017 given by the Conservator of Forest

(Central), Northern Region, Ministry of Environment, Forest

and Climate Change (MoEF & CC), it was held that the area in

question was deemed forest. In spite of the said stand of the

Forest Department, a contrary view has been taken in the

impugned letters issued by the Additional Chief Secretary

(Forests), Government of Haryana which is based on erroneous

understanding of law. It is wrongly assumed that in absence of

the area being ‘recorded as forest’ in the revenue record, the

same cannot be taken as ‘forest’.

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3. In its written statement, the State of Haryana has taken the

stand that the land is not a recorded forest, nor notified under

Section 4/5 of the Punjab Preservation Land Act (PLPA), 1900

nor there was any plantation under the Aravali project. It is

further stated that judgement of the Hon’ble Supreme Court in

M.C Mehta (2004) 12 SCC 118 stands distinguished in B.S

Sandhu v. Government of India & Ors (2014) 12 SCC 172. The

area is recorded as ‘Gair Mumkin pahad’ (non-cultivable hill)

which does not mean ‘forest’. Notification No. S.O 319 (F)

dated 7.5.1992 (commonly referred to as Aravalli Notification)

is not applicable herein as the area is not in Gurgaon or Alwar

Districts. In Survey of India Map, 1976, only two trees are

shown on the land. An Expert Committee was constituted by

the State of Haryana, in pursuance of directions in T.N

Godavarman (Supra), which identified reserve forest, protected

forest, un-classed forest areas notified under section 4 and/or

5 of the Punjab Land Preservation Act, 1900 and the present

land was not covered in the report of the Expert Committee

which was filed by the State of Haryana vide affidavit dated

25.2.1997. In view of the mandate of judgement in Lafarge,

(Supra), requirement to include representative of the State

Forest Department in the Expert Appraisal Committee arises

only if there is a doubt that the status of land is ‘non-forest’.

In the present case, there is no such doubt. Therefore, it

became necessary to issue directions to the Divisional Forest

Officer to permit felling of trees in favour of the project

proponent. The status of the land is to be seen as on

25.10.1980, the date of enactment of Forest (Conservation) Act,

1980. Criteria for deemed forest is pending finalization. NCZ

3
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does not fall within domain of Forest Department and forest

laws are inapplicable to regulate the provisions of NCZ.

4. The stand of the project proponent is also on the same lines as

that of the State Government.

5. Vide order dated 18.9.2018, after referring to the meeting of the

National Capital Region Planning Board dated 20.12.2016,

requiring the State to identify ‘forest’ and prepare geo-reference

maps in terms of directions in Lafarge (Supra), the Tribunal

directed MoEF & CC to finalize the pending matter and also the

State of Haryana to furnish its inputs.

6. An additional affidavit has been filed by MoEF & CC on

15.2.2019 which, inter-alia, annexes the Enquiry Report of

their own Conservator of Forest (Central), Northern Regional

office dated 17.8.2017 and letters of Government of Haryana

dated 20.8.2018 and 16.1.2019 which are contrary to the

report dated 17.8.2017.

7. We have heard learned counsel for the parties and have given

our thoughtful consideration to the matter.

8. Contention on behalf of the applicant is that the stand of the

State of Haryana, with which the MoEF & CC has agreed, that

the land in question is ‘non-forest land’ for purposes of Forest

(Conservation Act), 1980 is untenable in law. Letters of the

Forest Department dated 8.11.2006 and 10.1.2014 are also

based on erroneous understanding of law as shown by the

Enquiry Report dated 17.8.2017. The test to be applied is not

whether the area is recorded as forest in the revenue record

4
 206

but whether the area is to be so treated by the Forest

Department in terms of the dictionary meaning. Applying this

test, the Forest Department has always treated the land as

‘deemed forest’. Moreover, status of the land is to be seen not

only on the date of enactment of Forest (Conservation) Act,

1980 but also with reference to the subsequent period, as held

in M.C Mehta v. Union of India & Ors: In re: Kant Enclave

matters 2018 SCC online SC 1426. Area is to be treated as

Aravalli for purpose of NCZ. Therefore, Regional Plan, 2021 of

NCRPB would be applicable where only 0.5% construction is

permitted restricted to regional recreational activities. The

project is also in contravention of Regional Plan, 2021.

9. To determine the question, it will be appropriate to refer to the

factual aspects, as recorded in the Enquiry Report dated

17.8.2017 submitted by Conservator of Forests (Central),

Northern Regional office to the DIG in the MoEF & CC

(Annexure R-II on record). Relevant paras of the report are as

follows:

“6. Findings: After hearing all the stakeholders, perusing

the documents so collected including court orders and
working plan prescriptions, the facts in the matter are
narrated as under:
i. The whole issue is found to be revolving around
defining 'forest' by dictionary meaning. In compliance to
Hon'ble Supreme Court order dated 12.12.1996 in the
Writ Petition (civil) No.202/1995 in the matter of T.N.
Godavarman vs Union of India and Others and order
dated 06.07.2011 in Lafarge case, the Ministry of
Environment, Forests & Climate Change, New Delhi
initiated a consultation process in the PCCF's meeting,
held in New Delhi on 25th August, 2014, in which it was
reiterated that the state of Haryana has not formulated

5
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parameters to classify an area as "forest" by dictionary
meaning so far. The process of defining 'forest' by
dictionary meaning is still inconclusive in the state of
Haryana.
ii. During the enquiry, the State Govt. Haryana could not
produce any record showing conclusive action on
defining the 'forest' by dictionary meaning in the State
till date.
iii. During the course of enquiry, it was gathered that the
process of delineation of various components of NCZ in
Haryana to identify forest areas of about 50,000 acres
in Haryana Sub Division is still inconclusive.
iv. The decision taken in the meeting dated 03.03.2017,
held at Chandigarh under the chairmanship of Chief
Secretary, Haryana, "it was recommended to include
any area in old Gurgaon District as per Notification
dated 07.05.1992 as 'Aravali Range' and so part of
confirmed NCZ. The justification given for this is that in
some cases the use of land covered in the Aravali
notification in Gurugram district has undergone change
subsequently and as per ground report such land is
being used for agricultural purposes and under roads
and even some cases, the construction is existing on
such lands."
v. The decision dated 03.03.2017 is in contradiction of
the NCR Planning Board meeting (35th) dated
09.06.2015 and 20.12.2016 vide which the Chief
Secretary, while referring to the statement given by the
Chief Minister, Haryana relating to maintaining status
quo on the identified 'forest' of about 50,000 acres in
Haryana Sub-region, stated that Govt. of Haryana is
committed to maintain these areas as they are at
present till the definition of `forest’ is finalized and
noted that the Notification dated 7 th May, 1992 issued
by the MoEF&CC defines "specified areas" of the
Aravali Range in Gurgaon district of the State of
Haryana and Alwar District of the State of Rajasthan
(as on the date of notification). These 'specified areas'
are to be included while identifying/delineating 'Aravali
in entire NCR."
vi. Hon'ble Supreme Court judgement dated 6 th July, 2011
in Lafarge Umiam Mining Private Ltd and T.N.
Godavarman vs. Union of India & Others in IAs No.

6
 208
1868, 2091, 2225-27. 2380, 2568 and 2937 in WP (C)
No. 202 of 1995 with Transfer Petition (C) No. 277 of
2010 (iii) if the project proponent makes a claim
regarding status of the land being non-forest and if
there is any doubt, the site shall be inspected by the
State Forest Department along with the regional office of
MoEF to ascertain the status of forests, based on which
the certificate in this regard be issued. In all such cases,
it would be desirable for the representative of the State
Forest Department to assess the expert Appraisal
Committee.
vii. The PCCF, Haryana vide office order dated 20.06.2017
(Annexure-XXVII), constituted a committee in compliance
to the Addy. Chief Secretary (Forests) letter dated
24.04.2017 to sort out the difference in opinion
regarding presence of vegetation cover in the land
belonging to M/s Bharti Land Ltd. However, there is no
mention of any representation of MoEF&CC in the
committee as mandated by the Lafarge judgement. The
State Forest Department could not produce any record
of visit of this committee to the disputed area.
viii. The explanatory note of Prl. Secy (Forests) letter dated
17.04.2015 addressed to PCCF, Haryana, mentions
that "Ministry of Environment, Forests and Climate
Change. Govt. of India is in the process of formulating
parameters/criteria for identification of area as forest
by dictionary meaning in pursuance of the directions of
the Hon'ble Supreme Court dated 12.12.1996 in
T.N.Godavarman vs. Union of India and Others in WP
(Civil) No. 202 of 1995. The parameters/criteria are yet
to be finalized and approved by the Hon'ble Supreme
Court. The status of areas marked as "Status yet to be
decided" will be determined when the
criteria/parameters for identification of an area on
forest by dictionary meaning are finalized by
MoEF&.CC.
ix. In OA No. 269/2013 Haryali Welfare Society vs. Union
of India & Ors., Hon'ble NGT vide order dated
20.07.2015 (Annexure-XXVIII) directed that respondent
no. 2 (the State), respondent No. 3 (the Directorate of
Town and Country Planning) and respondent No.4
(Department of Forest) shall ascertain and verify
whether the land in respect of which they propose to

7
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pass any order or direction has been identified as forest
or not as aforesaid and shall not pass any order or
direction in contravention of Forest (Conservation) Act,
1980.
x. Inspite of directions contained in the order dated
20.07.2015 in Haryali Welfare Society case in OA No.
269/2013, and directions contained in the explanatory
note dated 17.04.2015 of Prl. Secy (Forests), Govt. of
Haryana, the clear felling of trees has been accorded,
which should not have been avoided.
xi. As per felling permission dated 23.06.2017, about
38941 no. of plants and trees existed on spot,
indicating that 1846 no, of trees-existed per ha (as
against 1000 trees per ha are planted on a blank area).
The density has been very high. If only root stock is
counted, about 7843 root stocks were enumerated,
being 372 per hectare. This depicts that the land in
question had moderate to dense vegetation. As per
vegetation status, the stand of Haryana Forest
Department to treat this land as deemed forest seems to
be justified.
xii. There is violation of EC Part 'A' Specific Condition No.
26 by the Project Proponent, which, inter-alia, states
that "The project Proponent shall not cut any existing
tree and project landscaping plan should be modified to
include those trees in green area. The project proponent,
while applying/requesting felling of about 1000
mesquite bushes, has deliberately mislead the State
Govt. by ignoring the above referred condition. The
project proponent has also violated Part- "B" General
Condition (xiv) which stipulates "The project proponent
is responsible for compliance of all conditions in
Environmental Clearance letter and project proponent
cannot absolve himself/herself of the responsible by
shifting it to any contractor engaged by project
proponent".
xiii. The letter dated 24.4.2017 of Addl. Chief Secretary
(Forests) directed the PCCF that "Since this area does
not constitute forest component of NCZ as per the
decision taken by NCR Planning on 20.12.2016, you are
directed to accord necessary approval for felling of
mesquite trees to the applicant as per the provisions of
the PLPA 1900 ." The PCCF was further directed vide

8
 210
letter dated 01.05.2017 of Addl. Chief Secretary
(Forests) that "there will no NCZ forest category of
'status yet to be decided'."

However, no such decision is recorded in the said

minutes dated 20.12.2016 of the NCRPB. On the
contrary, it records "it was concluded that these
specified areas are to be included while
identifying/delineating Aravallis in entire NCR". The
term specified areas refers to the Aravalli Notification
dated 7th May. 1992 and they include:-
i. Gair Mumkin Pahar.
ii. Gair Mumkin Rada.
iii. Gair Mumkin Behed.
iv. Banjad Beed.
v. Rundh.

The land in question is recorded in the Jamabandi as

‘Gair Mumkin Pahar' and thus clearly a part of the
Aravali and thus would automatically be part of NCZ.
This has been the view of the MoF&CC before the
NCRPB. In fact, the district level committee duly
constituted by Govt. of Haryana itself correctly
delineated the said land under forest 'yet to be decided'
category of NCZ. Thus, the letter granting felling
permission on the above reasoning is legally incorrect.

xiv. The MoEF&CC, Gol letter F. No. I-48/2012-FC (pt)

dated 23.09.2014 clearly directs as under:
"………….while delineating the various components of
NCZ, it may kindly be ensured that subject to final
acceptance of the Hon'ble Supreme court, areas as per
decision taken in a meeting of the PCCFs held under the
chairmanship of DGF&SS in this Ministry on 25th
August 2014 shall mandatorily be treated as forest
………..”

As forests are listed under 17A of the distribution of in

the concurrent list of the Constitution of India, the
directions of the Central Government will prevail.

Moreover, the maps prepared by the FSI, clearly list the

said land under 'open' and 'scrub' forests. These would
constitute legally valid government records and

9
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therefore the said land would therefore be a forest as
per dictionary meaning in line with the directions of the
Apex Court in the Godavarman case as directed below:

"..The term “forest land", occurring in Section 2, will not

only include “forest" as understood in the dictionary
sense, but also any area recorded as forest in the
Government record irrespective of the ownership."

The said land is thus a forest as per dictionary meaning.

xv. The Apex Court in the Lafarge Case clearly directed that
in the event of a dispute regarding the status of a piece
of land as forest/non-forest, a committee constituted by
the PCCF with representation from the Regional Office
of the MoEF& CC would examine and determine the
same. In the words of the Court, this was necessary to
prevent new cases or diversion of forest lands as a fait
accompli'.

In the present case, the State Forest Department is

categorical in classifying the said land as a deemed
forest. It cannot be denied that a dispute exists as to
the status of the area. In such a case, the directions of
the Apex Court in the Lafarge judgement should have
been followed to prevent 'fait accompli'.”

10. Contrary to the above, the stand taken in the impugned letters and

letters of the Government of Haryana dated 20.8.2018 and 16.1.2019

is as follows;

“3. In this matter, the Haryana Forest Department has

clarified the following and this Government endorses
the same:

i. That the area it question measuring 66.49 acres. falling

it the revenue estate of village Sarai Khwaja is not
recorded either as Protected or Reserved or any such
other definition that makes it a forest or forest land
otherwise:
ii. That the area to question happens not to be closed
under special order notified under section 4 and 5 of the
Punjab Land Preservation Act. 1900 (PLPA) making it to

10
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be regulated as per the existing dispensation of the
prevailing law, as forest land (for this purpose. the
clarificatory order passed by the Hon’ble High Court of
Punjab & Haryana dated 4th September, 2009 in CM
12170 of 2009 in CWP No. 20134 of 2004 is appended
to this letter as Annexure- A which in the para of
relevance read as and clarify that only those
lands/areas forming part of notification issued under
Section 3 of the PLPA 1900 in respect of which
restrictions against breaking up or cultivation have been
imposed under Sections 4 [a] or 5 [a] of the said Act,
are declared as 'forest lands' for the purposes of Indian
Forest Act and Forest (Conservation) Act, 1980, and the
said area shall not be used for non-forest purposes…..'
'(emphasis added)'. It is relevant to emphasize it is only
by way of notifying through special order under section
4 and 5 of the PLPA that the restrictions under 4[a] or 5
[a] is invoked to be imposed. Further, under notified
area through such special order only about 30.490
Hectares i.e. about 305 sq. km. of land (forming a part
of about 0.7% of the geographical area of Haryana)
happen to be included as on this date.
iii. That the area in question is included under the
notification made under general order under section 4 of
the PLPA (the relevant notification is appended as
appended as Annexure B to this letter). The only
restriction under the dispensation of these orders
happens to be as summarized below:
‘…………… Governor of Haryana hereby prohibits the
following act …..’
The cutting of trees of timber except eucalyptus and
popular or collection ‘--- provided that the owner of the
land may sell the trees and timber after obtaining a
permit to do so from the Divisional Forest Officer of the
concerned Division ……..’
iv. It is pertinent to mention that in Haryana there is no
"Tree Act and, further, these restrictions facilitate the
mechanism to regulate the felling of trees.
v. It is also, further pertinent to mention that in the
absence of Tree Act, the General Order restriction (under
PLPA) on felling of Trees without obtaining the prior
permission extends over an area of about 10.89,800
Hectares which accounts for about 24% of the

11
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geographical area of Haryana (about 8 out of 22
districts). Such an extended expanse of area, that
includes a vast proportion of privately owned area, can
never be brought indirectly under the purview of the
rigors of the Forest and related laws.
vi. That the areas regulated under the General Order under
section 4 of the PLPA under these circumstances, were
never a part or any land regulated or considered as
'Forest Land’.
4. Further to it, the land in question is neither a part of
Aravali Plantation Project nor of Aravali Notification.
5. Under these circumstances, it is reiterated that, beyond
the scope of any doubt, the land in question is not a
‘Forest Land’ for the purposes of any Forest related
law, including the Forest (Conservation) Act.1980.”

11. Thus, it is obvious that while the area is not covered under Section 4

and 5 of the PLPA Act, nor recorded as forest nor may be forest on

the date of enactment of Forest (Conservation) Act, 1980. It is also

undisputed that in maps prepared by the FSI lists, the area is shown

as ‘open’ and ‘scrub’ forests, as noted in para xi and xiv of the

Enquiry Report of the Northern Regional office of MoEF & CC dated

17.8.2017 submitted to DIG of MoEF & CC. Thus, the stand of the

Forest Department is consistent with the judgements of the Hon’ble

Supreme Court and contrary stand is not valid.

12. As already noted, the test to be applied to determine whether the area

is forest area or not has been laid down in T.N Godavarman (Supra)

as follows:

“4. The word “forest” must be understood according

to its dictionary meaning. This description covers all
statutorily recognised forests, whether designated as
reserved, protected or otherwise for the purpose of
Section 2(i) of the Forest Conservation Act. The term
“forest land”, occurring in Section 2, will not only include
“forest” as understood in the dictionary sense, but also

12
 214

any area recorded as forest in the Government record

irrespective of the ownership. This is how it has to be
understood for the purpose of Section 2 of the Act. The
provisions enacted in the Forest Conservation Act, 1980
for the conservation of forests and the matters
connected therewith must apply clearly to all forests so
understood irrespective of the ownership or
classification thereof.”

13. The above view has been reiterated in Lafarge (Supra) as follows:

“89. By an order dated 12-12-1996 by a Division

Bench of this Court in Writ Petition (C) No. 202 of 1995
with another in T.N. Godavarman Thirumulpad v.
Union of India, this Court directed each State
Government to constitute within a specific period an
Expert Committee to identify areas which are forests
irrespective of whether they are so notified, recognised
or classified under any law and also identify areas
which were earlier forests but stand degraded,
denuded or cleared. The Committee was to be headed
by the Principal Chief Conservator of Forests. This
order dated 12-12-1996, thus, clarified that every
State Government seeking prior approval under Section
2 of the 1980 Act shall first examine the question
relating to existence of forests before sending its
proposal to the Central Government in terms of the
form prescribed under the Forest (Conservation) Rules,
1981 (see Rule 4). Thus, the requirement of submitting
the proposal for forest diversion under the 1980 Act is
exclusively the obligation of the State Government.”

14. In view of above, the stand of the State of Haryana that land was not

recorded as forest land and has to be taken as non-forest on that

ground is erroneous in law. Moreover, as clarified in M.C Mehta v.

Union of India & Ors: In re: Kant Enclave (Supra), status of the land is

13
 215

to be seen not only on the date of enactment of Forest (Conservation)

Act, 1980 but also with reference to subsequent status.

15. We may also observe that MoEF & CC has mechanically upheld the

stand of Haryana ignoring the Enquiry Report of the Northern

Regional office of MoEF & CC dated 17.8.2017 itself. If such an

Enquiry Report was to be disagreed, it was necessary for MoEF & CC

to have given its reasons. The Enquiry Report was based on valid

factual and legal basis which have been brushed aside in agreeing

with the erroneous view of the State of Haryana.

16. It is difficult to uphold the stand of the State of Haryana with which

MoEF & CC has agreed that the area in question is not a forest area.

Once it is so, mere fact that the area is included in part of Sector 47

in the Master Plan is not conclusive to hold the same to be not

covered by the definition of ‘forest’ in terms of law laid down by the

Hon’ble Supreme Court in Godavarman and Lafarge (Supra).

17. The land in question is, thus, held to be ‘deemed forest’.

The Original Application stands disposed of accordingly.

Adarsh Kumar Goel, CP

Raghuvendra S. Rathore, JM

S.P. Wangdi, JM

K. Ramakrishnan, JM

14
 216

Dr. Satyawan Singh Garbyal, EM

Dr. Nagin Nanda, EM

March 08, 2019

Original Application No. 407/2017
(M.A. No. 779/2017 & M.A. No. 795/2017)
AK

15
 Annexure P- 21
217

New urbanisation policy to be finalised in 2 months

The policy comes exactly three decades after the National Commission on
Urbanisation, headed by planner Charles Correa, came up with a roadmap on
tackling growth in small and mid-sized cities.

First Published: Feb 15, 2018 23:53 IST

Updated: Mar 27, 2018 19:28 IST

Moushumi Das Gupta

Hindustan Times, New Delhi

A draft of key ideas termed as ‘urban sutras’ for the National Urban Policy
Framework 2018 says cities should be built around clusters of ‘human capital’ instead
of treating them as agglomerations of land use being done under plans of several
cities.(Pramod Thakur/HT File Photo)

A fresh urbanisation policy pivoting on 10 principles that focus on

designing cities around people and imbuing them with a local flavour is likely

to be introduced in the near future, replacing a three-decade-old framework.

A draft of key ideas termed as ‘urban sutras’ for the National Urban

Policy Framework 2018 states that cities should be built around clusters of

“human capital” instead of treating them like mere agglomerations of land use

– residential, commercial and industrial – as being done currently under

master plans of various cities.

 218

The document, reviewed by Hindustan Times, also stated that most

urban cities are clones of each other and marked by “generic international

models”. This results in Indian cities having a uniform “architectural form,

unaffected by regional diversity, geographic, culture and history”, it added.

The new urban policy framework – likely to be finalised in the next two

months – will be broadly based on the ten urban sutras, a senior government

official familiar with the development said. The Centre has set up a committee

headed by Sameer Sharma, additional secretary with the Union ministry of

housing and urban affairs, to draft the policy. Other members of the committee

include Sanjeev Sanyal, principal economic advisor with the department of

economic affairs, and UN-Habitat country representative Hitesh Vaidya.

The policy comes exactly three decades after the National Commission

on Urbanisation, headed by planner Charles Correa, came up with a roadmap

on tackling growth in small and mid-sized cities. Since then, there has been

no urbanisation policy at the national level.

“The idea is to have a fluid plan that can be tweaked at regular intervals

instead of one rigid master plan that nobody follows or implements, and is at

the root of the urban mess in our cities,” said a committee member on the

condition of anonymity.

The draft principles on which the urbanisation policy will be based

further state that cities should plan for density as per location rather than type

of land use. Cities should also thrive on multi-modal public transportation and

leverage their human capital to become financially self-reliant, they said.

However, urban sector experts maintained that the ten principles should

clearly spell out how the administration means to deal with the rapid growth

of Indian cities. “The ten core principles focus on cities rather than the whole
 219

process of urbanisation, which is key to inclusive economic growth. The

crucial question that needs to be addressed is: How are we planning to use

urbanisation to serve the macroeconomic objectives of the country while

addressing local development priorities,” said professor OP Mathur, former

faculty member of the National Institute of Public Finance and Policy.

“The urban share of the total GDP was 52.6% in 2011-12. Ten years

ago, it was 52%. There has been just an incremental increase. We are not using

the instrument of urbanisation for economic growth,” he added.

According to Census 2011, 377 million people – or 31.1% of India’s

total population – live in urban areas.

Also, the country’s urban population is expected to increase from 350

million to 600 million by 2031. These facts had spurred a high-powered

committee headed by economist Isher Judge Ahluwalia, tasked with

estimating the investment requirements for urban infrastructure services in the

country, to state that a majority of Indian cities were not ready to meet the

challenges of growing urbanisation.

 ANNEXURE P/22
220

National Urban Policy Framework

2018

Ministry of Housing & Urban Affairs

2018
 221

NUPF Committee Members

1. Dr. Sameer Sharma, Additional Secretary (Urban Affairs),
Ministry of Housing and Urban Affairs, Chairman.

2. Shri. Sanjeev Sanyal, Principal Economic Adviser,

Department of Economic Affairs, Ministry of Finance,
Member.

3. Shri Rajiv Ranjan Mishra, Additional Secretary (Housing),

Ministry of Housing and Urban Affairs, Member.

4. Shri. Shiv Das Meena, Joint Secretary (AMRUT), Ministry of

Housing and Urban affairs, Member.

5. Shri. Amrit Abhijat, Joint Secretary (PMAY), Ministry of

Housing and Urban Affairs, Member.

6. Prof. Jagan Shah, Director, National Institute of Urban

Affairs (NIUA), Member.

7. Dr. Bimal Patel, President, CEPT University, Member.

8. Shri. Hitesh Vaidya, India Country Manager, UN-Habitat,

Member.

9. Ms. Sunita Sanghi, Urban Advisor, NITI Ayog, Member.

 223

Table of Content

Recommendations ......................................................... Error! Bookmark not defined.

Next Steps / Way Forward .................................................................................... 19
Introduction ........................................................................................................... 1
New Philosophy for India’s Urban Policy: Ten Urban Sutras (Philosophical Principles) ............3
City Planning ....................................................................................................... 16
Background and Challenges .....................................................................................................................................16
Priority and Actions ......................................................................................................................................................17
Urban Economy .................................................................................................... 23
Background and Challenges .....................................................................................................................................23
Priority and Actions ......................................................................................................................................................24
Physical Infrastructure .......................................................................................... 27
Background and Challenges .....................................................................................................................................27
Priorities and Actions ..................................................................................................................................................28
Social Infrastructure ............................................................................................. 34
Background and Challenges .....................................................................................................................................34
Priorities and Actions ..................................................................................................................................................35
Housing and Affordability ..................................................................................... 40
Background and Challenges .....................................................................................................................................40
Priorities and Actions ..................................................................................................................................................42
Transportation and Mobility.................................................................................. 50
Background and Challenges .....................................................................................................................................50
Priorities and Actions ..................................................................................................................................................51
Urban Finance ...................................................................................................... 57
Background and Challenges .....................................................................................................................................57
Priorities and Actions ..................................................................................................................................................61
Urban Governance ................................................................................................ 65
Background and Challenges .....................................................................................................................................65
Priorities and Actions ..................................................................................................................................................67
Urban Information Systems ................................................................................... 71
Background and Challenges .....................................................................................................................................71
Priority and Actions ......................................................................................................................................................72
Urban Environment and Safety ....................................... Error! Bookmark not defined.
Background and Challenges .....................................................................................................................................77
224
Priorities and Actions ..................................................................................................................................................78
Recommendations and Way forward ..................................................................... 86
Background ....................................................................................................... Error! Bookmark not defined.
Annex 1 ............................................................................................................... 89
 225
Executive Summary

National Urban Policy Framework (NUPF) outlines an integrated and coherent

approach towards the future of urban planning in India. The NUPF is structured along
two lines. Firstly, at the NUPF’s core lie ten sutras or philosophical principles.

Secondly, the ten sutras are applied to ten functional areas of urban space and
management. Within each functional area, the status quo and its challenges are
analyzed, key priorities are formulated, and specific possible actions points
suggested. Recommendations are presented for these functional areas:

City Planning

Planning in ancient India has multiple similarities to post-modern planning today. In

order to structure settlements areas were earmarked for different uses responding
to the local culture at the time. Walkability, clusters of small plots, houses close to the
plot line and narrow streets laid out in a grid were key principles in city planning at
the time. Post-independence, however, city planning has become mainly the
preparation of rigid master and land-use plans. These static planning tools fail to
address the complexity of India’s growing cities. They foster a built environment that
is disconnected from the continuously changing socio-economic conditions of urban
space. Rather than thinking of spatial planning in silo, the framework suggests to
integrate it with economic and social and planning as well infrastructure, housing and
226
transport planning in order to create dynamic, entrepreneurial and inclusive master
plans.

• For new master plans issue new guidelines based on principles of comprehensive
planning and climate considerations.
• For existing master plans, invite applications from the public once in two-years to
amend or review them.
• For each Master Plan, a Strategic Plan (e.g. one or two-year duration) should be
prepared which stipulates clear links to budgets and requires coordination.
Spatial planning exercise should be participatory and ensure that plans embrace
diverse resident views.
• Master planning should be made more efficient and inclusive through the use of
technology- GIS, GPS, remote sensing, geo-informatics etc.
• Have a two-tier FAR arrangement, with a basic FAR which comes with property
right and the rest purchased from the local authority and freely tradable.
• The FAR should be sold as TDR through calibrated auctions done on a digital
platform.
• Master Plan itself should divide the city into TDR zones on the basis of a
combination of prevailing property prices (guidance value register), economic
growth and development synergies, and other parameters that are used in
demarcating Business Improvement District (BID) or Tax Increment Financing
(TIF) areas.
• A small proportion, say 5%, of the total original FAR of the zone can be released
227
into the market once every three years through well-publicized auctions
conducted on an easily accessible electronic platform following the prevailing
capital market regulations.
• The City's building regulations should be amended to reflect the distinction
between FAR that comes with property rights and that which have to be
purchased.
• Shift to Form-Based codes, which use the intended form and character of a place
(or context) as the organizing principle or framework of the code.
• Local Area based Plans create a framework for enhancing the public spaces, and
areas under roads by enabling redevelopment of the existing built-up
environment.
• Urban areas should provide for quality public spaces, which are networked and
easily accessible to all citizens irrespective of age or gender.
• Make cities adaptive to disasters and resilient to climate change through people-
centred urban planning and management practices.

Urban Economy

Urbanization is a contributor to a country’s economic growth. The realization of the

economic potential of urbanization depends (among other factors) on the interplay
of agglomeration effects and congestion forces. Agglomeration effects, the clustering
of people and enterprises in cities, leads to higher levels of productivity and
employment generation. Congestion, on the other hand, occurs when infrastructure
and basic services are unable to keep in pace with the demands of increasing numbers
of people and enterprises. Congestion effects, firstly, prevent the realization of a city’s
full economic potential. Secondly, they reduce the attraction of a city to knowledge
workers. The presence of knowledge workers, however, correlates with the
generation of income and employment for all people living in the city. Hence,
agglomeration drives growths while congestion hinders it.

The potential for cities to create regional growths beyond their immediate
boundaries depends on how there are integrated in their hinterlands and regions. In
India, the hierarchy of settlements is highly skewed with a few large cities and many
small villages. This is due, to an approach of city management that looked at urban
development in silo, rather than understanding it as the interplay of a number of
programs across spatial scales. In a balanced hierarchy of settlements, cities have a
two-fold beneficial relationship between city and hinterland. Firstly, in an integrated
network of cities, towns and villages spread effects of investments are higher which
leads to greater regional equality. Secondly, a balanced network of settlements
attracts knowledge workers which leads to further economic development.
 228

National and state level policies for urban economic development

 Policy-making should visualize urbanization as a driver of economic
development. Spatial planning should be integrated with economic and social
planning. Policies should make operational the idea of rural-urban continuum
and a balanced system of settlements. Spatial planning first needs to assess the
carrying capacity of city regions determined by environmental, resource and
infrastructure constraints (Sutra # 10).

Adequate Investment in skilled labor and local economic development

 Develop human capital in cities and surroundings (Sutra # 1) by paying
adequate attention to link demand for jobs with skill development and
vocational training initiatives. Enough space shall be created at the State and
local level to address the existing skill gap in the housing- construction sector.
Carrier counseling centers can be integrated with the ULBs to provide
professional services. In larger cities, City Economic Councils can serve as a
clearing house.

Empower and strengthen the role for ULBs in economic development

 The ULBs should be entrusted to provide social protection to informal workers
(both policy and programme) with focus on women (Sutra # 1). Promote
business improvement districts to improve markets, streets and
 neighborhoods in collaboration with the formal/informal businesses (Sutra #
229
2 & 5).

Physical Infrastructure

Regarding, physical infrastructure, the NUPF focuses on developing environmentally,

economically and socially sustainable infrastructure and public services particularly
with respect to safe drinking water, basic sanitation and sewage, solid waste
management. To this end, three elements need to be considered. Firstly, the current
system of physical infrastructure provision suffers from a gap between revenues and
costs. This leads to increasing economic losses for service providers as well as to
deteriorating standards of the services themselves. Secondly, the miss-functioning
system of public service provision has severe negative impacts on the environment.
The lack of sewage disposal, for example, leads to the pollution of natural drains and
rivers. Thirdly, a lack of public services worsens social challenges within cities. The
shortage of public toilet facilities in slums, for instance, creates safety threats for
women and girls.

Environment-friendly infrastructure
 In response to sutra 7, In an era of increasing natural resource scarcity and
escalating impacts of climate extremes, physical infrastructure eco-efficiency
 has vital implications for both economic and environmental sustainability. In
230
order to reduce future carbon emissions, infrastructure needs to be designed
and built to withstand future climate risks and with eco-friendly designs and
construction methods in place from the outset.
 There is need to integrate economic, social and environmental considerations.
 Natural ecosystems to be recognized harnessed and leveraged as natural
infrastructure systems within urban areas to enhance urban resilience.
 Designing and building infrastructure to withstand future climate risks and
with eco-friendly designs and construction methods in place from the outset
as well as to reduce future carbon emissions. Reduce energy demand through
energy efficiency measures and renewable energy generation. Introduction
and enforcement of energy conservation building codes.

Administrative Reforms to improve infrastructure delivery

 Administrative Reforms should be introduced to enhance city level autonomy
of urban local bodies in order to make them self- reliant and improve the
infrastructure delivery. Performance based contracts to be used to improve
efficiency and service delivery over a period of time. Special Purpose Vehicle
(SPV) can be established at the city level. Formulation of policies and
dprograms for rationalizing existing urban infrastructure systems and a
decentralized approach to be followed with use of integrated digital
technologies and Artificial Intelligence.
 There should be focus on stakeholder participation, effective people’s
participation and citizen awareness building.

Formulate policy and programs for efficiency and rationalization of existing

urban infrastructure systems and ensure that services are available and
accessible to all, affordable to all, safe to use for all including the poor, elderly,
women and children.

 Freeze on sub-functions in water supply, sewerage and solid waste management

to be done at the regional, city and ward levels. The goal should be on delivery of
services to residents, not mere creation of infrastructure. Follow a decentralized
approach by providing financial support to States for State-specific service
improvement plans to achieve service standards.
 Flexibility will allow States to allocate financial resources as per their unique
contexts.
 Decide on a model for solid waste management model for the urban local body
(ies). In the integrated version all activities are done by a single agency and
include, primary collection, secondary collection, transportation up to transfer
station, treatment and disposal and reclamation.
 Use integrated digital technologies.
Social Infrastructure
231
Social infrastructures are the facilities that allow for the provision of social services such as
education and health. They play an important role in an integrated approach towards poverty
alleviation because spaces of urban poverty are not only deprived of physical infrastructure
but also lack social services. Investing in social infrastructure is an investment in a city’s
human capital which on the long run will increase economic growth and decrease poverty
levels. The focus of social infrastructure investments has to be on the most vulnerable groups
of the urban poor, such as women and girls.

Integrated approaches to poverty alleviation

 Progressively move to direct benefit transfer for all schemes of Governments.

Health

 The entire value chain of health should be brought under the ULBs over a period
of time. All urban local bodies should take health care closer to people and use
AYUSH practitioners to provide preventive health care. ULBs should establish
‘Area’ level sub-centers to work as a single-point health & wellness centers. All
ULBs should implement a health insurance scheme (e.g. Ayushman) to make
healthcare affordable for all.

Education
 232
 Need based education services for the urban poor and other marginalized sections
of urban society should be developed and life skills along with counseling services
should be developed. Mechanisms to review the curriculum and pedagogy at
different levels of education at a fixed interval should be put in place. Increasing
use of digital technology to provide customized education services to children.

Culture and History

 Investment for protection and promotion of heritage cities and the historical
monuments.

Housing and Affordability

India has a housing shortage of nearly 18.78 mn units. This number accounts for both
homelessness and housing poverty (inadequate and vulnerable housing). Providing
affordable housing to the urban poor is a highly complex challenge that cannot be
addressed by either the state or the private sector. It demands for a multi-
dimensional and multi-actor approach. The NUPF encourages state governments to
consider various housing options and to explore different financial instruments.

• Housing programs and schemes for the urban poor should cover and include all
categories of disadvantaged people. In-situ upgradation that reduces the physical
and legal vulnerability of self-built housing must be part of any affordable housing
 policy and should be focused on the incremental improvement of settlement.
233
Different types of property rights must be evaluated against multiple ends.
• Reservation of land at the city, region, ward or even project level should be backed
by special zoning allocations. Inclusionary zoning to incorporate livelihood and to
create integrative, dynamic mixed-use spaces will increase access and mobility for
low-income residents as well as bring their work into legality, allowing both
access to finance as well as the possibilities of expansion and infrastructural
improvement. Low-rise, high-density forms that have been successfully
implemented before must be applied at scale within the new policy paradigm.
• Rental housing must be acknowledged and encouraged by policies and state
policies should be designed to deliver and manage rental housing. Also create
rental housing for long duration migrant population and dormitory
accommodation with basic amenities for short-duration migrants close to the
workplace. Support from local NGOs could be explored for accommodating the
pavement dwellers.
• Viability Gap Funding (VGF or project finance) should be provided to encourage
small and fresh developers to enter the affordable housing market.
• Governments should enable working and efficient single-window clearance
systems for affordable housing projects.
• Availability of well-located and serviced land is critical to ensure a steady supply
of affordable housing. Financial instruments underpinning affordable housing
need to be made friendlier.
• Focus on alternative technology options that are low-cost and identification of
appropriate new technologies.

Transportation and Mobility

The NUPF seeks to overcome the current state of urban congestion as well as unequal
levels of mobility across social groups. To this end, the public transport system has to
become accessible, affordable and efficient for all. This requires to place people, not
vehicles, in the center of transport planning. Different modes of public transport have
to be integrated into one system under a strong leadership, the Unified Metropolitan
Transport Authority (UMTA). The broad objective is to promote public transport and
Intelligent Transportation Systems (ITS) with proper provision for pedestrian and
street infrastructure. It calls for internalizing urban transport as a key variable in
urban planning exercises and establish institutional mechanisms and capacity
building for better planning and management of transport systems.
 234

• Expansion of cities and towns (if necessary) should prioritise high density mixed
land use, with compulsory land allocation for public transport stops and depots.
• City and neighborhood development plans must compulsorily include suitable
allocations with dedicated funds for the creation of street furniture such as
footpaths, streetlights, etc. Road ‘improvement’
projects should not occur at the expense of footpath space or cycle tracks. Some
design standards (e.g. DDA, IRCS) need to be followed in the construction and
financing of footpaths and cycle tracks.
• Last mile connectivity should be ensured for all modes of transport.
• A UMTA must mandatorily be created across all Indian cities and towns with
multiple modes of public transport and should have authority to make decisions
on traffic flow planning, which is currently under the control of the traffic police.
• All future airports, buses, trains and metro stations should be designed in a way
to ensure seamless transits for commuters switching modes, with both physical
and information integration, particularly for women.
• Transport and stations should be physically accessible, particularly for the
elderly, pregnant women and persons with disabilities.
• Multimodality should encourage feeder services to metro rail systems as well as
how commuters can be encouraged to use the most efficient set of public
transport options for their commute.
• Urban bus fleets in the country should be doubled within the next five years.
• Fiscal measures should be taken to discourage private vehicle use.
• Public bus operators should introduce Intelligent Transport Systems (ITS) into
235
their fleets in order to monitor bus performance and revenue accurately.
• Bus route information and realtime data on bus running should be disseminated
to commuters to simplify the process of journey planning through smart apps.
• Knowledge-sharing platforms should be created so that early adopters of ITS and
other new technology can share their learning with newer adopters.
• Greater financial incentives should be provided to operators that embrace
greener technology such as electric vehicles.

Urban Finance

Municipalities’ sources of revenue are tax revenues, non-tax revenues, devolution of

funds from the state government, grants from the center and state government for
development schemes and borrowings. However, in most municipalities these
revenues are not sufficient to cover their expenditures. The NUPF’s long-term goal is
to strengthen municipal finance in order to make cities as financially self-reliant as
possible. It recognizes that there is little benefit of transferring responsibilities for
services to local governments if they are financially too weak to effectively fulfill those
responsibilities. Hence, it encourages for promoting innovative revenue mobilization
techniques.
 236

Legislative and Policy Changes

• All States to set norms for cities to meet their revenue expenditure from own
revenue and minimum proportion of budget to be earmarked for capital works.
• Insert a ‘Local Bodies Finance List’ (LBFL) along the lines of the Union List and the
State List.
• CFC/Central Government should provide guidance on the devolution on certain
criteria.
• SFCs should be set up in time so that CFC has their reports for consideration in
preparation of its recommendations.
• Strengthen SFCs by improving their capacity, and ensure that the state
governments accept the recommendations of SFCs without major modifications.
• All States must have clear policy /law/guideline for PPP.

Revenue Mobilization Plan

• The base for property tax should be comprehensive with no exemptions.

• Information technology should be used for GIS mapping and linking departments,
such as revenue and town planning.
• Profession tax should be collected and fully retained by the ULBs. In cases where
the State Governments collect profession tax, the proceeds net of administrative
costs should be entirely devolved to the ULBs.
• The user charges should be so structured as to at least meet the operations and
maintenance cost of running the service.
• The Value Capture Finance Framework should be completely implemented by all
237
the States and cities.
• ULBs who have been credit rated should implement revenue enhancement plans.
• Guidance and technical assistance to be provided for issue of bonds and
introduction of PPP.
• State government clearances for ULB borrowing should be based on agreed
principles and not on an ad-hoc project basis.
• Incentivize cities to invest in low-emission, climate-resilient infrastructure;
encourage project preparation for mitigation and adaptation projects; and
collaborate with local financial institutions to develop climate finance
infrastructure solutions for cities, also known as green bonds.
• Improve procurement and contracting so that expenditure growth can be
contained within targeted levels.
• There should be improved accounting system based on double entry and accrual
system leading to better financial management and transparency. ULB accounts
should also be regularly audited.

Urban Governance

Today, urban governance in Indian cities is often functionally fragmented and

operationally inefficient with a power imbalance leaning towards state governments
rather than municipalities. The principle of subsidiarity stipulates that functions shall
be carried out at the smallest possible unit of governance and delegated upwards only
if the smaller unit cannot perform the task. Hence, firstly, political power has to
devolve to the citizens through institutionalized mechanisms of participation.
Secondly, local governments have to be strengthened and unified with a codified role
for the Mayor. Thirdly, local governments have to be accountable and transparent
with respect to adherence to legal and financial rules, responsiveness to citizen’s
needs and the efficiency and effectiveness of their performance and operations.
 238

• The principle of subsidiarity should be used to devolve funds, functionaries and

functions to different levels - ward committees/area Sabhas, cities and region.
• Responsiveness of municipalities will increase due to delegation of functions and
giving power over municipal functionaries to ward committees/citizens.
• Municipal operations should be made transparent by, timely annual audit of
accounts and other financial documents, regular internal audit.
• Indicators have to be developed for measuring efficiency and effectiveness of
municipal performance (e.g. liveability) and benchmarked. Elected representative
and municipal managers should be made accountable to achieve the targets set on
the indicators.
• Participation should move beyond informing and consultation to delegation of
power and citizen control. Digital technology has great potential to make this
higher level of participation happen.
• Capacity of local bodies has to be developed. In the interregnum, outsourcing of
functions and functionaries should bridge capacity gaps.
• A gender-sensitive approach to urban planning, management and governance
would increase women’s participation in the development of human settlement
and improve the performance of cities in taking advantage of the urban potential
for social development.
• Community Development Corporations should be encouraged in India focusing on
providing affordable housing, economic development, operate health clinics, offer
youth activities and after-school programs and run day-care centres and job
training programs.
• States and cities should explore use of block chain technology for all existing land
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titles.
• Fragmentation of functions by codifying the roles of Mayors, Commissioners,
Council, parastatals by State Governments.

Urban Information systems

Cities are a highly complex systems of systems interacting with one another in
multiple ways. Conventional approaches to urban planning have ignored the value
hidden in interactions across those systems - among citizens and between citizens
and the city’s infrastructure and the environment. All these interactions contain data.
Digital technology has the potential to access the hidden value of this data to allow
for the creation of development solutions which respond to the local context in an
inclusive way incorporating the needs of all citizens.

Integrated City Centres

• Cities need to build Integrated Command and Control Centre (ICCC). A single
citizen interface should be created where the data is available on GIS map and on-
board the entire line department with mapping of their assets onto GIS.

Urban Planning and Management

• Complete disintermediation in the issue of building permissions, mutation and
birth & death certificates by using technology.
• SCADA systems including smart metering solutions, water quality sensors, ICT-
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based solid waste management systems including digital smart bins, sensor based
sorting, GPS tracking fleet, manhole sensors, etc., should address problems of
physical infrastructure.
• Build and manage hierarchical databases by developing urban observatory as
repository of data at town/ state/national levels.

Urban Mobility
• Urban transportation needs to be addressed through innovative ICT enabled
applications and Intelligent Transport Systems (ITS) to provide more optimized
and efficient travel.
• Mobility planning must consult diverse resident groups and ensure that all
perspectives are accounted for.

Energy & Utilities

• Through smart electricity grids and smart metering for electricity, water and gas
reduce the energy consumption.
• Deploying sophisticated monitoring and metering systems that allow energy to be
highly efficient using Internet of Things.

Urban Safety and Security

• ICT applications like Intelligent LED Street Lighting and Surveillance, networking
of safety and security systems (CCTVs, police, traffic, etc.), across four stages:
prevention, protection, response and recovery and video crime monitoring can
help.
• Advanced ICT for Disaster Mitigation and Management is required.

Citizen services

• Providing digital platform for delivery of the citizen centric e-governance services
along with mobile app.
• Develop a detailed standard operating procedure for Citizen Grievance redressal
system including feedback mechanism to ensure resolution.
• Use of local language in accessing and transacting on citizen service portal.

Environment and Sustainability

The Government of India as well as the State governments recognize environmental

sustainability as a key element towards sustainable urbanization and is a signatory
to multiple international agreements. Nonetheless, cities are key contributors to
many environmental problems such as severe air and water pollution, the generation
of waste combined with the lack of a functioning disposal system as well as high levels
of energy consumption. Making cities environmentally sustainable requires long-
term integrated solutions for the urban planning system.
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Urban air quality

• Gradual expansion of pollution monitoring stations across bigger cities as well as
medium sized towns. Real-time sharing of AQI data to citizens though various
channels with advisories and measures at different levels of risk coordinated by
different state and local government agencies.
• Switching public transport and commercial fleets to CNG and Electric Vehicles
using central schemes such as FAME. Facilitating cleaner fuel switch for industrial
boilers and targeting 100% household LPG penetration. Bringing forward cleaner
Bharat V automobile standards and phased rollout across the country. Phasing out
of older vehicles. Stricter monitoring and enforcement of tailpipe emissions.
Stricter monitoring and enforcement of industrial emissions, including those from
MSMEs.
• Better maintenance and regular cleaning of roads and pedestrian areas, including
improved garbage collection. Stricter monitoring of construction sites for dust
control.
• Adoption of AQI goals in a gradually widening sub-set of cities, with progressive
tightening of AQI targets over time.
• Increase in green space that includes forest/tree covers, parks, urban agriculture,
roof gardens, etc.
• Lead investment and generation of energy from renewable sources.
• Develop and adopt scientific evidence based policy and practice in air quality
management, sustainable transport, clean energy and urban development at city-
level. Mandate city level targets for GHG emission reduction such as Rajkot, which
has committed to reduce its GHG emissions by 16% in 2016. Include measures
 like congestion charging and public transit/carpooling/active transport
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incentives to reduce congestion and resulting pollution.

Urban water resources

• Develop urban water management plans with a 5 to 10 year timeline to ensure
safe and reliable source of water supply (including alternative water sources) by
demand and supply forecasts, implementing drought-resilient water resources
and a sustained emphasis on water-use efficiency. Prepare action plans for
sewage management, restoration of water quality and establishing monitoring
systems for regular assessment of water quality in water bodies.
• Compulsory rainwater harvesting and ground water recharge on private and
public properties.
• Protect natural water sources such as lakes and wetlands within urban
jurisdiction. Adopt urban water management measures such as development of
integrated water resource information system.

Solid waste
• Implement Solid Waste Management Rules, 2016. Incentivize private sector
participation in successful recycling and waste-to-energy systems. Promote
concept of circular economy.
• Pilot community-based integrated resource recovery centers, which have proven
to be an effective solution for many cities in the region. Encourage manufacturers
to take on greater role in waste management and recovery and promote extended
producer responsibility (EPR) principles in waste management rules. Pilot new
technologies burning solid waste with generation of high-pressure steam as a by-
product, which is then used as an alternative energy source for nearby
communities.

Disaster Risk Reduction and Resilience

• Plan and implement national, state and local level disaster plans. Institute
selective planning and administrative systems to prevent development on
vulnerable and disaster prone areas.
• Establish monitoring and review platforms to identify and map hazards and risks
to develop vulnerability and risk profiles of cities, which are publicly available.
Invest in climate-proofing critical infrastructure as a priority. Strengthen the
technical and financial capacity of local bodies and municipalities by creating
national risk financing tools and partnerships with national and local institutions.
Acknowledge the local-area level as the smallest scale of disaster risk-reduction
planning.

Energy
• Develop action plan to meet net zero energy or zero carbon buildings or
neighbourhood targets through policies & regulations, financial mechanisms and
incentives. Energy efficiency must be considered a resource and the first fuel in
principle and practice. Introducing innovations in EE technologies for buildings
 through challenge programs. Introduce municipal level energy efficiency
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improvement goals for different sectors. Business models for affordable energy
efficient products and services. Incentivize local/vernacular solutions to improve
energy efficiency.
• Setting a clear city- wide vision and roadmap with RE targets. Promote rooftop
solar deployment through aggressive awareness programme, adequate financing
and enabling policies for the residential customers. Address the barriers of
rooftop solar deployment in the MSME segment. Facilitate the third-party
procurement and sale of rooftop solar power through enabling policies and
regulations for industrial clusters.
• Develop integrated plans to use both heat and energy generated from urban
wastes and introduce mandatory targets for urban centres to use this resource to
ensure sustainable consumption.
• Assess the potential and develop roadmap for different Tiers of cities on waste to
energy.
• Plans to use heat generated from urban waste in economic production process.
Explore other options available to cities to achieve their renewable energy goals.
For example, District Energy/Heat/Cooling, Wind power, geothermal power,
hydroelectric power, etc.
• Create data platforms at municipality levels for different parameters of energy
consumptions and generation within fixed timelines, and develop recognition
programmes for better performers.
• Develop best practices guidelines based on experiences from across the world on
data sharing frameworks for municipalities in different Tiers of cities in India.
• Develop integrated resource planning frameworks for urban centres in India to
meet long term energy requirements. Better coordination between energy
departments and other departments.
• Involve stakeholders like energy efficiency agencies, RE producers, DISCOMS,
consumers for planning.
• Regulatory framework that incentivizes decentralized renewable energy
generation and allows consumers to trade, to sell and buy renewable energy
generated off-site.
• Develop procedures for transparent disclosure of regularly updated reliability
indices.
• Develop and implement plans for reliable energy supply to the city. These plans
must be transparent and regularly updated to factor in changing scenario.

Next Steps / Way Forward

The NUPF recognizes the fact that urban development is a State subject. Hence, the
States need to develop their respective State Urban Policies including
Implementation Plans based on this framework. The Center will support the
development and implementation of State Urban Policies based on the framework
directly and shift away from top down central schemes.
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 MoHUA will initially identify a couple of willing States to develop State Urban
Policy based on the NUPF. These can then help to draft State Urban Policies across
the country and thereby strengthen cooperative federalism.
 Based on that States should sign an MoU with MoHUA to implement State Urban
Policies
 The respective State Urban Policy will have transitory provisions to build on the
components and benefits of the ongoing GoI and state Flagship programmes (i.e.
Smart Cities, AMRUT, Swachh Bharat, and Housing for All etc.). States will have
flexibility to align the ongoing mission’s and programs to achieve the objectives of
State Urban Policy
 Based on a MoU between the MOHUA and the States, the GOI can assist the States
in sourcing/organizing international Technical Assistance funding (i.e., World
Bank, ADB, UN-HABITAT, USAID, GIZ etc.) to support implementation of the State
Urban implementation plan.
Chapter 1
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Introduction

It is widely recognized that India is urbanizing at a moderate pace. Even though the rate of
urbanization varies regionally, India will become an urban majority country within a generation.
This tipping point of India’s urbanization process is likely to be one of the most significant human
event of the next ten years. Yet, despite many efforts, India’s cities are struggling to provide for their
current population. Hence, there is an urgent need to revisit the country’s urban strategy, including
questioning some deeply embedded assumptions about urban problems and their solutions.

India’s response to urbanization recognizes the international benchmarks as laid out in the
Sustainable Development Goals (SDGs), the Paris Agreement on Climate Change and the New Urban
Agenda (NUA). Given the growing importance of the urban sector over the past few years, India has
stimulated the this sector by launching six new missions: Atal Mission for Rejuvenation and Urban
Transformation (AMRUT); Pradhan Mantri Awas Yojana (PMAY) - Housing for All (Urban); Smart
Cities Mission (SCM); Swatch Bharat Mission (SBM); Heritage City Development and Augmentation
Yojana (HRIDAY) and Deen Dayal Antodaya Yojana – National Urban Livelihoods Mission (DAY –
NULM) along with schemes and programs to improve urban mobility. The missions are aimed at
improving the quality of life in urban areas. Integrated within the missions (AMRUT and PMAY) is
a set of accompanying reforms, which aim to provide and improve urban services. Building both on
the international frameworks as well as the national missions, the National Urban Policy
Framework (NUPF) outlines an integrated and coherent approach towards the future of urban
planning in India.

The NUPF is not an attempt to provide a detailed, top-down guidebook for how to build and manage
Indian cities. It recognizes that most urban issues are under the jurisdiction of States or Urban Local
Bodies and that solutions must be customized to the local context. One of the starting principles of
NUPF 2018 is that the imposition of a standardized, tightly codified prescription is not desirable.
Instead, the document presents a new way of thinking about Indian cities, which significantly
departs from the earlier intellectual frameworks that still drive our thinking about urban planning.
Accelerated job creation emerges as a key issue in planning for India’s urbanization within the
larger context of its growth and development.

The NUPF is structured along two lines. Firstly, at the NUPF’s core lie ten sutras or philosophical
principles. For each sutra, two illustrations are provided in order to show how the new principles
play out in practice and how the ideas are different from the existing approach (but internally
connected with each other). It is understood that the application of these Sutras will lead to
somewhat different urban outcomes in different parts of the country. This plurality is part of what
is being attempted by replacing a view of cities as machines for living with one that sees them as
evolving ecosystems.

Secondly, the ten sutras are applied to ten functional areas of urban space and management. Within
each functional area, the status quo and its challenges are analyzed, key priorities are formulated

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and specific possible actions points suggested. Illustrations from India and around the world feature
best practice examples as an orientation.

The ten pillars are:

1. City Planning
2. Urban Economy
3. Physical Infrastructure
4. Social Infrastructure
5. Housing and Affordability
6. Transportation and Mobility
7. Urban Finance
8. Urban Governance
9. Urbanization and Information System
10. Environmental Sustainability

The NUPF is the foundation for individual and strategic urban polices at the state level. Building on
this framework, each state is expected to design a state policy on how to take urbanization forward
paying respect to the local contexts. Since the NUPF does not enter into a policy vacuum, state
policies moving the NUPF forward need to be coordinated with existing national and state level
policies and create synergies with the planning system in place. Each state individually needs to
classify its cities, explore trade-offs between sutras in the specific context and take advisories issued
by the ministries into account. The states should also draw from URDPFI guidelines (2014) and any
other knowledge products which help to strengthen their state policies.

The NUPF is not simply a template for urban policy at the state level. It is rather an integrated,
coherent and well-structured outline of a new approach towards understanding city space, urban
life and the management of space. It sets out out focus areas of future urban development and
highlights engines for economic growths. In parts it follows the principle of loose fit, light touch at
other parts it is more concrete on specific actions suggested depending on the degrees of freedom
the states have on a particular urban issue.

Linkages between the 10 Sutras and ten sectors (pillars) are explained in annex power point
presentation (Annex 2). Considering the diversity of sutras under the new philosophy of India’s
NUPF, it will be crucial to establish a mechanism to coordinate work on all pillars and sutras in an
integrated and participatory manner to assure effective and efficient implementation of the NUPF.
In order to support the states in formulating strategic urban state policies, the Center will set the
institutional framework in place that is needed to implement suggested actions and develop models
and guidelines to facilitate the implementation of these actions. Furthermore, the Center will
incentivize the NUPF’s implementation through means of budget allocations.

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New Philosophy for India’s Urban Policy: Ten Urban Sutras (Philosophical
Principles)

Urban Sutra # 1: Cities are Clusters of Human Capital

Current Indian urban thinking views cities as large mechanical systems for the production and
consumption of built space. This means that a city is primarily seen as a collection of buildings,
roads and other forms of hard infrastructure. As a result of this approach, Indian urban planning
is mostly about imposing land uses –‘residential’, ‘commercial’, ‘industrial’, ‘recreational’, public’
and so on). The new framework hopes to reimagine cities as clusters of interconnected and
interacting human capital.

The principle here is that cities need to invest in their clusters of human capital – which
vary as per the economic and social context of a particular city. Thus, the success of urban
planning and management should be judged from now in terms of the ability of a city’s hard and
soft infrastructure to enable the agglomeration of human capital, and to enhance socio-
economically productive interactions.

One advantage of focusing on people instead of buildings is that we can break down the silos
between economic, cultural, social and physical aspects of urban life. Granular division of city level
statistics and their analysis can inform policymaking and target the issues more accurately. Instead
we can take an integrated view of issues such as quality of life, safety, social vibrancy, social
mobility, education, health, wellbeing, gender responsiveness, heritage and so on. Urban poverty,
for instance, becomes a dynamic social mobility issue rather than a static “slum removal” problem.
This approach will also help to make cities more inclusive.

Illustrations for Sutra #1

 Socio-Economic Mobility: The current urban framework looks at urban poverty as a static state
of deprivation. Thus, slums are seen merely as a housing and lack of access to basic
infrastructure problem. By re-orienting the framework to human capital agglomeration, we can
look at urban poverty as a “flow” of aspired people who want to climb the socio-economic ladder,
as opposed to locking people into a given level. Urban policy should be about enhancing the
ladder and providing flexibility to move within and between settlements. Thus, affordable and
well-located rental housing becomes just as important as encouraging home ownership.

 Using Universities as Urban Drivers: All great cities in the world are also home to great
universities (Boston, London, New York and so on). This is not surprising as universities are an
obvious way to agglomerate human capital. This was also true of pre-independence India when
institutions like Benaras Hindu University, Aligarh Muslim University, Hindu College (Calcutta),
etc. formed the genesis of city development. However, after independence, universities and
other institutions like the IITs have typically been walled off from host cities or built in remote
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locations. Thus, Kharagpur and Kanpur do not benefit from being host to leading hubs of higher
learning. The new framework will explicitly encourage the policy-makers to think of educational
institutions as an integral part of the urban ecosystem.

Urban Sutra # 2: Cities require a ‘Sense of Place’

One of the hallmarks of post-Independence urban development in India is a uniform urban and
architectural form (mostly derived from mid-20th century Western modernism) that is unaffected
by regional diversity, climate, geographical landscape, culture and history. Contrast this with the
wide variety of urban and architectural forms that existed during pre-colonial and even colonial
times – the temple-towns of Tamil Nadu, the port cities of Kerala and Gujarat, the capitals of
princely states, hill-stations, colonial civil lines, Mughal walled cities and so on. Plurality is the
essence of Indianness. Urban design should be responsive to place and context, thereby reinforcing
the connection with how Indians live and work, rather than be dominated by generic international
models. Sadly, Indian cities have neither conserved the older parts of the city nor produced vibrant
expressions of modernity in their own contexts.

The principle is to pay attention to the unique “sense of place” which is critical for civic
identity and pride and to adopt planning and urban design that derives from location, socio-
economic context, culture and history.

Illustrations for Sutra #2

 Conservation of historic districts: Till now, the older parts of the city are seen as a problem
by civic authorities as they are congested and have aging infrastructure. The solution was often
to demolish and “modernize”. However, we should now see the old parts of the city as key to the
identity of the city and should invest in them. Furthermore, historic districts and cultures
contribute to social identity of the community, and foster social cohesion and sense of belonging.
If an area has narrow roads, the solution often may be to pedestrianize rather than widen the
road for cars (obviously, the exact solution depends on the specific context). The recent upgrade
of the area around the Golden Temple in Amritsar is good illustration of how older parts of the
city can be revitalized. However, one should also think in terms of creating new iconic buildings
and urban spaces.

 Form-based codes: Rigid zoning and excessively prescriptive text-based codes heavily
influence urban forms and architectural outcomes in India. Moreover, these codes are usually
standardized irrespective of the local context. One solution is to move away from land-use and
text-based controls, to form-based regulations (i.e. from textual to visual). This will shift the
emphasis of urban planning from setback requirement, plot area, limits on building heights, etc.

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to site design and building form as it relates to street-scaping and adjacent uses to create an
appealing place. Interestingly, the 18th century urban planning of Jaipur is good example of
form-based urban planning and retains a distinct sense of place to this day.

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Urban Sutra # 3: Not static Master Plans but evolving Ecosystems
The dominant tool of managing urban development in India has been that of master planning,
which prescribes land use and densities. Master planning is a static concept. In a rapidly urbanizing
country, physical planning has to be dynamic, adaptive, iterative and continuous process of
anticipating population dynamism and managing socio-economic changes taking place. Town
planning practices in India are based on principles and models of the West. The West did not
grapple with the problem of rapid urbanization on the scale India is now facing. The emphasis of
urban planning has to shift from land-use planning to guiding complex, inter-related processes of
socio-cultural, demographic and economic change.

A city consists of many systems (i.e. energy, transport, water supply, waste management,
education, heath, commerce, socio-cultural activity, etc.). These systems interact and form an
evolving ‘system of systems’, which generates complexity in cities. The ecosystem approach views
the city as being more than the sum of its parts. Contrast this with the old approach that insisted
on neatly zoned silos. Thus, the new approach is much more sympathetic to mixed use, and
adapting to changing use patterns. Notice how this sutra connects both to Sutra #1 encouraging
human capital agglomeration and Sutra #2 on the importance of context.

The principle is to deal with cities as evolving, organic ecosystems, with greater attention
to the series of transitions that the city undergoes over time. Mixed and changing land uses
are considered a natural part of urban management.

This approach implies constant feedback-based adjustment. Data science and GIS are necessary
tools for dealing with the system-of-systems approach. However, active leadership and public
participation are crucial to the success of such an approach.

Illustrations for Sutra #3

 Re-deploying derelict urban spaces: Most Indian cities have significant urban spaces stuck in
outdated uses such as derelict industry, unused port, and defunct institutions so on. These are
important resources that need to be re-deployed for the use of the city rather than left to fester
in some hope that the old uses will somehow revive. The socio-economic needs of a city evolve
and land use should seamlessly evolve along with it (except where there are environmental or
cultural reasons for preservation).

 Mixed-use clustering: Over the last fifteen years, Singapore has deliberately clustered a wide
range of activities in its city center in order to create a buzzing urban concentration. This
includes a new business district, malls, residential towers, a casino, new management university,
sports hub, theatres, botanical gardens, re-using heritage buildings as museums, integrating
informal sector and even a Formula One track. Contrast this with how Indian planning has
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traditionally seen mixed use as undesirable and messy. This silo approach meant that Delhi-
NCR’s response to hosting a Formula One event was to build a dedicated racetrack while
Singapore just used its existing city roads.

Urban Sutra # 4: Build for Density

Almost all Indian cities are crowded and congested, especially in the historic core of the city. The
response so far has been to “decongest” by limiting density through Master Plan, which has proved
to be both ineffective as well as expensive. The old approach has led to the development of far-off
suburbs. In turn, this has created urban sprawls that use up a lot of land, and put a heavy burden
on infrastructure systems that have to cover a much larger expanse than is necessary or feasible.
This is also linked to increasing commute times and traffic congestions.

The principle is to anticipate and accommodate density. Proximity to transit or to clusters

of human capital naturally attracts higher densities. In new areas, in particular,
infrastructure should be pre-built to accommodate high density. International experience
shows that if sufficient infrastructure is installed, even dense urban environments can
support a high quality of life.

Illustrations for Sutra #4

 Density is critical for Public Transport: Allowing higher density is not just an expedient
solution for the problem of accommodating a large number of people, it is critical for efficiently
running many forms of infrastructure such as public transport and allowing for efficient and safe
non-motorized transport options. The efficiency and economic viability of safe and accessible
public transport systems get severely compromised by urban sprawls. Indeed, multi-modal
public transport systems are directly predicated on urban density in order to provide enough
throughputs for the network (See Sutra #6). This is even truer for a world where we may be
sharing and renting transportation solutions using digital platforms.

 Density is not bad for Quality of Life: The current Indian approach views decongestion as the
best way to improve Quality of Life. This may be a leftover of the colonial era disdain for the
Indian bazaar in contrast to the ordered civil lines of British rulers. However, some of the most
successful 21st century cities in the world are very dense – Hong Kong, Shanghai, Tokyo, New
York and so on. The issue is whether or not the infrastructure can support the density. This is
why Indian cities should build the infrastructure for density (incidentally, it is much cheaper to
build a concentration of infrastructure than build the same spread over a large area). Note,
however, the desired level of density will depend on context (Sutra #2); the optimal density will
be very different in Mumbai and Allahabad, and may be different for different parts of the same
city. It is needless to say that Floor Space Index (FSI/FAR) regulation should be linked with
infrastructure investment. In Seoul, as in New York and Singapore, city planners have been very
selective in designating FSI levels so that they are closely aligned with infrastructure (mainly
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 transit capacity but also water and sanitation, pedestrian flows) and policies to develop
252
commercial as well as mixed commercial and residential activity centers 1.

Urban Sutra # 5: Public Spaces that encourage Social Interaction

Cities exist because people value direct social, cultural and economic interactions. We need to
design for public spaces that encourage such interaction between all people; both intended and
planned as well as those that happen by chance. Thus, we need to think beyond the first order uses
of parks, bazaars, places of worship, sports clubs etc. They all have an important second order role
as places for social interaction and inclusion. We need to actively design for encouraging and
supporting this interaction.

Importantly, we need to think of people-to-people interactions from an Indian social perspective.

The blind application of Western urban thinking tends to overlook the way in which Indian social
interrelationships function (note link to Sutra #2). For instance, neighborhoods need common
spaces where all people can come together for celebrations, recreational activities and community.
They also need to allow for interpersonal relationships that define Indian daily life – the local tailor
or shopkeeper, street vendors, the evening gossip under the tree and so on. A shopping mall is only
a part replacement for this.

The principle is that we need many shades of safe and accessible public spaces that
encourage people to interact with each other. Moreover, we need to think of these spaces
specifically for the Indian social context. In addition to meeting and recreational space they
provide nature-based solutions, including air purification, reducing heat island effect and
harvesting of rainwater.

Illustrations for Sutra #5

 Varanasi Ghats: There are many kinds of public spaces that encourage social interaction –
public parks, public transport hubs, markets and so on. However, riverside Ghats are uniquely
Indian example of such a space. The Ghats of Varanasi attract a wide variety of people and
activities – tourists, pilgrims, boatmen, sadhus, and kids playing cricket, locals taking walk in the
evening and so on. Indian cities need to create more such spaces that are open to all and provide
a safe, accessible and enjoyable space to meet other people.

 Nukkads: All successful societies create semi-public spaces where people build personal
relationships or simply linger. Paris has its sidewalk cafes, London has neighborhood pubs, and
Singapore has local Kopitiams. The “nukkad” is the Indian equivalent of such place making and
comes in different regional forms – the Kolkata “para” or the “pol” in Ahmedabad. The nukkads

1 ‘Urbanization beyond Municipal Boundaries’, World Bank, 2013.

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provide for spaces that encourage residents to interact with each other and foster relationships
through sports, celebrations, leisure, etc. Unfortunately, urban planners currently have not
accounted for this aspect of Indian social life although it can be easily reinserted with minimal
design effort. Notice how this illustration is linked to Sutras 1 to 5.

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Urban Sutra # 6: Multi-modal Public Transport Backbone
Transportation is necessary for economic activity, social life and self-fulfillment of the city-dweller.
The exact modes of transportation used in a city will depend on its size and the diversity of its
socio-economic profile. The existing paradigm aims to make individual modes of transport, usually
cars, more efficient in silos. Multi-modal approach, in contrast, is not merely about an emphasis on
public transport but also about interchangeability. No single mode of transport is emphasized at
the expense of the wider system. The introduction of new transport technologies is seen as a way
to add to the richness of transport options. Nonetheless, this approach does give ‘safe and
accessible walkability’ a special place because it is the most widely used means for interchange
(the first and last mile of virtually all public transport system is walked) and the most accessible
mode to every population, provided that it is well designed to support people of all abilities.

The principle is to promote multi-modal public transportation and walkability in the city.
The diversity of transport solutions and interchangeability is the key, and must be tuned to
the needs of the specific urban context. Note that public transport has been included as a Sutra
even though it is also a functional area. This is because it provides the backbone that hardwires
many other urban activities.

Illustrations for Sutra #6

 Multimodal Interchangeability at Metro Stations: Many Indian cities are now building metro
stations. Delhi, for instance, now has a fairly well articulated network. However, when one exits
a metro station, there is usually a gaggle of confusion – taxis, auto/cycle rickshaws, waiting cars,
hawkers and so on. Moreover, there are often no proper pedestrian or cycling facilities for those
who wish to walk short distances. No amount of improving the metro services will substitute for
the hassle of connecting the last mile. This is why urban design must map out and manage this
aspect of multimodal transport. The amount of funds required to improve this are likely to be
small, but the impact will be very large. This is also a great opportunity to incorporate new forms
of transport such as digital sharing platforms.

 Pedestrian and cycling networks: Indian urban planning tends to give very low priority to
pedestrian networks even though they are critical to all public transport system (indeed, “road
widening” is usually a euphemism for reducing space for pedestrians). Note that pedestrian
facilities are not merely about footpaths but also crossings, signage, lighting, safety and so on. It
is often said that India’s warm climate is somehow an impediment to walkability. Any evidence
does not support this assertion. Singapore has excellent pedestrian networks despite its hot and
humid weather, whereas Bangalore is arguably a difficult place to walk despite its cool weather.
Similarly, in many cities in Europe, people use bicycles to commute short distances, which are
not only healthy but also an environment-friendly option. The point is to design safe, accessible
and useable walking and cycling infrastructure. For instance, density (Sutra #4) has a real

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impact on the viability of walking as a mode of transport and densely packed urban landscapes
should give preference to walkability over all other forms of transport.

Urban Sutra # 7: Environmental Sustainability

Environmental sustainability is both a Sutra as well as a functional area. One cannot emphasize
enough the need to design and manage cities in a way that minimizes the impact on water
resources, energy resources, land use, carbon footprint and air quality. Moreover, environmental
sustainability in planning improves air quality, access to clean water resources, and reduces
likelihood of illnesses from endocrine disruptors. Note how these are closely linked to some of the
other Sutras such as Density (Sutra # 4) and Public Transportation (Sutra # 6). Disasters affect the
poor and marginalized in vulnerable situations disproportionately and thus require a more
sensitive, inclusive and accessible risk reduction framework.

An additional factor that is often forgotten is resilience and mitigation to disasters, multi-hazard
disaster risks, and impact of climate change. Note how this requires awareness of the geographical
and geological context, and a willingness of urban planners to conduct appropriate risk profiling
and early-warning strategies. Note the contrast with the current approach of imposing Cartesian
order and standardized grids on non-linear natural landscapes. Strengthening good governance
in disaster risk reduction strategies, improving preparedness and coordination at all federal levels,
and building capacity is essential. The principle is that city planners and managers must adapt
to the local environmental landscape. This requires local knowledge and can benefit from
digital mapping and satellite imaging technologies.

Illustrations for Sutra #7

 Protecting water bodies and drainage contours: One of the major failures of Indian urban
planning is the failure to protect water bodies. This is why Bangalore, a city once surrounded by
lakes, wetlands and tanks, is now witnessing a serious breakdown of its water ecology. Chennai
has repeatedly experienced floods in newly built areas that had ignored old water channels.
Some of this happens due to unscrupulous private encroachments, but a large part of the
problem is that Indian urban planning is rarely concerned with the natural contours in its rush
to impose Cartesian grids on non-linear landscapes. Thus, cities in the Deccan plateau are often
seen destroying rock outcrops that are an integral part of the natural landscape in order to force
through straight roads.

 Reviving the art of indigenous horticulture: The choice of trees, as well as the design of green
spaces is an important aspect of town planning. Pre-colonial and colonial era city managers have
emphasized on this but it has now disappeared from the urban design conversation in India
(although it is common in the rest of the world). It is important that this art is revived, especially
given issues such as heat island effects and water run-off. In particular, the choice of trees must
be tuned to the local ecological context. For instance, today’s public parks and green spaces put
too much emphasis on grassy lawns, which use excess water and derive an imported aesthetic.
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In India, parks should be more about shady, native trees. This fits with the traditional Indian
“vatika” which were about combining large trees and water bodies, rather than maintaining
open lawns for e.g. Rabindra Sarovar Lake, Kolkata.

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Urban Sutra # 8: Financially Self-Reliant

City governments have traditionally been dependent on higher levels of government to provide
them with funds, even to undertake the most fundamental tasks of public service delivery. This has
distracted cities from leveraging their local assets for generating economic activity and capturing
revenues.

The principle is to encourage cities to leverage their local assets including community
savings to generate more financing and revenue sources. The whole range of options needs
to be explored from user charges to municipal bond financing to diverse methods of value
capture financing.

It should be noted that the starting point of financial self-reliance is a transparent and up-to-date
set of accounts. Once these have been established, it becomes much easier to both leverage local
resources as well as draw on funds from Central and State government schemes.

Illustrations for Sutra #8

 Leveraging local tourist spots: Many Indian towns host tourist spots – these may be places of
historical value, natural beauty or perhaps a popular festival. With the exception of the most
important monuments, however, the bulk of local tourist spots in India suffer severely from
negligence. Municipal governments need to step in to impose user charges, leverage (and
control) commercial activity, and take responsibility for maintenance. This will not only
generate revenues, but will also introduce some sense of local ownership. Note that the legal
ownership of the tourism asset, especially when it is a historical monument, is often with the
State or Central Government. There is a need for better coordination between the municipality
and higher levels of Government in order to look after and leverage revenues from such assets.

 Municipal Bond Markets: Municipal bond markets are a very important source of financing
across the world. However, despite recent experiments such as Pune and Ahmedabad, India still
lacks a vibrant municipal bond market. There are many factors inhibiting the growth of the
market. The poor record of the legal process in enforcing contracts also means that investors
will remain wary of what would happen if a municipality cannot or will not meet debt service
obligations. There are also bottom-up problems in many municipalities such as the lack of a
reliable set of accounts. Note that these matters are not new and have been discussed for years.
Unlike some of the illustrations for other Sutras, this is not about changing urban strategy or
philosophy, but about systematic implementation.

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Urban Sutra # 9: Cities require Clear, Unified Leadership
Urban governance requires both vision and internal co-ordination. This is particularly true when
we are arguing for a shift from a standardized top-down approach to one that is more attuned to
local context (Sutras 2, 5 &7) and where possible, bottom up based on the principle of subsidiarity.
Unfortunately, Indian cities have a multiplicity of agencies and administrative nerve centers, often
working at cross purposes or duplicating effort. The challenge is to attenuate the dispersed veto
power of the various power centers so that urban managers can make effective decisions and
trade-offs.

The principle is to implement urban governance structures that empower a unified and
clear leadership, and reduce the multiplicity of decision-makers. In addition, give a voice to
those ‘unheard’ to promote universally accessible and equitable response.

This leadership could take the form of a Mayor or a suitably empowered municipal functionary.
The 74th Amendment has created the general framework, but individual States (or even particular
cities) should develop suitable governance solutions that resolve this issue.

Illustrations for Sutra #9

 Multiplicity of Authorities: Agra provides an example of fragmented responsibilities within

the water supply sector itself with division between the Jal Nigam and the Jal Sansthan. Further,
when it comes to the provision of this service to the slum dwellers, other organizations such as
the State and the District Urban Development Authority comes into the picture. However, as per
the Municipal Act, this function should be under the Agra Nagar Nigam (ULB). Similarly, the
PWD, the Agra Development Authority and the Nagar Nigam are responsible for different roads
in the city. This level of dispersion of power is bound to interfere with governance.

 Why do some cities work: The City Charter of New York City provides for a strong “mayor-
council” system and empowers the Mayor, as head of the executive branch, to appoint or remove
any unelected officers, to prepare city budget, and administer all city services, public property,
police and fire protection, most public agencies, and enforces all city, state and federal laws
within New York City. Similarly, in the city of Seoul, strong leader in heart of the city drives
multi-disciplinary urban renewal by leveraging stakeholder conflict, effective civic personal
collaboration and massive public engagement and participation.

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Urban Sutra # 10: Cities as Engines of Regional Growth
For much of the post-independence period, urbanization was seen as a necessary evil that may be
tolerated but not quite encouraged. As a result, overconcentration of urban growth happened in
the larger towns (specifically four metros) and the imbalance in urban hierarchy existing at the
time of India’s independence got magnified both in spatial and socio-economic terms. However,
cities are now actively seen as engines of economic growth and centers for job creation, not just
for themselves but also for the wider region (examples, Delhi-NCR, Mumbai-Pune, Bangalore-
Chennai, etc.). This means that we need to think of how specific urban nodes connect to their urban
and rural hinterland.

The principle is that an interconnected urban network, often driven by a large central node,
can generate and sustain high rates of economic growth.

This Sutra extends the idea of a city as a bubbling, ever-changing ecosystem of various socio-
economic activities (Sutra #3), and puts it in a wider regional ecosystem. This means that urban
policy is not a passive response to urbanization, but an active strategy for creating interconnected
and interdependent network of urban centers for employment generation and economic
development.

Illustrations for Sutra #10

 Using Kolkata as the engine for East India: It is not uncommon across the world to witness
interconnected urban networks dominate economic activity: the Hong Kong-Macau-Shenzhen
cluster in China, Boston-New York-Washington and the San Francisco-Silicon Valley in US and
so on. In India, there are regions such as Delhi-NCR, Mumbai-Pune and Bangalore-Chennai. The
impact of these hubs is felt far from their immediate vicinity. Delhi-NCR, for instance, impacts
economic activity in Jaipur, Chandigarh, Dehradun and Agra. This framework would suggest that
the key to stimulating higher economic growth in eastern India lies in driving Kolkata as a hub
and investing in connecting it more strongly to Ranchi, Patna, Bhubaneswar and Guwahati. This
is a fundamentally different perspective from seeing each of these cities in isolation.

 Smaller towns as rural growth engines: Urban centers, small or big, are connected to its rural
hinterland in many ways. The city will usually buy food; provide jobs, and services such as
medical care and education. The nature of connections tends to be different for large and small
towns with the surrounding settlements. In the poorer parts of the country, the quickest way to
improve the lives of the people is to strengthen the network of urban and rural settlements. This
will mean restoring the harmony and equilibrium of human settlements in India and a major
impact will be on employment generation for the people in the hinterland. Again, this is
fundamentally different from the current approach of seeing rural and urban growth in silos.

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Chapter 2

City Planning
Background and Challenges

The principles of planning in ancient India are expressed in Manasara’s Shilpashastra, Kautilya’s
Arth Shastra and Varahamihira’s Brihadsamhitha. The structure of settlements was defined in a
scientific manner wherein specific areas were earmarked for different uses such as markets,
handicrafts manufacturing areas and recreational facilities. The location of town gates and the
direction of roads moving out of the settlements were related to cardinal directions. Planning
principles reflected the culture of that time and some of the popular examples of planned towns of
this period are - Ayodhya, Indraprastha, Madurai, Vanji, Kaverippumpattinam, Kanchipuram, etc.
There are a lot of similarities between ancient Indian town planning practices and post-modernism.
Post-modernism looks back to a past before zoning codes made their appearance. Urban planning
practices are also sometimes referred to as neo-traditional. Some of the tenets, (l) walkability, (2)
smaller lots clustered together, (3) houses close to the plot line, (4) narrower streets that are often
laid out in a grid pattern, (5) functional integration, and (6) more socio-economic and lifecycle
integration.

Post-independence the main activity of urban planning was preparation of master plans or the so-
called development plans with rigid land-use, zoning and development controls. Master plan laws
in India are based on the Town and Country Planning Law of United Kingdom (1947). Taking this
law as the starting point, the Government of India prepared a model Town and Regional Planning
and Development Law (1962), which became the template for State Governments to formulate their
state-specific laws. Master plans have aimed to be too detailed and, therefore, even after years of
plan preparation exercise, zonal plans have not been completed. As a result, the growth of cities has
taken planners by surprise and the livability of cities has degraded with unplanned urbanization,
congestion and environmental degradation. Specifically, urban planning practiced in this way has
led to the following problems. First, master planning has led to a static built environment, which is
largely disconnected from the rapidly changing socio-economic conditions in urban areas of India.
In order to address the fluid, constantly transforming conditions in urban areas, State Governments
resort to frequent land use changes and building regularization schemes to legalize buildings/uses
in contravention of existing master plans. Second, master plans are unconnected to investment
planning at the city, state and national levels. As a result, master plans have largely remained
unimplemented. Third, master plans fail to be truly comprehensive due to the missing link between
the spatial and functional aspects. On a regional and national scale this lack of integration of spatial
planning and economic planning has increased the skewed hierarchy of settlements created by
colonialism and, importantly, benefits of economic planning and development schemes have not
been fully realized. Finally, urban planning has been done with the male perspective. For example,
housing for the urban poor rarely accounts for women’s concerns and needs in terms of site designs
or infrastructure provisions. Moreover, child-friendly planning principles and vibrant mix of uses
to enable safer and balanced built-open spaces will have to be taken into consideration.

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Priority and Actions

Priority

Urban planning should have a dynamic, entrepreneurial and gender-responsive approach. It should
be transparent, user-friendly and participatory. The primary objective to generate gainful
employment must be in-sync with providing housing infrastructure (Sutra # 1) and mass
transportation (Sutra # 6) while conserving the environment (Sutra # 7). Moreover, urban planning
should equip Indian cities to meet the needs and demands of a rapidly growing population by
building for density (Sutra # 4). Urban planning needs to embrace people-centered development
that understands the diverse needs of all residents and priorities people ahead of vehicles, and
designs streets and public infrastructure accordingly. Well-designed public spaces form the lifeline
of cities and are a significant factor in shaping vibrant communities. They help build a sense of
community, civic identity and culture. Public spaces facilitate social capital, economic development
and community revitalization. Additionally, urban planning has to become dynamic, iterative,
adaptive and continuously evolve by shifting to Form-Based Codes (Sutra # 2), instead of just
regulating height, setbacks, etc and repopulating cities (Sutra # 4), as opposed to the earlier
objective of decongesting cities. Finally, the economic base of small towns in India is weak and
volatile and they are unable to exert a positive effect on the surrounding rural population. In order
to make cities engines of regional economic growth comprehensive plans have to be prepared for
regions. The objective of integrating spatial and economic planning is to create harmony and
equilibrium among human settlements and a more balanced network of cities in the region will
ensure that maximum outcomes are obtained from development schemes (Sutra # 10).

Actions

Making urban planning dynamic, iterative, adaptive, gender-responsive and continuously

evolving
 Issue new guidelines based on principles of comprehensive planning for new master plans. All
schemes at all levels of government, the private and non-governmental sector have to be
dovetailed to achieve the objectives set out in the comprehensive plan.

 Planning area boundaries should extend beyond municipal borders to encompass peri-urban
areas as well so as to reduce social disparity, poverty and exclusion, providing better access to
jobs and services. Urban growth boundaries must be laid out keeping in mind regional
resources, vulnerable ecosystems, and climate considerations that may result in urban
agglomerations living in high-risk areas.

 For existing master plans, invite applications from the public once in every two years for
amendments. The requests to be examined based on principles of comprehensive plans and
decisions made. In this way the existing master plans will slowly acquire the character of a
comprehensive plan.

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 Master plans should be dynamic and complemented with a strategic, action-oriented plan, which
stipulates clear links to budgets and requires coordination and negotiation between agencies of
land use, transportation, infrastructure service provision and economic development. For each
Master Plan, a Strategic Plan (e.g. one or two-year duration) should be prepared. The Execution
Plan should flow from ward level consultations.

 Spatial planning exercise should be participatory and ensure that plans embrace diverse
resident views, including women, youth and immigrants, and integrates land use, employment,
education, infrastructure, culture and natural resources2. Role of government agencies involved
in spatial planning process, should transform from regulating and approving institutions to
bodies that enable and collaborate with residents to respond to their needs and priorities.

 Master planning should be made more efficient and inclusive through the use of technology-GIS,
GPS, remote sensing, geo-informatics etc. Use of common database platforms to ensure
coordination.

 Participatory mechanisms at all stages of the development of masterplans have to be

encouraged by the State policies.

 The issue of census towns will need to be considered by the sates when drafting urban policies.

Master plans have to build for density

 FAR should become an instrument to achieve important urban development objectives

(housing; Sutra # 1). For example, to renew older and blighted areas (e.g. Bhendi Bazaar,
Mumbai) of cities as well as strategically valuable areas (e.g. BKC, Mumbai).

 Have a two-tier FAR arrangement, with a basic FAR which comes with property right and the
rest purchased from the local authority and freely tradable (Sutra # 3).

 Move away from the present system of single Floor Area Ratios (FAR) across the city to a system
of traded FAR – certain areas like central business districts, transit corridors, important transit
stations and newer developments should have higher FARs (Sutras # 3, 4 & 6). Develop a trading
platform with an enabling regulatory framework to support trade in FARs.

 To start with, the revised Master Plan with higher and graded FAR should be notified. But
property rights should be restricted to the existing FAR. To realize the higher FAR, construction
should be permitted only on purchase of FAR. The FAR would be sold as TDR through calibrated
auctions done on a digital platform.

 Given the vast variation in land prices across a city, it may not be advisable to have a single TDR
market for the whole city. Instead, the Master Plan itself should divide the city into TDR zones.
This could be done based on a combination of prevailing property prices (guidance value

2 World Cities Report 2016

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register), economic growth and development synergies, and other parameters that are used in
demarcating Business Improvement District (BID) or Tax Increment Financing (TIF) areas. A
notified slum or a residential colony could be notified as a zone. Each category of TDR would
initially be transferable only within the zone.

 In the notified area, a small proportion, say 5%, of the total original FAR of the zone can be
released into the market once every three years. The extent of releases can also be determined
based on assessments of population growth or in pursuit of the realization of some pre-defined
targeted average per capita floor space over a period of time. The sale can be done through well-
publicized auctions conducted on an easily accessible electronic platform following the
prevailing capital market regulations. The entire auction process should be outsourced and the
bonds traded on the National Stock Exchange.

 In order to curb hoarding and speculation, the validity of a TDR should be restricted to 5 years.
The owner would have to utilize the TDR and get the property tax assessment completed within
this period. In exceptional cases, where the buyer was unable to develop the property due to
delays in municipal and other government building approvals, the City can buy back the TDR at
the same price with interest calculated at prevailing rates. In other words, no buyer, under any
circumstance would be able to retain an un-utilized right beyond five years.

 Furthermore, since all transactions are done on an electronic trading platform, buyers should
register with their Aadhaar numbers or corporate PANs (including the Aadhaar numbers of its
Directors). Purchases by any individual or entity should be capped at 10% of the total TDR being
sold so as to prevent hoarding. The trading platform should incorporate analytics that filter
deviations.

 The legal framework necessary for this would not involve any legislative amendments. The
City's building regulations should be amended to reflect the distinction between FAR that comes
with property rights and that which have to be purchased. The City would also have to register
the TDR issuance in each zone with the Securities Exchange Board of India (SEBI) to use their
platform to transact the auctions.

 The Ministry of Housing & Urban Affairs has to, (1) formulate master plan guidelines that go
beyond the prevailing (building-type) approach and promote differential FAR (area-specific)
based vertical development, including an illustrative master plan document, (2) issue guidelines
on area-based development control norms and its use as an instrument to manage urban growth
and development, (3) formulate model legal document that enables the sale of FAR , (4)
formulate a model FAR trading system with all the requisite documentation, (5) put in place the
enabling legal framework to allow for listing and trading of FAR Bonds in electronic trading
platforms, and (6) establish an electronic trading window within the existing securities
exchanges for auctioning and trading FAR bonds of various cities.

From Cartesian to Form-Based Codes

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 Shift to Form-Based codes. Unlike conventional codes, Form-Based codes use the intended form
and character of a place (or context) as the organizing principle or framework of the code, rather
than use, and regulate a series of important elements not just to create a good individual
building, but to create a high-quality place. The naming conventions in Form-Based codes reflect
the intended physical form and hierarchy of different places. For example, instead of a zone
being labelled “single-family residential,” it might be called “traditional neighbourhood.” Instead
of a zone being called “commercial” or “mixed use,” it might be called “neighborhoodmainstreet.”
The terms “neighbourhood” and “main street” refer to the intended physical form or place, both
of which may include a mix of uses and different building types that create vibrant walkable
urbanism. While form-based codes primarily regulate an intended physical form, they also
regulate use secondarily. Form-based codes often allow a range of uses that are carefully chosen
to maximize compatibility between uses and the intended physical form of the zone. Guidelines
on model Form-Based codes to be prepared by the Ministry of Housing & Urban Affairs for states
and cities to follow, including an illustrative Form-Based code for a city.

Focusing on integrated development of planning areas

 Cities should be divided into planning areas (e.g. existing localities or a planning area) and their
integrated development should be focused in order to make them more livable. Such a transformation of
“Areas” may require street redesign during retrofitting or assembly of land parcels for Greenfield
development or change in building codes /FAR for redevelopment. Consequently, existing Master Plans
will require revision in order to include contemporary tools, such as Local Area based Plans (LAPs) and
Town Planning Schemes (TPS).

 Local Area based Plans create a framework for enhancing public spaces, and areas under roads
by enabling the redevelopment of existing built-up environment. This involves adoption of tools
such as Form-Based Codes. It is an area-based form of regulation that supplements the desired
physical form (rather than separation of uses) of development. In Town Planning Schemes
(TPS), existing land holdings are merged and redistributed in a planned manner after making
deductions for street right-of-way and land for public uses. Landowners derive immense
benefits as they receive developed plots within an organized layout, along with all urban
services like roads and other urban infrastructure.

Public spaces, walkability and resilience

 Urban areas should provide for quality public spaces, which are networked and easily accessible
to all citizens irrespective of age or gender. Further, cities should plan for universal access and
inclusion of the differently abled, aged, and vulnerable sections of society. Cities should plan for
accessible (to mass transit) and safe public spaces and streets that encourage walking and
cycling.

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 Urban centers should revitalize derelict neighborhoods and low-performing areas of the city for
socio-economic vitality.

 Make cities adaptive to disasters and resilient to climate change through people-centred urban
planning and management practices. Demarcate no-build zones based on environmental
sensitivities, especially in expansion/new growth area.

Illustrations

 London Plan3: Strategic planning in London is the shared responsibility of the Mayor, boroughs
and the Corporation of the City of London. Under the legislation establishing the Greater London
Authority (GLA), the Mayor holds responsibility for the formulation and implementation of the
Spatial Development Strategy. It provides an overall strategy, setting out an integrated
economic, environmental, transport and social framework for the development of London. Local
development documents of the individual boroughs have to be in general conformity with the
London Plan. Moreover, in May 2018 the Mayor of London has unveiled a new environment
strategy, which seeks to make the capital zero – by 2050 and at least 50% green. The Mayor
considers London Plan as the expression of national policy, tailored to meet local circumstances
and to respond to the opportunities to achieve sustainable development.

 Form-Based Codes of City of Cincinnati: In 2012, the City of Cincinnati completed a

Comprehensive Plan update called Plan Cincinnati (http://www.plancincinnati.org/). It was the
first update to the Comprehensive Plan since 1980. The primary theme behind Plan Cincinnati
is "Thriving Re-Urbanization." This place type approach is context specific. It begins by defining
and differentiating rural, walkable urban and drivable contexts/places. It categorizes walkable
urban neighborhoods’ into different community types, outlines and maps them with a 5-minute
walk and introduce the urban-to-rural transect as an important organizing principle. Plan
Cincinnati also introduces important components of walkable urban places, such as building
types, frontage types, and civic space types, with the intent that they would be further reinforced
within the Form-Based Code. In parallel, the City has developed a Complete Streets Manual that
took a context-driven approach to designing and planning thoroughfares. This document uses a
similar methodology as Plan Cincinnati by designating rural, walkable urban and drivable
places/contexts as a starting point for thoroughfare design. This document also uses the Rural-
To-Urban Transect Zones as the organizing principal (the context zones) that further define how
the intensity and character of the built environment influences decisions related to street design.
This document is very important because it is evident that conventional automobile-centric
thoroughfare designs have created unattractive, non-pedestrian friendly streets within
Cincinnati's once vibrant walkable neighborhoods that have compromised the quality,
character, and economic viability of these neighborhoods’, and in particular their main streets.
Both of these documents created a solid foundation for a transition to a Form-Based coding
approach to zoning that is rooted in context with the Urban-to-Rural Transect as the organizing

3The London Plan, The Spatial Development Strategy for London Consolidated with Alterations since 2011,
Greater London Authority, March 2016 and “Plans released to transform London into zero-carbon city”, Climate
Action, May 11, 2018.
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 principle. This method has been shown to reduce barriers and provide incentives for the
266
revitalization of existing urban neighborhoods (including transit-oriented development) and
the creation of new walkable neighborhoods.

 Singapore Redevelopment Plan4: The Singapore Urban Redevelopment Authority (URA)

brought about robust urban planning. It created concept plans, which have acted as anchors to
Singapore’s 40 to 50-year development strategy and have been refreshed every decade using
GIS mapping. The concept plan also provides broad guidelines for a set of key projects and
policies essential to serve expected demand for physical and social infrastructure as well as
urban design and form. This 40 to 50-year concept plan is then cascaded down to 20-year
master plans that translate broad land use into actionable parcel-by-parcel planning norms and
distinct infrastructure projects. To ensure the development of world-class urban plans,
Singapore has invested upfront in capacity and technology and has ensured a participatory
process. The URA team consists of more than 300 professionals and spends around $160 million
per annum. Planners then consider the views of the public before moving to finalize content.
The process of granting exemptions is clearly articulated and when granted, exemptions are
transparent.

4Singapore Urban Redevelopment Authority, Interviews, McKinsey Global Institute analysis

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Chapter 3

Urban Economy

Background and Challenges

Urbanization is a strong contributor to the growth of a country. Clustering of people and enterprises
leads to higher levels of productivity and employment generation. This saving in time and money is
called agglomeration economies. Congestion forces operate against agglomeration economies.
Congestion occurs when infrastructure and basic services are unable to keep pace with demands of
increasing population and enterprises, thus, preventing full exploitation of agglomeration
economies. The Gross Domestic Product (GDP) generated per capita of urban population is a good
proxy to determine the interplay between agglomeration economies and congestion effects. East
Asia and the Pacific region generated 29 percent of the world’s GDP with a global share of
population of 32 percent (ratio of 0.91), as compared to South Asia’s production of 8 percent of
global GDP with a 14 percent (ratio of 0.57) share of the global urban population. As a matter of fact,
South Asia resembles Sub-Saharan Africa, where the 9 percent of global urban population produces
3 percent of the global GDP (ratio of 0.34)5. Thus, congestion effects are preventing realization of
full economic potential of urbanization in South Asia, including India.

Another negative effect is that congestion forces reduce the attraction of the city for knowledge
workers. Recent evidence shows a strong link between presence of knowledge workers and
generation of employment and income for all people living in the city, leading to higher economic
growth6. It is not that prosperous cities, such as Geneva, Singapore, London, Hong Kong are not
congested, but they have managed to provide high quality of life and attract economic growth even
with similar or less levels of congestion.

Furthermore, urban development in India has remained isolated from planned national
development. Initially, the urban was treated as an item of social expenditure and accounted for a
very small fraction of the total plan budget. The rural bias in national planning has led to insufficient
approaches towards managing cities. This is apparent, for example, in a rigid masterplan approach
in spatial planning which will be discussed in detail in chapter seven.

The hierarchy of settlements in India is highly skewed with a few very large cities and a large
number of villages. The colonial pattern of settlements has continued due to the lack of mechanisms
to integrate spatial (regional, urban/rural) with sectoral investment plans in the Five-Year Plans.
Additionally, rather than seeing urban development as a cumulative effect of a number of economic
development programs with impacts on settlement patterns, it has been understood as an
independent program operating in silo. Such a narrow view of urban development was unable to
maximize the economic benefits associated with increasing urbanization.

5SeeLeveraging Urbanization in South Asia, September 2015, World Bank

6Before1980s there was hardly any link between the skill level of a city’s workforce and its tendency to create new kinds of work. After the 1980s
new category of jobs appeared more regularly in cities with highly skilled people, as compared to cities without them. More so the accumulation of
knowledge by workers happens faster in cities with knowledge-intensive industries 6.
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Priority and Actions

Priority

Cities have a two-way beneficial connection with their hinterlands. Firstly, a network is formed
when several cities and villages are tied together in a mutually beneficial manner. A balanced
network consists of large cities, different size towns and villages. Spatial planning coordinates and
converges plans operating at different levels - local, regional, state and national. The integration of
spatial factors with economic and social factors of development at different scales creates a
balanced hierarchy of settlements which ultimately maximizes the spread effect of investments
(Sutra # 10). For example, investments in agriculture, rural development, industry, mining,
commerce have to go hand-in-hand with provision of infrastructure services (Sutra # 1). Secondly,
provision of basic infrastructure and services, building walkable sidewalks, nukkads, chaurahas
(Sutra # 5), open spaces (Sutra # 5) and increasing the livability of localities (Sutra #2) will attract
knowledge workers and lead to economic development. Urban planning in India must be directed
at the priority of a balanced network of settlements while bearing in mind that this is a long term
goal that has not been achieved yet even by advanced economies.

The priorities are to increase employment opportunities for all, particularly the poor; provide basic
services in slums, increase the amenity value of localities and to make social services, such as health
and education easily accessible to all residents. In this chapter, we only consider the actions
required to create a balanced hierarchy and to integrate spatial with investment planning. Other
sutras contributing to economic development are considered in the relevant functional areas (e.g.
transport and mobility, health, education and physical infrastructure).

Actions

National and state level policies for urban economic development

 Policy-making should understand urbanization as a driver of economic development. Cities
instead of remaining isolated centres of economic activity with weak linkages to hinterland
should become vibrant centres and make full use of natural and human resources in the regions.
So that over time they will expand their economic role beyond the region. Spatial planning
should be integrated with economic and social planning and become a major instrument of
agricultural and rural development, including anti-poverty programmes. Spatial planning
should also be used to prevent lop-sided pattern of settlements. Policies should make
operational the idea of rural-urban continuum and a balanced system of settlements and
urbanization should be promoted as a means of encouraging agricultural and industrial activity
in smaller settlements.

 The objective is to create a balance in the urban settlement system by moving away from ideas
of decongesting large cities, development of small towns into a more logical system of investing
in those urban growth centers which have a potential for growth and generating employment in
a widely dispersed way. The National Commission on Urbanization (1988) gave general

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guidelines for future urban settlement patterns and identified a list of 329 cities that have the
potential to generate economic growth and to restore balance in the human settlement pattern.
The Ministry of Housing & Urban Affairs will prepare detailed guidelines to decide on a list of
cities to be developed keeping in view the philosophy that these cities must create employment,
open up the hinterland, generate growth with equity, be engines of economic growth and
catalysts of social transformation of India’s economy and society. Spatial planning first needs to
assess the carrying capacity of city regions determined by environmental, resource and
infrastructure constraints. This will make operational Sutra # 10 to create a balanced network
of settlements.

 The states should develop strategies on how to integrate the informal sector into the economic
system both in terms of space but also input and output linkages.

Adequate Investment in skilled labor and local economic development

 Develop human capital in cities and surroundings (Sutra # 1) by paying adequate attention to
link demand for jobs with skill development initiatives. Enough space shall be created at the
State and local level to address the existing skill gap in the housing- construction sector and
explore new avenues of job creation in green technologies, new and eco-friendly construction
methods.

 Carrier counseling centers can be integrated with the ULBs to provide professional services to
the working age population and vocational courses may be created in various sector based on
the assessment of the local demands.

Empower and strengthen the role for ULBs in economic development

 The ULBs should be entrusted to provide social protection to informal workers (both policy and
programme) that boost the economy and protect the rights of workers, vendors, auto driver, etc.
For this wards in ULBs should be actively involved in DAY-NULM and NSDM (Sutra # 1). This
will also include provisions for ensuring higher levels of economic security through social
protection systems for those who are socially and economically vulnerable, in particular those
living in extreme poverty, including older persons. Actions to improve the urban economy must
pay special attention to women entrepreneurs in the informal sector.

 Presently, even local economic development is largely under the oversight of departments and
parastatals of the State government. These should be given to the cities and wards within cities.
For this the magnitude and range of regulatory and fiscal tools available to ULBs to be increased
to support the region’s urban growth.

 Promote business improvement districts to improve markets streets and neighborhoods in

collaboration with the formal/informal businesses (Sutra # 2 & 5).

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 In larger cities, City Economic Councils can serve as a clearing house between business and
governments to hasten progress of specific projects, remove bottlenecks hampering economic
productivity, improve ease of doing business and catalyze investments into the city.

 A quarterly City Dashboard capturing city-level investments, GDP and employment growth,
financial position and financial performance and status of infrastructure projects will provide a
framework of data-driven decision making focused sharply on jobs and economic growth.

Illustrations

 Urban design to improve local economic development in Birmingham, UK7: This is a case
study of a local authority that has explicitly recognized that improved urban design leads to or
is the key to local economic regeneration. Birmingham's urban landscape has been ‘re-imaged’
in an attempt to attract investment and act as a catalyst for economic rejuvenation. It is
demonstrated how the city council have been careful to cultivate a new image for the city
through policy initiatives, with the new urban landscape playing a crucial role in the
transformation of the city from an industrial to a de-industrialized, service-based urban
economy. The city's new urban landscapes are not simply an expression of broader economic
and socio-cultural changes, but play an active role in shaping the external and internal image of
the city.

 Partnerships for Sustainable Development of Cities in APEC Region:8 With objective to

develop a framework for an initiative to help realize the vision for Building Better Partnerships
for Inclusive and Sustainable Urban Growth in Cities of the Asia Pacific Region, APEC and Cities
Alliance carried out a study of 21 economics. This report identified key areas for priority support
for Partnerships: Lift economic performance and trade; Foster sustainable urban forms;
Development of strategic infrastructure; Enhance city information, trade Data, and asset
management systems; and Financing investment for sustainable development. Moreover, it
recommended that the implementation of best practices should extend across the various
systems – planning, project development and assessment, project procurement, and finance.
There is need to support the development of such capacity and tap the substantial body of
expertise in academic and policy institutions.

7https://www.sciencedirect.com/science/article/pii/026427519500041J 7
8“Partnership for Sustainable Development of Cities in APEC Region”, Asia Pacific Economic Co-operation (APEC) and Cities Alliance, 2018.
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Chapter 4
271
Physical Infrastructure
Background and Challenges

In India, the main types of urban basic infrastructure are, (a) drinking water, (b) sanitation and
sewerage and (c) solid waste management. For the first time the Zakaria Committee set the urban
service standards and norms for these services in 1963. Since then these have been revised and
presently the service standards used in India are set by the Ministry of Housing & Urban Affairs.

Generally, water supply systems can be divided into following parts - source, distribution mains,
distribution network and provision of taps to households. The source of water supply in many large
cities in India is located at distances ranging from 50 to 200 km. away, for example Hyderabad, the
capital of the State of Telangana gets its water supply from the rivers Krishna and Godavari located
far away. This enhances the cost and possibility of leakages. Another problem with water sources is
inordinate dependence on sub-surface water and its adverse effects on the water table (e.g. Punjab
state). Even if the water source is located close by poor maintenance and non-timely replacement
leads to high technical losses. At the same time, local governments are unwilling to pass on the
actual costs to consumers and this has led to grossly uneconomical tariff structures. In a large
number of cities, the revenues are not even sufficient to cover the operational costs. Apart from low
tariffs, the gap between the cost and revenue is also due to operational inefficiencies and pilferage.
The HPEC (2011) has found that water utilities on an average are able to recover only about 30-35
percent of the cost of operations and maintenance (O&M).

In India there are three management models to look after water services (including management of
sewerage services), (1) system management by department or parastatals of the State government,
(2) activity management by Urban Local Bodies, and (3) sector management by exclusive water
supply and sewerage boards set up for the city. The gap between the revenues and costs of water
supply prevents the municipal bodies from making any substantial investments on improving or
even maintaining the standards resulting in quality deterioration. Such dereliction hits the poor
most, as they have to depend on marker sources of water. Poor water quality and sanitation is also
a lead cause of water borne diseases and high child mortality rates in India.

Sanitation and sewerage consists of toilets and their connection to sewer systems. The toilets are
classified into three types - household, community and public. Household toilets as the name implies
are located in houses, community toilets are built for a group of people not having individual toilets,
for example due to lack of space in slums and public toilets are located at public places (e.g. markets,
railway stations). In turn, these toilets are connected to underground systems or disposal tanks (e.g.
septic tanks) located near the toilets. Underground systems could be networked with the sewerage
being carried to large centralized Sewage Treatment Plants (STP) or decentralized smaller STPs
located in localities. The decentralized or the ‘disaggregated approach’ is a cheaper alternative to
construction of large sewerage systems and was also suggested by the National Commission (1988).

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Urban areas in India are served by inadequate sewerage systems with high dependency of the urban
poor on public toilets. Many public toilets have no water supply while the outlets of many others
with water supply are not connected to the city’s sewerage system. The lack of proper disposal has
environmental implications. First, as large parts of cities are not covered to sewerage disposal
systems; wastes find their way into storm
water drains, natural water courses
and ultimately into
major rivers. The problem gets aggravated in case of rivers near major cities. Second, the sewage
carried by the underground system has to be ultimately let off in the natural drains, but after proper
treatment. In most of the cities the capacity of the treatment plants is much less than the sewage
flows.

The position with regard to sanitation in slums is much worse. Lack of proper toilet facilities makes
women and girls vulnerable to harassment and abuse. Several non-government organizations and
civic society groups have set up ‘pay and use toilets’, especially in slum areas. Co–production of
sanitary services has been tried successfully in slum areas. The concept includes setting up of a CBO
(Community Based Organization) at the grass roots, carrying out IEC activities, collecting a
significant percentage of the initial capital cost from the beneficiary followed by the construction of
a collective toilet block.

Priorities and Actions

Priorities

The priorities in water supply are related to the shortcomings in the present water system as
articulated by the High Power Expert Committee (2011). According to the report, the main
shortcomings of water supply in India are inadequate coverage, intermittent supplies, low pressure
and poor quality. The priorities of the NUPF are to provide adequate coverage, regular and
predictable supply of water at the right pressure and potable quality. As far as management is
concerned, the following shortcomings identified by The Administrative Reforms Commission
(2007) have to be addressed - public monopoly, organizational inefficiency, over staffing and lack
of autonomy leading to inadequate service delivery. It is imperative to ensure that urban
infrastructure and services are available and accessible, affordable, safe to use for all including the
most vulnerable groups: slum dwellers, women, children, elderly and differently-abled people to
achieve sustainable and inclusive development (Sutra # 1).

The Government of India has launched the AMRUT, SBM and the Smart Cities Mission. While the
SBM covers all the statutory urban local bodies, AMRUT covers 500 cities with a population greater
than one lakh and the Smart Cities Mission covers 100 cities. Where SBM focuses on hundred
percent open-defecation free India and ensuring better municipal solid waste management, AMRUT
aims to provide taps to all. While still being dedicated to these principles, the focus of the NUPF is
on creating dynamic master plans (Sutra # 3), retrofitting existing infrastructure and making
density-adjusted infrastructure plans (Sutra # 4) that are environmentally sustainable (Sutra # 7)
and pays for itself (Sutra # 8), creating a coherent, unified, nimble and flexile management system
(Sutra # 9), and dividing different activities in infrastructure provision to different levels of the city
and region (Sutra # 10: e.g. water source at regional level and operation and maintenance at the
ward level). Finally, all standards have to be achieved for all urban local bodies.
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Actions

 There is need to integrate economic, social and environmental considerations.

Administrative Reforms to improve infrastructure delivery

 Enhance city level autonomy of the urban local bodies by sharing the powers with the third tier
of government in line with the constitutional recommendation and link recovery of user charges
to cover, at least operation and maintenance, by statute. Capital cost to be met through grants,
bonds, etc. and recovered over a period of time by applying tools listed in the Value Capture
Finance Framework (e.g. tax increment financing) of the Ministry of Housing & Urban Affairs.
This will make urban local bodies self-reliant.

 Stronger institutional structures and development of specific roles for the urban local
bodies/city government and understanding of critical inter-dependence amongst all levels of
government. For example, a Special Purpose Vehicle (SPV) can be established at the city level
with shareholding by the city and the Parastatals. South Africa has successfully experimented
with such SPVs.

 Professional institutions for each of the areas of urban infrastructure governance such as, water,
sustainable waste management, sewage management, drainage, transport, finances, planning,
PPPs etc. should be set up by the Centre in order to guide local bodies and trouble shoot if
needed.

Formulate policy and programs for efficiency and rationalization of existing urban
infrastructure systems.

 A Handbook on Service Level Benchmarking has been developed and released by the MoUD,
which seeks to (i) identify a minimum set of standard performance parameters for the water
and sanitation sector that are commonly understood and used by all stakeholders across the
country; (ii) define a common minimum framework for monitoring and reporting on these
indicators and (iii) set out guidelines on how to operationalize this framework in a phased
manner. This can help States to evaluate their status quo in service provision.

 Based on a model plan developed by the Center, States need to develop strategic plans for the
provision of physical infrastructure that responds to their local conditions but which is directed
towards the overarching goal of creating equity amongst all urban dwellers.

 This strategic state plans need to envision a long-term service provision strategy (e.g. for the
next ten years) and thereby address possible future challenges such as the NIMBY-syndrome.

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 In order to allow for monitoring, the state plans have to set specific targets, definition and
requirements according to the local context. It needs to set basic requirements of equity in
access to water for all and supply according to a given definition of potable water. 24x7 hours of
supply have to be assured where possible and feasible. A target for waste reduction has to be
set. Efficient management of water utilities, regular waste water recycling, tariff fixation and
revision have to be implemented as standard practices by the States.

 Freeze on sub-functions in water supply, sewerage and solid waste management to be done at
the regional, city and ward levels. One way is to use the principle of subsidiarity, recommended
by the Second Administrative Reforms Commission.

 Follow a decentralized approach by providing financial support to States for State-specific

service improvement plans to achieve service standards. Service improvement plans should be
prepared by each State and city for water, sewerage and solid waste management, which
outlines technical, financial and institutional strategies to achieve universal coverage. The
Government of India only appraises and approves the State level plans and does not examine
plans of a city or individual projects. Appraisal of state service improvement plans is done
against a set of pre-determined set of criteria made available to the States.

 Context is important. The Ministry of Housing & Urban Affairs should focus on high-level
objectives and not get involved in operational supervision. The service level gaps and the
modality for achieving universal coverage vary widely among States and even within individual
States. A common national approach will not be able to provide the flexibility that States need
to devise and implement plans that suit State specific requirements. The MoHUA should
encourage States to develop integrated State-wide service improvement plans for each sector.

 Flexibility will allow States to allocate financial resources as per their unique contexts. States
decided the size of their service improvement plan based on their own strengths and existing
situations. States where cities are able to borrow commercially or access private finance can
pursue a larger service improvement plan by leveraging support from the MoHUA. Moreover,
the financial share of cities varies across States and it is best left to the State Governments to
decide how the residual financing (over and above national government share) is shared
between the State and the cities.

 States should improve efficiency and service delivery over a period of time by switching over to
performance-based contracts, as in Nagpur and Dhaka. Here, using performance-based
procurement has reduced losses to less than 10 percent.

 States should decide on a model for solid waste management for the urban local bodies. This
could range from an integrated solid waste management system to a completely decentralized
one or something in-between. Together with this, states should decide on a governance model
on to what degree the private sector should be included in public service provision.

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 In the integrated version all activities are done by a single agency with the garbage hardly
touching the earth and includes, primary collection, secondary collection, transportation up to
transfer station, transportation from transfer stations to designated treatment and disposal
facilities, treatment and disposal and reclamation and reuse of existing dump sites for the solid
waste management project.This includes E-waste management also.

 Use integrated digital technologies. For example, solid waste management implies taking
workers attendance by supervisors and monitoring movement of trucks carrying garbage. One
way to use digital technology is to assign designated spots to workers where supervisors would
photograph them using the camera of their mobile phones and transmit the photographs to the
backend where data operators would manually mark the attendance of workers after seeing
their photographs. Using Artificial Intelligence (AI), urban local bodies can take attendance by
using cameras located throughout the city and matching of photographs using computer vision9.
The cameras could also monitor activities, such as street sweeping, cleaning of garbage bins, and
the time spent by municipal functionaries actually doing work at their designated place of work.
This can be linked to payment of wages of workers. Digital technology has enabled municipal
supervisors to access real time information remotely (without being present at the site) and use
two components of AI - computer vision and neural networks10. This will make solid waste
operations cheaper as supervisors need not go around taking attendance and standing in streets
to oversee street sweeping. Placing attendance and street sweeping records in the public domain
will lead to greater accountability of municipal functionaries and transparency in municipal
operations. Using AI to count attendance and determine work done will result in complete
human disintermediation and bring about unimaginable increases in efficiency of municipal
operations.

 Integrate spatial plans with infrastructure plans so that the future developable areas are close
to urban nodes from where physical infrastructural services could be extended without
difficulty. As cities expand and service networks have to be expanded, an evaluation on
extending the trunk infrastructure versus adopting distributed water-sewerage systems should
be done. If distributed systems are adopted, protocols must be put in place that allows
distributed systems to be connected to the trunk infrastructure. This will help increase the
resilience of the entire system. The infrastructure which is built today will shape the way for the
coming decades. Population data and trends along with GIS map technology should be an
integral part of urban planning and infrastructure development.

Ensure that services are available, accessible, affordable and safe to use for all including the
poor, elderly, women, children and differently-abled.

 Unlike in the earlier infrastructure missions the goal suggested by this framework should be on
delivery of services to residents, not mere creation of infrastructure.

9An omnibus term used for a machine’s ability to capture, process and analyze pictures without human help.
10Are multilayered networks that do different jobs but are also connected just like a human brain. They are expected to detect patterns just as human
brain does (image recognition).
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 Infrastructure to be supported by effective people’s participation and involvement of other
stakeholders during the planning process. Focus on stakeholder participation to bring in
responsibility by involving city government, service operators (public, private), end users,
investors and solution providers. Citizen awareness building shall also be part of infrastructure
planning and capacity building initiatives at the local level. Engage women, in planning,
maintenance and monitoring of the services.

Environment-friendly infrastructure

 In an era of increasing natural resource scarcity and escalating impacts of climate extremes,
physical infrastructure eco-efficiency has vital implications for both economic and
environmental sustainability. In order to reduce future carbon emissions, infrastructure needs
to be designed and built to withstand future climate risks and with eco-friendly designs and
construction methods in place from the outset.

 Natural ecosystems should be recognized, harnessed and leveraged as natural infrastructure

systems within urban areas to enhance urban resilience.

 Dense, medium and low rise (up to four storeys) developments are able to sustainably meet
energy needs for the population they accommodate. It is possible to meet 100% of the electricity
demand from solar energy, with better design and hence lesser energy demand for cooling, in
low-rise buildings11. Energy demand of dense mixed use buildings can be aggregated and can
be first- reduced through energy efficiency measures (e.g. more efficient lighting, water
pumping) and then met through on-site or off-site renewable energy generation. Waste heat
could also be utilized for district cooling.

 Introducing and enforcing energy conservation building codes through municipal building bye-
laws, mandating green building star rating certification for large buildings and creating enabling
regulations for on-site renewable energy generation or off-site procurement of renewable
energy by all categories of consumers. Design action plans to meet net zero energy or zero
carbon buildings or neighbourhood targets through policies & regulations, financial
mechanisms and incentives.

 Develop centralised data platforms for disclosure of energy and water use and waste generated
by all consumer categories for better tracking and resource management.

 Use decentralized networks and a variety of proven technologies to treat sewage as locally as
possible. Some examples are the technologies developed by the NEERI, Nagpur and IIT, Mumbai.

11Position paper on low carbon, resource efficient affordable housing

http://www.gkspl.in/reports/green_buildings/2017.07.21_position%20paper_low%20carbon%20resource%20efficient%20affordable%20ho usin
g.pdf
32
 Another way is to have dual water pipelines in Greenfield developments and charging on the
277
consumption of fresh water minus recycled water.

Illustrations

 Dhaka Water Services Turnaround12: Dhaka Water Supply and Sewerage Authority (DWASA)
provided a breakthrough in the delivery of clean, reliable, affordable, and continuous water in
Dhaka. DWASA adopted District Metering Areas (DMAs) approach by dividing the city into zones
with independent systems to manage flow, pressure and control Non-Revenue Water (NRW).
DMAs were established and rehabilitated within six months from the start of works. NRW loss
before the project was generally more than 40% or 50%. But after the project, loss rates dropped
below the goal of 15%, and in some DMAs even went down as low as 1.58%. The key success
factors that may be taking note of are, minimize processing and implementation delays by
offering fewer contracts, designing performance based contracts by linking payments to
performance indicators, provision of 100% metering at consumer end, electromagnetic bulk
flow meters, pressure gauges and SCADA systems, use of trenchless technology for expeditiously
laying pipes, and engaging local community to ensure smoother implementation.

 SPVs in South Africa13: In South Africa, Municipal Entities (ME) is set up to manage and develop
specific services, sectors or portfolios. They are separate companies normally wholly owned by
the municipality (though this is not mandatory and municipalities may hold a partial interest in
a company if the other shareholders are national/provincial government or, if it's a private
sector company, the municipality has a controlling interest) and regulated by one of its
departments. While they may issue debt, this is tightly regulated and they are not primary
vehicles for raising (off balance sheet) debt finance for general urban development purposes
(which is what SPVs normally are – as in China). In S. Africa there were 91 municipal entities in
2006. Municipal entities have been utilized to perform a variety of functions. The developmental
and planning function includes economic and business development (excluding tourism) with
21 entities represented. This is followed by housing services with 11 entities and water services
with 6 entities. Of the 91 municipal entities, 41 entities were companies followed by 31 private
companies, 6 trusts and 5 service utilities.

12Sharma, Manojand Melissa Alipalo. 2017. The Dhaka Water Services Turnaround, Manoj Sharma, Asian Development Bank (ADB)
13See Sharma, Sameer. 2018. Smart Cities Unbundled. 2018. New Delhi: Bloomsbury
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Chapter 5
278
Social Infrastructure
Background and Challenges

Poverty is a key element of the social landscape in Indian cities. With references to urban local
bodies, urban poverty has the following features:

 Growth of slums and bustees;

 Rapid growth of informal sector; and
 Relatively poor civic services

The poor cannot afford to pay the growing market rates of permanent (pucca) shelter or buy high
priced land near the workplaces. At the same time, they cannot afford the cost of transportation
from long distances. Therefore, they are either excluded from urban central location or they settle
near their workplaces on lands normally considered unfit for living by the non-poor. Some examples
are banks of river, margins of naala and drains, margins of rail lands, swamps, etc. Houses are
located in irregular and unplanned layouts. There are minimal civic amenities leading to poor
sanitation and personal hygiene. Moreover, slums are overcrowded with people living in very small
living spaces. As per the Report of the Committee on Slum Statistics/Census (Sen. 200814), slum
population in the country was estimated at 75 million in 2001. The 2011 Census reported a slight
decline to 65.49 million. Lack of basic services is one of the most frequently mentioned
characteristics in all definitions of slums. Lack of access to improved sanitation facilities and
improved water sources is the most important feature, sometimes supplemented by absence of
waste collection systems, electricity supply, surfaced roads and footpaths, street lighting and
rainwater drainage Hence, the issue of urban poverty is linked both to physical as well social
infrastructure.

The service sector (also called tertiary sector) in Indian cities is different from that of the west.
Industrialization in the west led to a rapid expansion of the tertiary sector in urban areas and was
a manifestation of the maturity of cities. Indian cities also witnessed a rapid expansion of tertiary
activities during deindustrialization practiced in the British period. However, this was not a
manifestation of the maturity of the economy, as was the case of the cities in the Western capitalist
world, but rather of a low level of economic development and was a corollary to the process of
marginalization of the urban economy. Technical, professional, medical and educational services
(except religious services) were poorly developed and employed only a few.

Another key element of the social landscape is human capital. As outlined the chapter on economic
development, investment in human capital is also a key ingredient for economic development of any
country. Especially in a scenario where India’s economic growth is poised to be anchored in a
knowledge economy. Investment in human capital can play a significant role in reducing poverty
and enabling people to lead a healthy and productive life. Large-scale disparity exists in the volume

14Sen,Pronab. 2008. Committee constituted by the Ministry of Housing and Urban Poverty Alleviation to look into various aspect s of Slum/Census
and issues regarding the conduct of Slum Census 2011. New Delhi: Ministry of Housing and Urban Poverty Alleviation, Government of India
34
and level of educational attainment especially in primary to higher secondary education among
279
different sections of urban areas. The access to quality school education is not available uniformly
to all sections of urban society especially migrant population and urban poor. Gender based
educational inequality is also a major challenge for urban India. The dropout cases are higher among
girls than boys although learning outcomes of girls are better than boys. Numerous agencies work
towards the provision of education. Nonetheless, in recent years, municipal and government
schools have been losing out to private schools.

The health sector in India faces challenges in the form of declining role of public delivery of health
services, high OOP expenses on health, issues of accessibility and affordability of health services for
the poor and vulnerable, especially the slum dwellers, the migrants and the homeless. The urban
poor face the dual burden of increasing burden of diseases- on the one hand, non-communicable
lifestyle diseases (e.g. diabetes, hypertension, pulmonary diseases) and infectious diseases (e.g. TB,
malaria and dengue) and on the other hand, urban specific health issues such as mental health, road
accidents and injuries are also increasing over time. Natural and man-made disasters such as floods,
earthquakes, air and water pollution, and occupational diseases also have a larger effect on the poor.
Due to overcrowding in public hospitals/primary health centers, lack of adequate services and
personnel especially at primary health centers, limited health facilities are available for persons
with special needs and economically deprived. There are barriers in access to public health services
force, which compel a large number of urban poor to visit private doctors, unqualified doctors, and
local healers or rely on self-medication. This is more so for migrants and workers employed in the
informal sector.

Another soft infrastructure of Indian cities has been its rich cultural heritage dating back to several
centuries. Monuments, squares, streets have to be maintained in order to give a memorable
experience to visitors. Literary festivals, sports activities, drama, theatres etc. are currently limited
to a handful of cities only. Cities are known for good public libraries and museums. Existing libraries
are not maintained properly due to lack of funds, limited library staff, unavailability of new
technology and limited readership.

Generally, rural poverty was given precedence over urban poverty alleviation. Poverty removal, as
a dominant objective in India’s development strategy appeared for the first time in the Fifth Five-
Year Plan (1974-79). The major programmes for amelioration of the conditions of the urban poor
can be grouped into - shelter and physical environment related programmes; nutrition supplement
programmes, including public distribution; programmes for employment generation; and
programmes for the development of citizen participation and development of institutional
capacities of delivery agencies.

Priorities and Actions

Priorities

Provide employment to all with commensurate incomes, affordable housing, education that focuses
on learning outcomes and developing life skills, convergence of different health schemes and
agencies under the urban local bodies, upgrading municipal and government school infrastructure
35
with digitally empowered learning outcomes of the poor and the disadvantaged, and caring for the
280
migrants, women, children, widows, elderly and differently-abled. This will lead to realization of the
full potential of cluster of human capital in cities (Sutra # 1). Building for density (Sutra # 4) involves
accelerating the provision of housing for all, which also includes temporary lodging facilities of night
shelters or raynbaseras, women hostels, crèches, old-age homes and rehabilitation centers. Promote
‘Indianness’ (Sutra # 2) by maintaining monuments, heritage buildings and cultural artifacts,
developing public and cultural spaces, promoting Indian cuisines and soft power (e.g. rahadari).
These will also attract residents to public spaces, as opposed to malls, and encourage social
interaction (Sutra # 5).

Actions:

Integrated approaches to poverty alleviation

 Progressively move to Direct Benefit Transfer (DBT) for all schemes of Government. Learning
from Latin America and pilot projects point to the unmistakable conclusion that direct cash
transfer should be a mix of categorical (e.g. paying Rs. 500 to all the poor) and conditional cash
transfer (e.g. additional Rs. 300 for children regularly attending school).

 In order to minimize risk of spending disproportionately on non-durables (e.g. liquor

consumption), conditional cash transfer has to complement direct transfers and conditional
transfers should take care of specific public policy objectives, such as – (1) reducing specific
types of poverty and disadvantage, (2) dealing with different types of risk, (3) incentivizing
desirable types of consumption and promoting positive spending, (4) developing markets for
products and services, (5) removing social, market, and administrative discrimination that
prevent the poor to engage more fully in development processes, and (6) achieving goals
emanating from wider public interests.

 DBT consisting of cash transfer founded on categorical pay-outs topped by conditional transfers
to meet varying needs of diverse communities and unique characteristics of local areas in cities,
with Aadhar to do reliability check on beneficiary identities, combined with the use of mobile
phone for banking holds much promise to reduce the vulnerability of the poor and address a
common complaint made against development programs that they follow a one-size-fits-all
approach. Each State and city has to prepare a road map with milestones and timelines. For
example, social services and social security of large number of vulnerable workers in the
informal economy could be incentivized by a mix of conditional and categorical cash transfers
along with ensuring the safety and security of women to raise their participation in economic
activities.

Health
 The experience of Sri Lanka and Bangladesh shows that a significant improvement in
governance and institutionalized delivery services has to accompany increase in funding in
order to bring about a significant improvement in health over a short period of time. The entire
value chain of health should be brought under the urban local body over a period of time.
Increase use of digital technology to rollout a large-scale preventive health care. Converge

36
 tracking of health, nutrition and family data at a single point in urban areas. For example,
281
converge the ANM on Line (ANMOL) with ICT-enabled monitoring mechanisms for its Integrated
Child Development Services (ICDS) scheme, known as Common Application Software (ICDS-
CAS) and Information and Communication Technology enabled Real Time Monitoring (ICT-
RTM).
 The Indradhanush15 initiative of the Ministry of Health aims to rapidly increase the full
immunization coverage of children from 65% in 2014 to at least 90% and sustain the same by
2020. It follows a “Locate and Vaccinate” approach to inoculate a range of diseases. Under the
National Vector Borne Disease Control Programme (NVBDCP), six diseases have been targeted
for prevention and control: Malaria16, Japanese Encephalitis (JE)17, Dengue, Chikungunya, Kala-
azar18 and Lymphatic Filariasis19. The programme has resulted in significant control of the
spread of these diseases, restricting and containing their outbreak to a few pockets. All urban
local bodies should implement the Indradhanush and National Vector Borne Disease Control
Program, even if they have to use their own funds.

 In Tamil Nadu, the Department of Health in association with Isha Foundation ran a pilot project
in a remote block. It integrated AYUSH healthcare provisioning with nutrition schemes20 (Siddha
medicine plus nutrition). The project focused on improving anemia in young girls in school
through Siddha medicine. IMR fell from 24.1 to 11.2. MMR drastically reduced from 604 to 0.
Before the programme, 96% of girls were anemic, which came down to 35%. Institutional
deliveries increased to 80%. This shows the potential of leveraging on the AYUSH system,
especially its strength in preventive healthcare. All urban local bodies should take health care
closer to people and use AYUSH practitioners to provide promotive and preventive health care. 21

 Primary Health Centre currently provides preventive and primary care related to maternal and
child health (MCH), and basic symptomatic treatment. Non-communicable diseases (NCDs),
account for a higher proportion of mortality and morbidity. There is an increasing prevalence of
NCDs (Non-communicable diseases) among the poor in addition to the large incidence of
communicable diseases. At the same time, urban health centers are unable to meet the
healthcare needs of the people. Quality primary healthcare delivered close to community leads
to great reduction in the disease burden on people and rapid improvement in health-related
indicators. Urban local bodies should establish ‘Area’ level sub-centers to work as a single-point
health & wellness centers called the 4th tier of healthcare to improve health outcomes at the
family level. A middle-level service provider, assisted by a team of ANMs, MPWs, ASHA and
Anganwadi workers, should head the sub-centers. These healthcare providers will work

15 Launched in 2014, the successful scheme aims to immunize all children under the age of 2 years and pregnant women against 7 vaccine preventable
diseases. 201 districts will be covered in the first phase. Of these, 82 districts are in the states of Uttar Pradesh, Bihar, Rajasthan, and Madhya Pradesh.
The 201 districts selected have nearly 50% of all unvaccinated children in the country
16 About 91% of malaria cases and 99% of deaths due to malaria are reported from high disease burden states namely Northeaster (NE) States, Andhra

Pradesh, Chhattisgarh, Gujarat, Jharkhand, Karnataka, Madhya Pradesh, Maharashtra, Orissa, Rajasthan and West Bengal. – NVBDCP.Gov.in 2014-15
17 The disease is endemic in 179 districts of 21 states of which Assam, Bihar, Tamil Nadu, Uttar Pradesh and West Bengal have been reporting more

than 80% of disease burden

18 Kala-azar is endemic in 54 districts (33 in Bihar, 4 in Jharkhand, 11 in West Bengal and 6 in UP) – NVBDCP.Gov.in 2014-15
19 The disease is reported to be endemic in 255 districts in 21 states and UTs. – NVBDCP.Gov.in
20 Integration of healthcare is an EMC Recommendation
21 Report of the Group of Secretaries on Health, Sanitation and Urban Development, Chapter 2.

37
 together to address all the health issues in an Area/ward and provide both preventive and
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curative healthcare.

 This 4th tier of healthcare must be customized and adopted based on local conditions and
considerations and there cannot be a one-size-fits-all approach22. Health screening of both
mother and child should be done for the full range of illness in every ward. This screening must
especially consider rising lifestyle diseases. Increasingly, four main diseases namely Cancer,
Cardio-vascular diseases, Diabetes and Respiratory Diseases account for 60% of all deaths in the
country. The health programme must be expanded to bring in a universal health-checkup of
entire city population and a family health card (on lines of soil health card).

 In context of providing better health service, affordability as a key metric is also important.
Currently, there is high Out of Pocket Expenses (OOPE) on health in India estimated at 64%
especially towards secondary and tertiary care23. All urban local bodies should implement a
health insurance scheme (e.g. Ayushman).

Education
 Develop need based education services for the urban poor and other marginalized sections of
urban society. Adopt outcome measures for the education and skilling activities, particularly for
young women and girls.

 Life skills and counseling services should be strengthened for all young people, whether in
school or out of schools.

 Develop a mechanism under which the curriculum and pedagogy at different levels of education
will be reviewed and consistently upgraded to incorporate the internationally recognized best
practices.

 Increasing use of digital technology to provide customized education services to children in poor
and disadvantaged households. As in the Smart Cities (e.g. NDMC, Vishakapatnam, and
Kakinada), develop the hard infrastructure in municipal schools at the time of introducing digital
technology.

 Strategic plans to implement master plans should meet the infrastructure requirements of new
universities, institutions and health facilities.

Culture and history

 More investment is needed for the protection and promotion of cities’ heritage. A GIS based
heritage mapping should be done to conserve and promote the historical monuments located in
cities. The public participation and awareness should be done on a regular basis targeting the
youth and children to protect historical monuments.

22Principle of Citizen Centric Administration by 2nd ARC

23As per the NSSO, about 6 crore people slip below poverty on account of catastrophic health care expenditures, while over 27% of hospitalized
patients had to borrow money or sell assets to meet the treatment costs. This adversely impacts the gains made in poverty red uction by the country.
38
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 Local heritage and culture should be strengthened. This could be done by training local officials
and organizing events for citizens to interact with heritage sites/ culture and thereby raise
awareness for their protection and preservation.

 The renovation of old public libraries and museums and opening of new libraries with adequate
fund, staff and new technology should be promoted.

Illustrations

 Healthy City Project in Korea: A Case Study of Wonju City: In 2006, the City initiated a five-
year plan, with the main objective of setting out systematic policies for healthy city project,
which include life style modification, disease prevention and rehabilitation, setting healthy
industry, infrastructure and environment. It also developed Vision 2020, which includes an
individual approach and a socio-environmental approach. The individual approach includes life
style modification and diseases prevention and rehabilitation. The socio-environmental
approach comprises: physical setting, infrastructure, environment, and health industries.
Advanced health technology, smart healthy city, and health tourism are included in health
industries.

 Creating Equity in Urban Education System: Shanghai, China24: Shanghai is the leading
educational province in China. It has brought about pioneering reforms in curriculum,
assessment, and educational equity that are being emulated elsewhere in the country. The
enormous social transformations in China which have led millions of families to migrate to cities
created huge disparities between the quality of schools in central Shanghai and those in the
suburbs or outlying areas where migrant families live. For the past ten years, the Shanghai
Education Commission has focused on bringing up the bottom-tier schools through a
collaborative strategy: principals and teachers from high-performing schools work with weaker
schools on improving management, school culture, and teaching quality. The approaches have
included principals running multiple schools, pairing of schools, clustering schools to share
teaching resources, and commissioned administration, through which high-performing schools
receive funds for a two-year period to improve the performance of weaker schools. After a
decade, the weaker schools have improved significantly.

24https://asiasociety.org/sites/default/files/T/transforming-learning-in-cities-rand_1.pdf

39
Chapter 6
284
Housing and Affordability
Background and Challenges

Housing for the poor has attracted the attention of the Central and State Governments since
independence. The Central Government has tried several alternatives ranging from fully subsidized
programs and policies to harness the power of the market. The role of public sector for providing
housing was most important beginning with the First Five-Year Plan and the objective was to
provide mass housing to slum dwellers with highly subsidized houses. Later, it was realized that the
strategy was not leading to the expected benefits and during the 1970s, slum clearance was
replaced by radical reforms connected to land policies and public housing. The changed outlook also
included providing housing finance and improvement of slum environment by developing basic and
social infrastructure. Institutions like state urban development authorities and housing boards,
Housing and Urban Development Corporation (HUDCO) and Housing Development Finance
Company (HDFC) were set up to implement these reforms. In 1976, the Government of India
enacted Urban Land Ceiling and Regulation Act (ULCRA) to use surplus land for urban poor housing.
The ‘Site and Services Schemes’ and ‘Self-help Housing’ projects provided tenure rights to the urban
poor. By 1980s, the government recognized the need for private sector participation, especially in
providing and constructing houses and the government's role was refined as a facilitator. A
specialized housing finance institution called the National Housing Bank (NHB) was established
under the Reserve Bank of India (RBI) in late 1980s to regulate the housing finance market. The
NHB, now regulates the specialized housing finance companies (HFCs), and acts as a second-tier
lender to all mortgage originators.

The economic reforms of 1991 had effects on urban housing. A revised National Housing Policy
(1998) was formulated to provide access to serviced urban land, housing finance and innovative
technologies for affordable housing. The role of the private sector was also enhanced. Beginning in
the 2000s, especially the 11th Five Year Plan, private-public models to provide housing was
promoted. A new National Urban Housing and Habitat Policy 2007 (NUHHP-2007) was formulated
as a high level document to promote various types of public-private partnerships in achieving the
goal of ‘Affordable Housing for All’. The Government of India launched reform oriented programmes
such as Basic Services for the Urban Poor (BSUP) and Integrated Subsidy Scheme for Housing the
Urban Poor (ISHUP) as part of the Jawaharlal Nehru National Urban Renewal Mission (JnNURM).
Later, the Rajiv AwasYojana (RAY) was conceived having ‘Slum Free India’ as its main focus. In
pursuance of Government’s vision of facilitating housing to all by 2022, the Ministry of Housing and
Urban Poverty Alleviation launched Pradhan Mantri Awas Yojana (Urban) - PMAY (U) in 2015.
PMAY (U) addresses urban housing shortage by ensuring a pucca house to all eligible urban
households by the year 2022.

As per the Technical Group Report on Urban Housing Shortage 2012, India has a housing shortage
of nearly 18.78 mn units. Nearly, 95 percent of this shortage is for EWS and LIG households, that is,
they make less than Rs. 200,000 a year. Of this total shortage, a large majority, 14.99 mn units are
living in inadequate housing. Simply, most of the housing shortage is not homelessness, but “housing
poverty”, that is, “affordable yet inadequate housing”. A vast majority of households make incomes
40
sufficient only to afford houses that cost under Rs 10 lakh. Among these, however, a dominant
285
majority cluster at the 2- 6 lakh range, and a significant number can barely afford Rs 2 lakh. Most of
these households are currently living in housing poverty - inadequate and vulnerable housing, or
are homeless. Creating housing either through the public or private sector to cater to these
households is a challenge25.

Earlier housing policies, such as central initiatives like JNNURM and RAY, or state programs like
Maharashtra’s Slum Rehabilitation Scheme or Rajasthan’s Affordable Housing Policy show a
renewed emphasis on attempting to construct enough new housing units for all households in need.
The units are tied to some proportion of beneficiary contribution and they are to be delivered not
just through state agencies but also in the form of public-private-partnerships with developers. Yet
the scale and quantum of units being built remain, as they have historically, inadequate to the scale
of the problem, even though the gap is narrower in smaller towns and urban centers. What we see
then is the limits of private or public action to address the scale of unmet demand for affordable
housing, either alone or together.

Property rights are much more than a “title”, particularly titles for individual households. This is
particularly true in recent years due to the influence of theorists like Hernando de Soto who have
argued that the poor are sitting on “dead capital,” which if unlocked through individual, private
titling would unleash trapped economic potential. However, in the unique environment of India,
appropriate regimes of property rights have to be evaluated against three criteria: (a) terms of
exchange, i.e. rights to buy and sell; (b) effective protection from forced eviction - secure tenure;
and (c) effective protection from market-induced displacement.

Admittedly, land is scarce in urban areas of India. However, land availability in Mumbai, Delhi,
Bangalore and Hyderabad is different from, say, in Nanded, Lucknow, Mysore and Nellore. First,
scarcity is a far more significant concern in metropolitan regions with very dynamic land markets
than in smaller urban centers. Similarly, it is felt differently across states. Second, “scarcity” arises
as a particular problem when new housing units are to be constructed. Land that is occupied by
existing informal settlements is “scarce” only in so far that its exchange value is compared
unfavorably with use values generated by housing, or in the sense that it is unable to be used legally
for housing. Simply, income-poor settlements have found, inhabited and occupied land in large
numbers across Indian cities – that land is not “scarce,” it just has to be made available for use.
Three, “scarcity” has to be evaluated in the context of large publicly held urban land. A majority of
land occupied by “slums” or low-income settlements is, in fact, not just public but owned by urban
local bodies. For urban India on average, 40% of land where slums are located are owned by urban
local bodies, a further 10% by other public agencies and about 3% by the Railways. There are
regional variations - the numbers are high for Karnataka (nearly 60%), Tamil Nadu, Gujarat, and
Delhi while they are lower for Uttar Pradesh and West Bengal (about 10%).26. The varied scale of
impacts aside, it is fairly clear that leveraging publicly owned land appropriately could make
significant gains in addressing unmet need for affordable housing.

25 Policy approaches to affordable housing in urban India, IIHS-Rockefeller Urban Policy Partnership, 2014
26 Policy approaches to affordable housing in urban India, IIHS-Rockefeller Urban Policy Partnership, 2014

41
Promoting rental housing has escaped the attention of policy makers. This is in contrast to what
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happened in some parts of the west. Most of them started with rental housing and gradually moved
to the ownership model. For example, Germany and Switzerland have focused on social housing
along with rentals. Official data is somewhat divergent on rental housing - while the Census states
that about 27.5 per cent of urban households lived in rented houses in 2011, the NSS found that
close to 35 per cent of urban households lived on rent in 2009. Moreover, according to the NSS, this
proportion has remained steady since 1991, while the Census records a significant decline from 46
per cent in 1981. Apart from the uncertainty surrounding the numbers, the data tells us that
between a quarter and a third of households in Indian cities live in rented housing and the rental
housing market is almost exclusively a private market of small-scale providers. Moreover, studies
have shown that providing rental housing can be cheaper for the government than subsidizing
ownership. Importantly, rental housing is directly connected with livelihoods, education and
opportunity, even more so than ownership housing, according to some. Households may choose to
own a home away from the city for investment and future use, but will only rent where they are
close to work and education. However, public policy has rarely encouraged rental housing in the
private market and ownership seems to have been the singular aim of housing policies in India.

Priorities and Actions

Priorities

Nearly 95% of housing shortage occurs for households in the EWS and LIG sections. The median
household income in 2011 was Rs. 60,817, which leads to an affordable housing ceiling of Rs. 3.06
lakh. Surveys substantiate this fact - less than 1% of the affordable housing units being built by
private developers during 2007-18 were less than Rs. 4 lakh. As the monthly EMI or rent cannot
exceed 30% of household monthly income, therefore, subsidy or Government support is required
for construction of houses costing below Rs. four lakh.27 Few states have been able to construct
enough housing units and the market’s ability to deliver without extensive subsidy begins above Rs.
400,000, which excludes most households with household incomes below Rs. 200,000. Accordingly,
the state or the market alone or together cannot fill the housing gap. Today, affordable housing at
scale has been built by the non-corporate private market – households, communities and local
contractors (Sutra # 1).

The form of property right determines the approach (Sutra # 3). Individual titles are the most
effective in creating markets of exchange, allowing households to not just have secure tenure but to
leverage housing as an asset. However, it puts them at the greatest risk of market-induced
displacement, especially, at the lower end of the housing market where the sale of a unit just as often
represents distress rather than economic mobility, and where, importantly, re-entry into a legal
housing market is not certain. In highly skewed housing, labour and wage markets, the fear of
crowding out low-income residents from housing that newly circulates in the market is real whether
through rising rents or house values. The question is not whether households should or should not
sell but whether they are able to re-enter a legal housing market once they do. In the presence of

27 See Policy approaches to affordable housing in urban India, IIHS-Rockefeller Urban Policy Partnership, 2014

42
adequate, affordable and legal housing stock to buy or rent, individual household titling is an
287
effective strategy. In their absence, it is limited, ineffective and possibly deeply exclusionary. On the
other hand, no-eviction guarantees and individual/community titles with strong restrictions on sale
and exchange generate secure tenure with reduced risk of market-induced displacement. However,
these property regimes are difficult to implement and often lead to artificial distortions in the
market that create their own consequences. In several cities, BSUP flats allocated with 15-year
restrictions on sale are often sold illegally. The States and cities have to make trade-offs between
the different functions of property rights depending on their local context. For metropolitan Indian
cities, for example, skewed housing markets suggest caution in using individual titling but this may
not hold true for smaller towns or even for, particular, well-established settlements within larger
cities.

Zonal and building regulations have to also be contextual (Sutra # 3). When houses are small, the
outdoor space becomes significant. Much of the life is lived in such outdoor space. In the case of
work-based settlements, the outdoor space becomes even more critical as it is where the house
extends to become a work place. There are many ways in which such outdoor space could be
maximized (Sutra # 2). Stilts, terraces, open spaces at different floors in multi-storied apartments,
wide corridors and lobbies, wide sidewalks, courtyards between a cluster of houses and so on can
be provided as outdoor spaces.

Affordable housing programs need to be so designed as to leverage social capital for enumeration,
design, construction, and implementation, thereby reducing costs as well as building in upgradation,
expansion and even moving out options (Sutra # 5). Prevalent financial ecosystems surrounding
housing cater largely to the middle and higher income groups and bring a vocabulary of loans and
minimum guarantees upon the urban poor, who in turn may lack the requisite levels of literacy and
financial resources. The urban poor themselves operate at a level of immediate requirement, such
as smaller houses and loan sizes, and with informal credit systems that are far removed from
convention. At the other end of the spectrum, private developers often find it difficult to enter the
affordable housing market given potential limitations on profitability and hesitations on part of
lenders and backers. Many of the Indian cities lack fund/revenue to promote affordable/rental
houses with basic infrastructure and slum redevelopment. A rethink of the financial ecosystem and
encouragement of poor-centric tools will not only potentially expand and revitalize a flagging
finances industry, but can potentially reduce per unit housing costs by up to 10%28.

The advantage of self-built housing is that it is already located on land where key factors
determining home locations - affordability, livelihood, work opportunities and mobility - are
already met. Income-poor urban residents make housing choices largely on location of work, not
the quality of housing unit. Self-built housing is a picture of tradeoffs they are willing and able to
make. However, the challenge is that self-built housing is located on land that is without legal
security of tenure. Therefore, the key challenge is, in addition to constructing at scale, to find
innovative ways to enable communities to gain security of tenure on already existing self-built
housing (Sutra # 2).

28A Blueprint for Addressing the Global Affordable Housing Challenge, McKinsey Global Institute, 2014
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Actions
288
 A national housing stock must be created under the NUP Framework in collaboration with Mo/
Rural Development as envisaged under the PMAY (U) guidelines amendment issued on 12th
January 2018.

 With respect to the local context and conditions all states should develop strategies to prevent
slums from emerging.

 Housing programs and scheme for the urban poor should cover and include all categories of
disadvantaged people such as migrant workers, single women and widows, elderly, differently
abled, leprosy cured, HIV affected, and any other groups facing economic or social
marginalization.

 Curb all forms and practices of de-facto housing discrimination against any individual or groups,
in particular religious and ethnic minorities, women, scheduled castes and scheduled tribes,
internal migrants and manual scavengers in relation to their right to housing. Enhance
monitoring and protection against discrimination in relation to rental accommodation, access
to credit, inheritance and ownership.

Self-built houses

 In-situ upgrading that reduces the physical and legal vulnerability of self-built housing must be
part – if not the core – of any affordable housing policy. Domestic and international cases –
Ahmedabad, Bangkok, Venezuela, and Sao Paulo – point to the possibilities of large impacts
through large-scale in-situ upgrading.

 In-situ upgradation must be focused on the incremental improvement of settlement and not
become redevelopment projects that return the focus to construction of new housing units.

 The only actors that have built affordable housing at scale are what could be called the non-
corporate private market: households, communities and local contractors.

 Create partnerships and coalitions of urban change agents and communities in co-creating
solutions, with governance structures providing authority and responsibility to capture
knowledge and experience. It will promote a sense of ownership about the plans/programmes.
This can be initiated through the existing governance structures such as Ward Sabhas, Resident
Welfare Associations, Neighborhood Associations, etc.

Land titling

 Different types of property rights must be evaluated against multiple ends, (1) enabling market
exchange, (2) securing tenure, and (3) protecting against market-induced displacement.
Broadly, however, two property right regimes that have benefits and reflect the current housing
context in urban India more closely are community titling and buying development time (the

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Patta system). Community or co-operative titling with possibilities of market exchange could
represent a desirable middle ground between these three ends.

 Interventions that seek to buy “development time” through innovations such as No-Eviction
Guarantees are critical transitional interventions that can create more equitable housing
markets in the medium-term.

Scarcity of land

 Housing of low-income households is located largely on lands owned by public agencies. For
affordable housing, interventions such as using Transfer Development Rights (TDRs) for land
owned by the Railways or converting occupied public land into social rentals can augment land
supply.

 The state should facilitate purchase of occupied private land together with resident households.

 Vacant land must be identified and brought back into the land market, and be defined
appropriately for public and private land-holdings.

Inclusionary zoning

 One of the fundamental ways in which spatial plans operate is to dictate the use of space in urban
areas by demarcating zones. Two critical innovations in zoning could make the practice more
inclusive and particularly apt to tackling housing shortage in the Indian context. The first seeks
to create the equivalent of the “Special Zone of Social Interest” (ZEIS, in Portuguese) used in
Brazil. The contextual equivalent of a ZEIS in India could take multiple forms. Mandatory
reservation of land at the city, region, ward or even project level as mandated by affordable
housing policies as well as the National Housing and Habitat Policy, could effectively be made
more secure if backed by special zoning allocations in project, ward and city-level plans. They
could well be the legal mechanism to concretize the suggestion of turning occupied ULB land
into social rentals, or the establishment of community-titled in-situ upgrading projects.

 Inclusionary zoning could also incorporate livelihood to create integrative, dynamic mixed-use
spaces. This requires inclusionary zoning practices that recognize the density and necessity of
work and commerce in “residential” settlements and that see homes as spaces of work just as
much as it requires the re-design of upgrading and redevelopment projects to include space for
work. Mono-functional zoning that strictly separates spaces of “work” and “residence” does not
take into account the blurred lines between these two categories especially for the poor and in
contexts of housing poverty. A significant part of these conditions result not just from income
poverty but the fact that current zoning regulations does not permit most home-based
enterprises in Indian cities. Resettlement colonies, for example, do not permit any form of work
within what are seen to be entirely residential spaces. Creating integrated mixed-use zones that
see home and street as spaces of work as well as residence, therefore, would greatly increase
access and mobility for low-income residents as well as bring their work into legality, allowing
45
 both access to finance as well as the possibilities of expansion and infrastructural improvement.
290
This will get over the rigidity of developmental controls and the inadequacy of the one-size-fits
all approach. For example, flexible setbacks, layout, parking norms, and others depending on the
use and scale of settlements. Furthermore, in the context of redevelopment or in-situ
upgradation, especially, these flexible standards should allow for households to reach them
incrementally rather than at a single point in time.

 Low-income households build dwellings and settlements over time and, often, in-situ
upgradation is rejected by urban local bodies by arguing that the location is “untenable” not
because of any hazard but because it stands at a great distance from minimum development
control norms or service level benchmarks. Incremental development controls can overcome
this issue, acting as a milestone that communities must reach post-gaining security of tenure in
a specified period of time. In the Baan Mankong programme in Thailand this period was fifteen
years. In this context, minimum standards and service-level benchmarks become aspirations
that can be met and exceeded, rather than swords hanging over the heads of already
impoverished households. Admittedly, minimum standards are necessary, we are also aware
that such standards come with associated costs that can become exclusionary for many
households. If, making a 25 sq. m house necessitates a cost that households cannot afford, can a
21 sq. m house with a ten-year period for expansion maybe allowed. Combining incremental and
flexible controls with Zones of Special Social Interest as well as community titling rather than
individual titles would open up the possibility of a new developmental paradigm that begins
from how the poor actually settle the city29.

Rental housing

 Rental housing already represents a significant proportion of low income housing practice and
must be acknowledged and encouraged by policies given below. State policies should be
designed to deliver and manage rental housing.

 Link livelihoods by providing rental vouchers to households living in untenable lands and not
wanting their own houses.

 Converting occupied public land into social rentals could be one way to expand rental housing.

 Create rental housing for long duration migrant population and dormitory accommodation with
basic amenities for short-duration migrants close to the workplace.

Beneficiary involvement

 The current G+3 vertical model is unable to allow incremental growth and expansion as well as
make space for work.

29Junior, N. S. (2002). The Right to Housing and Prevention of Forced Evictions in Brazil. In A. Durand-Lasserve & L. Royston (Eds.), Holding Their
Ground: Secure land Tenure for the Urban Poor in Developing Countries. London: Earthscan.
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 Low-rise, high-density forms that have been successfully implemented before must be applied
at scale within the new policy paradigm.

 It is imperative to move beyond the family-based housing unit towards communal and flexible
modes suited to, for example, migrant workers.

Fixing the other end of the housing market

 In the medium-term, a functional housing market will be able to provide secure, legal, and
affordable housing to different types of urban households with public support required only at
its margins. Creating and sustaining such a market is not possible by just looking at one segment
of it, i.e. affordable housing. Difficulties in access to credit for low income households are well
known: lack of formal records of employment, income, identification and residence or simply
the absence of one or all of the above; the inability to navigate written and complex procedures;
irregular even if adequate income flows and the procedural innovations required on the part of
lending institutions. Some ways to enable the private sector are:

 Viability Gap Funding (VGF or project finance) is critical for small/fresh developers to enter
the affordable housing market. Governments would do well to encourage small and fresh
developers to enter the affordable housing market by providing such funding at subsidized
interest rates. Rajasthan has taken the first steps in this direction by instituting a corpus of
Rs 100 Cr. (to be increased to Rs 500 Cr.) with support from the National Housing Bank.

 Reducing approval times to improve project feasibility: In fact, approval timings alone have
been linked to a trend of developing smaller projects to circumvent certain required
approvals and save time. It is critical for governments to enable actually working and
efficient single-window clearance systems for affordable housing projects. The best solution
is complete disintermediation in granting building permissions.

 Addressing land prices vis-a-vis technology options for construction: Land is one of the largest
components of the cost of developing affordable housing projects. Land costs could vary
from 20-25 per cent of the project cost in the periphery of cities to almost 80 per cent in the
center30. Availability of well-located and serviced land therefore becomes critical to ensure
a steady supply of affordable housing.

 Many government interventions, especially in public sector projects tend to focus on alternative
technology options that are low-cost. Identify and streamline appropriate new technologies that
can reduce construction and building maintenance costs, and ensure time-bound delivery of
houses. Such strategies can be expected to reduce the cost of housing by up to 15-20% per unit31.
However, the trade-offs with land must be critically assessed. Construction, especially in core
areas of city, may not amount to more than 30-40 per cent of the cost of the project. By saving
10 or even 20 per cent on construction, the overall saving in the project might not be more than

30See Agarwal, Jain, &Karamchandani. 2013; Revi& Mehta. 2008.

31A Blueprint for Addressing the Global Affordable Housing Challenge, McKinsey Global Institute,2014
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5 per cent - an insignificant saving that comes at the risk of low acceptance by potential buyers
and beneficiaries32.

 Financial instruments underpinning affordable housing need to be made friendlier towards the
urban poor, and take into account their levels of financial literacy, capabilities, and inclusion.
Encourage Micro Finance Companies to provide housing gap financing especially catering to the
affordable housing segment.

 The National Urban Livelihood Mission guidelines must be implemented for the construction of
shelter homes and night shelters, ensuring that shelters for different and particular population
groups like houseless, families, distressed women, street connected children and youth are
established.

 City level initiatives for Involving private partners, CSRs and NGOs for promoting and
maintaining of rental stock by incentivizing usage of public land/ underutilized public buildings
for rental purposes may also address the affordable rental housing need. Corporate sand firms
can contribute towards housing needs of employees and other segments either through
dedicated company policies or through CSR for their workers. Labor cess should be utilized for
providing rental housing for the construction workers.

Slum and pavement dwellers

 Support from local NGOs could be explored for accommodating the pavement dwellers into
improved living conditions, without relocating them far away from their livelihood centers.

 Ensure genuine consultation with those affected, including about rehabilitation and relocation
plans prior to eviction; ensure that alternative housing is habitable, affordable, accessible and
structurally sound.

Illustrations

 Baan Mankong, Thailand33: This pioneering scheme leverages existing socio-economic

networks towards the delivery of desirable affordable housing. The scheme sees the
government playing the role of a facilitator, and encourages communities to take the lead in
processes such as enumeration, planning, and implementation. Once communities have arrived
at a holistic upgrading plan, the government’s nodal agency, Community Organizations
Development Institute (CODI) issues infrastructure bonds and/or subsidies that can enable the
realization of the proposed plans. The process not only empowers communities and begets their
consensus; it also minimizes administrative overheads associated with conventional state-
dictated affordable housing programs. Baan Mankong had benefitted 90,000 households across
1,546 communities by 2011.

32 See Agarwal et al. 2013.

33http://thecityfix.com/blog/thailands-inclusive-upgrading-informal-settlements-terra-virsilas-emily-norford/

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 Quinta Monroy in Iquique, Chile34: The firm, which was contracted with the work, was given
subsidies and was tasked with rehousing the community without relocating residents to the
periphery. Based on the ‘half good house approach’ that emerged out as creative solution
through community participation and planning workshops, the firm constructed just half-
homes, three-story structures that included a kitchen, a bathroom, structural walls, and a
staircase spread in a row house pattern. The rest of the houses, allotted empty slots between the
half-buildings, were left to the residents themselves to construct, offering double the space
normally given to social housing residents. This spacious footprint based on the principles of
incremental social housing could expand and become more valuable as residents improved the
homes with their own labor and resources. Hailed as a Pritzker renown, the project ensured
community members wereneither alienated nor displaced. At Quinta Monroy, the value of the
houses rose rather than fell, unlike the case in many social housing projects.

 Yerwada, Pune, India35: This low-income settlement leveraged community resources to

undergo a dramatic and entirely bottom-up in-situ transformation. Community groups were
involved extensively in project planning and enumeration, while efforts were made to retain as
much of the existing local fabric by building upwards instead of outwards with the mentorship
of architect Prasanna Desai. Once plans were agreed upon by all, the community identified
human resources that could help with construction, while others were engaged in the task of
collecting monetary contributions towards upgrading from the beneficiaries. The scheme is
noted for its success in avoiding conflict regarding resettlement and building a sense of pride
and ownership within the community.

 Minha Casa Minha Vida, Brazil36: “My House My Life” is Brazil’s first-ever effort at large-scale
public housing program launched in 2009. The Programme was designed to stimulate the
production and acquisition of new housing units for the low income population by offering
financing options to either buy a home constructed by the government or to renovate an existing
one. Families with monthly incomes of less than R$5,000 were invited to apply, with priority
given to families who earn less than R$1,600 per month. To do this, the Programme created
special mechanisms to mobilize the private sector to build homes for this income bracket, and
designed innovative arrangements of subsidy and finance for selected beneficiaries to acquire
new homes. The program has already helped 10.5 million low-income people in the country.

34King,
R., M. Orloff, T. Virsilas, and T. Pande. 2017. “Confronting the Urban Housing Crisis in the Global South: Adequate, Secure, and Affordable
Housing.” Working Paper. Washington, DC: World Resources Institute
35http://citiscope.org/story/2015/seven-lessons-successful-slum-upgrading-project.
36Scaling-Up Affordable Housing Supply in Brazil, UN Habitat 2013.
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Chapter 7
294
Transportation and Mobility
Background and Challenges

In Indian culture streetscape has been an integral part of urban planning. Streetscape consists of
both the natural and built environment of the street, particularly its visual effect on people.
Streetscape was important in India from the earliest times of Harappa and Mohenjodaro, through
the Vijayanagar town of Hampi, right up to Jaisingh’s Jaipur I the 18 th century. Buildings were not
allowed to be placed at random points on a site, but were organized to form continuous facades,
thus defining the public right-of-way. For example, in the pink city of Jaipur, facades of the buildings
relate to the public spaces their internal way in the rooms. When the British first settled in India
they found the conditions in the cities to be unhealthy, noisy and distasteful. So, they constructed
independent colonies outside the city, in the form of cantonments for the military and civil lines for
the officials and businessmen. The spatial layout of cantonments followed a different pattern. Land
being very cheap by western standards, bungalows could be built on several acres. These were free-
standing structures, set in the middle of large compounds. This pattern was largely an outcome of
the need for spatial (since the large compound, like the maidan, served to keep the natives at a
distance) and a yearning by the colonial administrators for a return to the 18 th century English
country squire life. Additionally, the British began by cutting straight streets through more
congested areas and the people uprooted were resettled in the sites wherever they could be easily
found. Roads were widened without any attention being paid to streetscape. Straight roads were
required in order to detect encroachments. This method was expensive and, importantly, unpopular
with most of the displaced. Patrick Geddes, who visited India during 1915 and 1919, suggested one
way out of this.

This continued even after independence when roads were widened to bring them in accordance
with the road widths suggested in master plans. For example, the streetscape on Dadabhai Naoroji
Road in Bombay has been lost because all new buildings (e.g. the rebuilt Alice Building which was
destroyed a decade ago in a fire) have to be placed along a new, deep setback line. The result has
been a jolting visual break and the virtual destruction of the character of that section of Dadabhai
Naoroji Road. Pushing back all the buildings to the new setback line is unlikely to happen in the
future and even when it happens the streetscape would be irreversibly destroyed. Such road
widening is hardly practiced in Paris, London and New York despite traffic growing on roads 37.

A significant outcome of India’s accelerating urbanization in the last few decades has been the
exponential increase in motorization across Indian cities and towns, which was primarily driven by
demand for private vehicles, especially two wheelers. Among several reasons, the increasing urban
sprawl of large cities and the inability of public transport systems to keep up with increasing travel
demand have been cited as major factors contributing to the increased demand for private vehicles
along with inefficient seamless connectivity for the existing public transport.

37National Commission on Urbanization (1988)

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The result of higher private vehicle ownership has also been evident in terms of declining air quality,
increased pollution and rising vehicle fatalities, with several alarming statistics emerging. The
economic cost of traffic congestion just in Delhi, Mumbai, Kolkata and Bengaluru has been estimated
at approximately USD 1,470 billion38annually. The combination of increased urban sprawl and lack
of public transport have disproportionately affected the most economically vulnerable sections of
urban society.

A major driver of urban India’s increased traffic congestion has been lack of policy-based reforms
that gives greater primacy to private vehicles, such as expanding roadway capacity at the cost of
public vehicles, which incentivizes purchase of private vehicles adding to congestion. It is thus
necessary to focus on moving people rather than vehicles, by encouraging walking, cycling and the
use of public transport. The Government of India had acknowledged the importance of this principle
in its National Urban Transport Policy of 2017. The NTP and AMRUT as well as Smart Cities Mission
which aimed to fund urban infrastructure (including transport) and essential services to the urban
poor, together represent significant policy steps towards advancing equitable urban mobility, smart
mobility and reducing congestion.

At present, there are several issues that exacerbate the problem of excess motorization. These
challenges all represent opportunities to improve equitable urban transport in India by providing
reliable, affordable, inclusive, accessible and integrated public transport as well as safe non-
motorized transport facilities. There are issues such as different modes of public transport operate
in silos and fragments, rather than as part of an integrated network; lack of focused investment in
road-based (e.g. bus) public transport leading to inadequate, low quality bus fleets and services and
decreasing ridership; lack of designated space for road based public reduces its appeal to
commuters who can afford other modes of transport, since they use the same space as private
vehicles resulting in slower commute; lack of facilities and street infrastructure for non-motorized
transport (e.g. walking, cycling) and active travel which either make it inconvenient or unsafe for
pedestrians and cyclists particularly women; and lack of a comprehensive parking policy, leading
to significant road space being taken away by street-parked private vehicles. Furthermore, women
face significant safety challenges on public transport. High-profile cases of sexual harassment and
violence have recently highlighted an on-going issue, whereby women are unable to use public
transport, particularly at night. This in turn restricts their access to employment, education and
services.

Priorities and Actions

Priorities

Mobility planning must consult diverse resident groups and ensure that all perspectives are
accounted for. In particular, women tend to take multiple, cross-city trips, as opposed to traditional
transport planning that is focused on city-center (male) commuters.

38http://image-src.bcg.com//Images/BCG-Unlocking-Cities-Ridesharing-India_tcm21-185213.pdf

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Undoubtedly, traffic zones are required for the exclusive use of vehicles on highways, but recent
postmodern practices in Europe are also looking at roads as “social zones”. Unlike traffic zones,
social zones integrate car and pedestrian movement. The combination of traffic with pedestrian
movements, children’s play, and social activities is based on the “woonerf principles” developed by
Niek de Boer and Joost Vahl in the Netherlands during the 1960s and the 1970s. The principle is to
bring traffic engineering and urban design together. Shared space is another woonerf principle that
is applied to transform busy traffic intersections. In Friesland market town of Oosterwolde,
different types of traffic intermingle giving an impression of chaos and disorder; in fact, traffic
negotiates the junction using eye contact and care for other types of transport. No state regulation
or control is visible and traffic movement depends on informal convention and legibility. The city of
Christiansfeld, Denmark used “ambiguity and urban legibility” in street design to reduce high death
rates on the town’s central traffic intersection. Traffic signals and road markings were removed. No
mode of transport was given priority and pedestrians, buses, cars, and trucks used eye contact to
negotiate the junction. Surface treatment, lightning columns, and junction corners were squared-
up. The purpose was to make the intersections resemble the center of the town or to create a public
realm. Expectedly, the number of killed or seriously injured (KSI) during the last three years was
reduced to zero; moreover, traffic backups were reduced. Compared to junctions having traffic
signals, ambiguous junctions prevent accidents, reduce delays, and are cheaper to construct and
maintain. Similar integration of urban design and traffic engineering is taking place in the UK in the
“Home Zones” program, started in 1999. The principle followed in Home Zones is that contextual
design can be employed to influence traffic speeds and driver behavior. The idea of roads as social
zones, particularly in congested ‘Areas’ of cities is an idea worth pursuing (Sutra # 2 &5).

At the same time Indian cities require integrated, safe public transport network wherein commuters
can easily reach their destination using the most efficient set of public transport options available.
At present, the lack of investment and safety obtaining a seamless connectivity such as lack of feeder
services discourages the use of public transport. With this walking and cycling have to be
encouraged as these have been neglected through lack of investment in walking and cycling
infrastructure. In order to ensure that citizens move away from using private transport for short
trips, infrastructure for active, non-motorized transport has to be created (Sutra # 6).

Public Transport has to become inclusive. It has to accessible to all parts of society especially the
vulnerable groups in order to create equity amongst citizens. Indian cities have to be caring cities
by encouraging ‘availability of accessible and affordable transportation for older persons’. Many
countries have issued laws and policies to ensure the mobility of older persons, through lowering
transportation costs, giving special discounts and other measures. Older people face enormous
difficulties in moving from one place to another, even within the city limits, because of
transportation- and security-related issues (Sutra # 1, 2 & 5). There is a difference between the
transport requirements of men and women. Women’s perspective is hardly taken into
consideration while designing the transportation policies and infrastructure. As a result, women
have less access to motorized transportation and wherever it is available, public transport is often
less than adequate. This has various effects on women, which are mostly reflected in poor workforce
participation and increased incidences of women related crimes. On the other hand, gender
responsive transport infrastructure can free up women’s time, thereby increasing the opportunities

52
of young girls to pursue education and women to pursue income generating activities and
297
employment.

Master plans have to encourage a more dispersed but functional and closely knit pattern of urban
settlements at the regional level, replace traditional concepts of home-work-place relationships
with transit-oriented development, have a clustered pattern of both mono- and multi- functional
settlements around a central core-city, linked by fast movement corridors, enabling de-
concentration and decentralization of population and use state-of-art transport technologies for
inter-city and intra-city mass transportation systems (Sutra # 3).

Indian public transport, for the most part, still relies on old technology and fails to make adequate
use of data for improved transport planning, resulting in complicating the process of using public
transport for the commuters. Usage of satellite navigation technologies for high-resolution satellite
imagery and GIS capabilities integrated into the Intelligent Transportation System; there will be an
end-to-end solution for the entire spectrum of challenges.

Actions

The provision of a public transport will be subsidized by the Center.

The traditional policy responses to congestion are to build more roads and expand public transport.
Information technology enabled platforms have the potential to integrate people, businesses and
products under a set of rules set by the owner or operator, similar to e-commerce sites matching
buyers and sellers. A simple platform integrates bus services equipped with GPS and an app that
allows commuters to see bus locations and wait times. However, this will not increase vehicle
utilization and car occupancy. An emerging alternative is a platform that provides Peer-to-Peer
(P2P) services. A P2P service is a decentralized platform whereby two individuals interact directly
with each other, without the intermediation of a third-party. These are also called shared services
and what is required is an app that mixes and matches a variety of public and private means of
transport. Shared service combines mass-transit with a growing variety of private services and has
the following benefits, (1) private capital is integrated into public transport, (2) closer link is
established between supply and demand, and (3) reduction in congestion as commuters will be
diverted from crowded routes to less congested ones. In this way, shared services have the potential
to leapfrog the conventional steps followed in transport planning.

Active transport

 City and neighborhood development plans must compulsorily include suitable allocations with
dedicated funds for the creation of street furniture such as footpaths, streetlights, etc. for safe
commute of pedestrians and cyclists and cannot be diverted for other purposes. Road
‘improvement’ projects should not occur at the expense of footpath space or cycle tracks. Last
mile connectivity should be ensured for all modes of transport.

 Design standards (e.g. DDA, IRCS) with provisions of safety audits need to be followed in the
construction of footpaths, cycle tracks and pedestrian crossings in safety zones like schools,
53
 hospitals, markets etc. and financial incentives from the respective state and central
298
governments should be based on inclusion of such design standards.

 A comprehensive street vending policy needs to be implemented, with dedicated space

allocation for vendors. One way is to reorganize street activities, as in the smart streets being
developed in the Smart Cities Mission.

 An institutional arrangement should be established in order to ensure common understanding

and coordination between departments and agencies (e.g. SPV).

Integrate public transport

 In the existing system different public transport agencies (bus, metro, ferry, etc.) operate in silos,
often competing and working at cross-purposes, a Unified Metropolitan Transport Authority
(UMTA) with an overarching transport vision must mandatorily be created across all Indian
cities and towns with multiple modes of public transport. The UMTA should also have the
authority to make decisions on traffic flow planning, which is currently under the control of the
traffic police.

 All future airports, buses, trains and metro stations should be designed in a way to ensure
seamless transits for commuters switching modes, with both physical and information
integration, and ideally provisions for common or one time ticketing which will also lead to
saving time.

 Both transport and stations should provide adequate safety measures to ensure the safety of all
users, particularly women.

 Transport and stations should be physically accessible, particularly for the elderly, pregnant
women and persons with disabilities.

 Multimodality as a concept should not be restricted to creating feeder services to metro rail
systems; rather, how commuters can be encouraged to use the most efficient set of public
transport options for their commute.

 Buses should be given priority as much as possible, with dedicated lanes on corridors with a
high flow of buses. Urban bus fleets in the country should be doubled within the next five years
to increase frequencies, riderships and reliability. Performance standards for the buses in terms
of fuel efficiency / alternative fuel use should be included.

 The NUPF discourages private modes of transport. Fiscal measures should be taken to
discourage private vehicle purchase and usage in terms of higher Motor Vehicle and fuel taxes.
The revenue gained from increased taxation should be used to fund public transport. On-street
parking should be priced at a rate high enough to discourage casual private vehicle trips. This
revenue can further be used to fund public transport.
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 Expansion of cities and towns (if necessary) should prioritise high density mixed land use, with
compulsory land allocation for public transport stops and depots.

Utilize technology and data

 Public bus operators should introduce Intelligent Transport Systems (ITS) into their fleets in
order to monitor bus performance and revenue accurately;

 Bus route information and realtime data on bus running should be disseminated to commuters
to simplify the process of journey planning through smart apps.

 Knowledge-sharing platforms should be created so that early adopters of ITS and other new
technology can share their learning with newer adopters;

 Transit data should be shared across transport agencies across cities to identify where
multimodality can be improved until the establishment of a UMTA;

 Open source data and standardization policies should be instituted so that researchers and
public policy practitioners have access to recent, accurate data for policy recommendations;

 Greater financial incentives should be provided to operators that embrace greener technology
such as electric vehicles. (E.g. of Scandinavian countries – recent MoU with them)

Illustrations

 Metro Bus, BRT System in Mexico: In 2005, Mexico City introduced Metro Bus; the first line of
20km stretch was laid along its busiest corridor. Primary benefits of Metro Bus includes
considerable reduction in the local emissions and its resultant health impacts, significant
reduction in greenhouse gas emissions, and also reduce travel time along its routes in peak
hours39.

 Metro cable Car system in Medellin, Colombia: The city of Medellin, Columbia has a number
of informal settlements on its steep hillside. Therefore to connect these settlements to the city
center, an initiative of the Metro cable cars was made. The metro cable project developed an
integrated design along with other forms of mass transit and strengthened the pedestrian
network hence providing mobility for all irrespective of their location or socio-economic status.
The first line provided access to over 230,000 residents in 12 localities and the second line
serves 315,000 residents while connecting 37 districts. Hence, metro cable project attained and
surpasses its goal of providing equitable mobility and improving the quality of life for the
existing informal settlements in the peripheral areas.

39 The Benefits and Costs of a Bus Rapid Transit System in Mexico City, May 2008
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 Bike Cycling, Denmark40: In Denmark there is a coherent network of segregated lanes
designated as cycle tracks serving as public transport in the country. Ample bike parking
complements extensive cycling rights of way in Denmark; full integration with public transport,
comprehensive traffic education and a wide range of promotional events intended to generate
enthusiasm and public support for cycling. In addition to their many pro-bike policies and
programs, Denmark makes driving expensive through a host of taxes and restrictions on car
ownership, use and parking. Strict land use policies foster compact, mixed-use developments
that generate shorter thus more bike able trips. “Door to Door strategy” focuses on the
connections between cycling and public transport.

40 Making Cycling Irresistible: Lessons from the Netherlands, Denmark, and Germany-Pucher and Buehler, 2008.
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Chapter 8
301
Urban Finance
Background and Challenges

Municipal institutions gradually evolved during the British period. Lord Mayo, Governor General
(1869-72) issued a resolution giving more functions to the elected bodies. In 1882, Lord Ripon
further extended the scope of local government and devolved certain taxation powers. Despite the
transfer of several functions to municipal institutions, availability of adequate financial resources
was always an issue. Gopal Krishna Gokhale had moved a resolution in the Indian Legislative Council
on 13 March 1912, which read: That this Council recommends to the Governor General in Council that
a Committee of officials and non-officials may be appointed to enquire into the adequacy or otherwise
of the resources at the disposal of local bodies in the different provinces for the efficient performance
of the duties, which have been entrusted to them and to suggest, if necessary, how the financial position
of these bodies may be improved (ARC 2008; pg. 222).

The Government of India Act 1919, provided for clear demarcation of powers to the local bodies
and included in its range of municipal taxes, tolls, land tax, tax on buildings, vehicles and boats, tax
on animals, octroi, terminal tax, tax on trade, professions and callings, tax on private market and tax
on municipal services like water supply, lighting, drainage and public conveniences. In his
Presidential Address at the Provincial Local Bodies Conference at Surat in 1935, Sardar Vallabhbhai
Patel, who was the Chairman of the Ahmedabad Municipality, said, “It is being said that the franchise
of the electorate has been enlarged and the local bodies have been given very wide powers. True, I
accept it. But what good would come out of it unless and until the question of local finances is settled
first. The extension of franchise and widening the scope of duties would be like dressing a dead woman
(ARC 2008; pg. 222). The Government of India Act (1935) established a two-tier federation and
changed the entire approach to urban local governance and reduced the taxation powers of local
bodies transferring these to the provinces. This structure was retained in our Constitution. The
powers of the states over local bodies are kept in List II (State List) of the Seventh Schedule and the
authority to tax is restricted to the Centre and the States, thus, States were empowered to decide on
functions and financial powers of the municipalities.

The 74th Constitutional Amendment Act did not provide for a ‛municipal finance list’ in the
Constitution to match the municipal functions listed, thereby, signaling an ‛incomplete devolution’
package and leaving the issue of financial devolution to state governments. Municipal bodies in
India can levy and collect only those taxes that state governments choose to devolve from their
powers as specified in the State List in the Seventh Schedule to the Constitution. The Amendment
introduced two features to strengthen the finances of urban local bodies, (1) a provision for the
setting up of State Finance Commissions (SFC) every five years, and (2) a requirement that the
Central Finance Commission (CFC) suggest measures to augment the Consolidated Fund of States
for supplementing the resources of local bodies on the basis of SFC recommendations. The idea
behind setting up SFCs and making recommendations every five years was to bring about certainty,
clarity and consolidation in the transfers to local governments. Certainty could be achieved through
ensuring revenue sharing of taxes on goods and services. Clarity could be achieved if SFCs
formulated more transparent, formula-based processes for sharing taxes. In addition, improved
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functioning of SFCs would enable ULBs to get the bulk of their funds in one transfer annually rather
than having to rely on project- wise grants.

Most state governments have set up SFCs, and these SFCs have made recommendations to their
state governments on devolution to their ULBs for the upcoming five-year period. However, in
actual practice, SFCs have typically functioned with inadequate technical and financial support, and
their recommendations have mostly not been implemented. The HPEC (2011) found that some
states have partially devolved funds, while others have not devolved at all. Yet others such as Kerala
and Goa did not accept the SFC recommendations on transfers because the state’s resource base
was ‛strained’. The expected benefits to local bodies have not been realized. In contrast with the
limited success achieved on the devolution of funds from state governments to local governments
in India, countries like Brazil and South Africa have made tremendous strides in devolution. In both
Brazil and South Africa, transfers are legally guaranteed and revenue-sharing arrangements have
served to increase municipal revenues significantly by consolidating transfers and making them
predictable. This has also enabled municipalities to attract external debt to finance their spending
on infrastructure.

Generally, there are four sources of finance for urban local bodies – tax revenue (e.g. Property tax,
advertisement tax); non-tax revenue (e.g. rents, interest, fees, parking fees, user charges for public
utilities, such as water, sewerage); devolution of funds from the state government; grants from the
Centre and state government for development schemes; and borrowings. Property Tax is the most
important source of revenue for local governments. Originally, ‘Annual Rental Value’ (ARV) was the
basis of levy of property tax. The ARV is defined as the reasonable rent a property may fetch or
actually fetches. The ARV method of assessment has many drawbacks - the process of assessment
is opaque, gives a lot of discretion to assessing officials, and is inelastic and non-buoyant. As a result,
a large number of municipal bodies have switched over from the traditional ARV based assessment
to the ‘Unit area’ or the ‘Capital value’ methods. Municipal boundaries are not expanded to keep
pace with growth of cities in the outskirts, therefore, a large number of properties fall outside the
jurisdiction of the municipal bodies. In larger cities, urban development authorities develop areas
and these areas are not assessed till such time these areas are technically ‘handed over’ to municipal
bodies. Usually, this takes several years. State laws often provide for exemption to a number of
categories of buildings such as those belonging to religious or charitable institutions, which often
include almost all private educational and medical institutions. Unauthorized constructions are
quite common in almost all cities in India and generally these are not taxed. One reason is the fear
among municipal authorities that demands for regularization would be strengthened once tax is
levied. A large number of properties belonging to the central and state governments are not taxed
because of the provisions of Article 285 (Exemption of property of the Union from State taxation )
of the Indian Constitution. Similarly, leased municipal properties are not taxed. Such properties,
though in possession of occupants for a long time, often generate very small incomes for the local
government. The collection efficiency of property tax is low. Some of the reasons identified are, poor
data base management, improper upkeep of records, collusion between taxpayers and recovery
officers and lack of understanding of the tax regime.

Local government is a State subject and different states have authorized the local bodies to levy
different kinds of taxes. Some of these taxes are professional tax, advertisement tax, entertainment
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tax, tax on entry of tourists, animal tax, water tax and lighting tax. Additionally, local governments
levy several cesses like education cess, library cess, beggary cess, etc. The income from these
sources is much lower as compared to property tax. Professional Tax has large potential of
generating significant resources for the local governments. However, there is an upper ceiling of Rs
2,500 prescribed under the Constitution {Article 276(2)} and this limits the collection of this tax.

The most important sources of non-tax revenues are user charges, which are the payments a citizen
has to make for using public services. These include water charges, sanitation and sewerage
charges, waste collection charges, charges for street lighting, fees for parking, fees for use of
congested roads by motorists, fees for use of local services, etc. Generally, states and cities charge a
much lower rate for providing these services as compared to the actual cost of providing these
services. There are several reasons for charging low rates for these services. First, there is
reluctance on the part of the elected local governments to charge fair rates for fear of becoming
unpopular. As a result, there are insufficient resources available for maintaining and running these
services and the quality of service declines. This leads to a vicious where and citizens resist any
increase in service charges due to poor provision of services. Second, economic and financial
expertise is unavailable at the local level (especially in case of smaller municipalities) to assess at
correct rates for services provided by the utilities. Third, poor paying capacity of a segment of
population is used as an excuse for not charging even from others, who can and should pay.

Parking fee is an important instrument of revenue enhancement through user charges for local
governments. It also influences commuting choices in favor of public transport. With the emergence
of a large middle class and the absence of good systems of public transport, this instrument has
significant potential for generating revenue for local governments in India. However, most
metropolitan cities of India have inadequate provision for parking space for vehicles, and this is
combined with a negligible charge for parking (either legally or illegally). The average daily parking
rate in Indian cities is around USD 2 (Rs 90), while cities in other developing countries charge in the
region of USD 10-15 (Rs 450-675) per day (HPEC; Colliers International 2010). This results in poor
revenues and large- scale traffic congestion on roads.

Generally, all municipal laws provide for imposition of fines for a large number of civic offences.
Although the amount recovered from these fines may not be significant, their levy has a salutary
effect on compliance of various municipal laws and byelaws and indirectly leads to increase in
municipal resources. However, imposition of such fines is a rarity. One reason is that the power to
impose fines is not given to the municipal authorities and proceedings in the court of a magistrate
have to be instituted. Thus even for imposition
of a small fine, prosecution has to
be launched in
a criminal court. Due to the time and effort involved, municipal authorities rarely launch criminal
proceedings and this gives rise to the feeling that the municipal authorities are ‘soft’ in enforcing
the law and is a major reason for widespread violation of civic laws.
The borrowing powers of local governments are limited and they have to seek the approval of the
State Government for any borrowing. Municipal bonds are one type of borrowing with great
potential to raise money from the capital market. Municipal bodies, especially in larger cities have
taken recourse to raising resources by floating municipal bonds. The Bangalore Municipal
Corporation was the first municipal body to raise funds by issuing bonds in the early 1990s backed
by a state government guarantee. Later, the Ahmedabad Municipal Corporation floated municipal
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bonds, which were not backed by any state guarantee. Since then several creditworthy
304
cities/parastatals have floated bonds - Tamil Nadu (Chennai, Madurai, and Tamil Nadu Water and
Sanitation Pooled Fund), Karnataka (Bangalore, and Karnataka Water and Sanitation Pooled Fund),
Andhra Pradesh (Hyderabad, Visakhapatnam) and Maharashtra (Nagpur and Nashik), etc. Since
small and medium local governments were unable to access capital markets directly on the strength
of their own balance sheets, and the cost of transactions was also a barrier, pooled financing
mechanisms were started. Pooling mechanism enable capital investments to be pooled under one
borrowing umbrella in order to reap the benefits of economies of scale. Only Tamil Nadu and
Karnataka have issued municipal bonds by pooling municipalities. The total amount of capital raised
in the municipal debt market is Rs 1224 crores (Ministry of Housing & UrbanAffairs. In July 2015,
SEBI notified a new regulatory framework for issuing municipal bonds in India.

Municipal bodies often have a wide range of assets on their balance sheets ranging from
infrastructure networks to public buildings, from housing to municipal shopping centers as well as
land. Asset management involves deciding what to do with these assets. These can be leased out.
The issue is how to determine the true economic cost. Another way is to sell the assets in order to
generate resources upfront for infrastructure creation. A necessary requirement for leveraging land
for revenue generation is proper upkeep of land records. Presently, the system of keeping of land
and property records does not ensure a clear title. There is no convergence between the registration
process, the property taxation system and the record of rights maintained by the revenue
department of the State Government.

Many cities in China have financed more than half of their infrastructure investment from land
leasing and have also borrowed against the value of land on their balance sheets to fund
infrastructure investments. Land leasing in China, for example, involves sale of long-term occupancy
and development rights. For example, Shanghai, during the period 1992-2004, generated over USD
12.5 billion from land leasing while Shenzhan generated 80 percent of its local Government
revenues from land leasing. Even in India, the Delhi Development Authority (DDA) (Source: Based
on annual report of DDA) has generated over Rs.6, 000 crores as revenue from sale of developed
land in the middle 2000s, largely for commercial uses.

Apart from the traditional modes of revenue generation, there are many innovative sources of
resource generation to increase the resources of municipal bodies. One is value capture finance
(VCF). Value capture is based on the principle that private land and buildings benefit from public
investments in infrastructure and policy decisions of Governments (e.g. change of land use). As the
additional value is generated by actions other than landowner’s direct investment, value capture is
distinct from the user charges or fees that agencies collect for providing services. Value capture
finance is a more efficient form of resource generation as compared to direct sale of lands to raise
funds. Conversion charges, betterment charges, impact fees, and development charges are the most
frequently used VCF tools in India. Recently, the Ministry of Housing & Urban Affairs has designed
a Value Capture Finance Framework to be followed by the States and cities.

An emerging mode of resource mobilization is Public-Private-Partnerships (PPPs). PPPs bring

together the social concerns of the municipal bodies and the professional competence of the private
sector. Urban transport, waste management, housing, roads and bridges are some of the sectors
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where PPP models have been successfully used. PPP models, however, require utmost care on the
305
part of municipal bodies as inadequate scrutiny, faulty contracts, weak monitoring and evaluation
mechanisms and above all financial weakness may lead to skewed arrangements where public
interest may suffer in the long run. Municipalities require strong institutional capacities before
going in for PPP projects.

Priorities and Actions

Priorities

The revenues of urban local bodies have to increase year-on-year in order to cover increasing costs
of operation and maintenance of municipal facilities and capital works. Smaller urban local bodies
should be able to recover at least a part of their revenue expenditure (which is a sum of operation
and maintenance costs as well as costs of establishment & salaries) from their own revenue receipts
while larger bodies should recover full revenue expenditure. Moreover, all urban local bodies
should spend some part of their total expenditure for asset creation and capital expenditure. This
approach is to encourage cities to leverage their assets to generate more revenue sources and other
sources of finance and is in consonance with the Sutra on “Financially Self-Reliant” cities (Sutra #
8).

There are several opportunities to enhance ULBs revenue generation capacities through
improvement of property tax and user charge collections, implement credit enhancement plans,
adopted innovative financing methods such as value capture and issuance of municipal bonds. One
of the major drawbacks of property tax based on Annual Rental Value (ARV) is that it is non-
buoyant. The tax fixed for a property remains unchanged till such time an overall revision in the
property tax is undertaken in municipal areas. Such revisions in some places have not taken place
for several years or even decades. The Unit Area Method overcomes this problem to some extent as
the different factors for assessment of tax can be changed periodically so as to reflect the market
values. Property tax based on ‘capital value’ overcomes this problem completely, as taxes are self-
assessed by the property owner every year and while doing so the market value prescribed for that
year is taken into account. This ensures that the property tax reflects the current market value and
hence is buoyant.

Urban local bodies should increasingly move over to financing ‘lumpy’ capital expenditure using
municipal bonds and the Government of India could incentivize this. Appropriate VCF tools can be
deployed to capture a part of the increment in value of land and buildings. In turn, these can be used
to repay debt raised through bonds. Value capture tools should be aligned to the strategic/master
plans (Sutra # 3). By developing infrastructure, the quality of life will improve making the city an
engine of regional growth (Sutra # 10). Municipal bonds have several other benefits for municipal
efficiency (Sutra # 8). Funds mobilized through municipal bonds are used for economically viable
projects. Successful implementation of projects based on municipal bonds requires strong financial
and administrative capabilities in the municipalities. Municipalities will have to follow economic
pricing for their services so that their actual costs are recovered from the citizens. Investment grade
credit rating, modern accounting mechanisms (e.g. accrual accounting), identification of viable

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projects, levy of appropriate user charges and transparency in the decision making process are
necessary pre-conditions for a successful bond issue.

Actions

Legislative and Policy Changes

 All States to set norms for cities to meet their revenue expenditure from own revenue and
minimum proportion of budget to be earmarked for capital works. The norms will be different
for different size cities in each State. To make this operational, states and cities to enter into a
MoU with annual targets. Similarly, user charges should cover at least full operation and
maintenance costs. Grants should be used to induce urban local bodies to become self-reliant.
 Insert a ‘Local Bodies Finance List’ (LBFL) along the lines of the Union List and the State List.
 CFC/Central Government should provide guidance on the devolution on the basis of a formula,
taking account of the level of economic activity, population levels, extent of poverty, capacity to
mobilise resources, etc. of the ULBs.
 SFCs should be set up in time so that CFC has their reports for consideration in preparation of
its recommendations.
 Strengthen SFCs by improving their capacity, and ensure that the state governments accept the
recommendations of SFCs without major modifications.
 All States must have clear policy /law/guideline for PPP.

Revenue Mobilization Plan

Property Tax

 Property tax should be decomposed into a general tax and a service component. Water tax and
sewerage tax should be replaced by appropriate user charges.
 Property tax should gradually transit from ARV to tax based on capital value.
 The base for property tax should be comprehensive with no exemptions.
 The base for levy of the property tax should be revalued every year based on annual indexation
for inflation. This will avoid large increases in property tax. Tax assessment should be based on
self-assessment, and tax collection should be through digital means.
 The ULBs should have the flexibility to fix the tax rate in respect of property tax on constructed
buildings, subject to meeting a portion of their revenue and capital expenditure. For this State
Governments to issue guidelines.
 Information technology should be used for GIS mapping and linking departments, such as
revenue and town planning.
 Service charges should be collected for the use of city services on unauthorized buildings on
which property tax is not levied.

Professional Tax

 The ceiling of Rs 2,500 on profession tax should be revised upward to, say, Rs 10,000 by making
appropriate amendment to the Constitution.

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 Compliance and administrative procedures for assessment and collection of the tax should be
kept extremely simple.
 Profession tax should be collected and fully retained by the ULBs. In cases where the State
Governments collect profession tax, the proceeds net of administrative costs should be entirely
devolved to the ULBs.

Non-tax Revenue: User charges and fees

 Where services can be measured and beneficiaries are identifiable, user charges should be
assessed and collected. Water and sewerage charges should be levied separately.

 The user charges should be so structured as to at least meet the operations and maintenance
cost of running the service. If capital costs are not met out of the user charges, then an
appropriate VCF tool should be used to recover capital costs. These should be revised every year
based on a formula.

 Trade licensing fee should be collected based on self- assessment.

 The Value Capture Finance Framework should be completely implemented by all the States and
cities.

Municipal Revenue Enhancement Plans

 ULBs who have been credit rated should implement revenue enhancement plans.

 ULBs with investment grade rating should be encouraged through incentives to issue bonds.

 Guidance and technical assistance to be provided for issue of bonds and introduction of PPP.
 SEBI regulations on issue of municipal bonds to be amended to enable pooled financing by a
group of ULB guidelines.

 State government clearances for ULB borrowing should be based on agreed principles and not
on an ad-hoc project basis.

 Incentive cities to invest in low-emission, climate-resilient infrastructure; encourage project

preparation for mitigation and adaptation projects; and collaborate with local financial
institutions to develop climate finance infrastructure solutions for cities, also known as green
bonds.

 Improve procurement and contracting so that expenditure growth can be contained within
targeted levels.

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 There should be improved accounting system based on double entry and accrual system leading
to better financial management and transparency. ULBs accounts should also be regularly
audited.

 CSR funds and PPPs with corporates can be explored for improving municipal services.

Illustrations

 Restructuring South Africa’s Fiscal System41: The Constitution of the Republic of South Africa
(1996) established a unitary state with three autonomous but inter-dependent spheres of
government: national, provincial and local. The local governments are responsible for the
provision of basic urban services like water, sewerage, solid waste management, roads and
electricity distribution. In order to accomplish this, some clear sources of revenue have been
delineated. The Municipal Property Rates Act allows municipalities to set their own property tax
rates with certain restrictions. The municipality determines user charges for water and
sanitation facilities. Equalization Grant (EG) is an unconditional grant, which is a share of
national revenues allocated to local governments and provinces as their equitable share. This
grant goes directly into the operating budgets of local governments. Whereas Municipal
Infrastructure Grant is a conditional, multi-year and formula driven grant available to
municipalities to finance all their infrastructure needs.

• Property Tax Reforms in Bangalore42: The Bruhat Bengaluru MahanagarPalike (BBMP),

previously Bengaluru Municipal Corporation, launched the optional Self-Assessment of
Property Tax Scheme (SAS) in 2000. Due to the SAS, property tax collection in Bengaluru
increased by 33 percent during 2000-01. SAS-2008 has shifted to the concept of Unit Area Value
from Annual Rateable Value. Filing of annual property tax returns in Bengaluru is now
mandatory. Up to 10 percent of the returns filed are to be verified randomly. The BBMP has
supplied a handbook to taxpayers, explaining how self-assessment of property tax can be
calculated. An online tax calculator is also made available. Now property tax can be paid online,
at computerized kiosks in 'Bangalore One' centers, municipal offices and banks. Bengaluru is the
first city in India to adopt GIS-enabled database for property tax on a city scale, identifying 1.7
million properties and assigning them unique Property Identification Numbers (PID). Due to
SAS, property tax collection in BBMP increased by 39 percent between 2009-10 and 2010-11.

41HPEC2011.
42“Revenue Improvement Planning in Metropolitan Cities: A Case Study of Hyderabad and Bengaluru Municipal
Corporations”, HUDCO Chair Program, University of Hyderabad, 2017.

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309
Urban Governance
Background and Challenges

The origin of municipal bodies is associated with the British and their main motive was to mobilize
local fiscal resources for local works such as water supply, drainage, primary education, public
health, roads and streets, parks and play-grounds, street lighting as well as enforcing building bye-
laws and maintenance of local police force by associating influential Indians with local
administration. Later, reforms were introduced, including elections, ultimately ending up with the
process of introducing an elected council with an elected Chairman in 1920 under the Montague-
Chelmsford Reforms. However, the British did not want the municipal governments to be strong, as
they had created them as concessions to the national sentiments and to assuage the feelings of
national leaders who were then fighting for greater participation of Indian people in government.
These local self-governing bodies were largely left to fend for themselves without any technical and
administrative guidance or financial support.

The most important task at the time of India’s independence was to consolidate more than 400
princely states into one nation. Therefore, the Constitution did not give prominence to the local
bodies at that point of time and legislative powers remained with the Center and the state - the two
tiers of Government - as separate “subjects”. As in the United States of America, the urban in India
is a state subject. It was only in 1993 that the 73 rd and 74th Amendments of the Constitution came
into effect and were aimed to bring about a fundamental shift in the nature of governance. Article
243P (e) recognizes a municipality as an institution of self-government and Article 243W proposes
that the Legislature of a State may, by law, endow “the Municipalities with such powers and
authority as may be necessary to enable them to function as institutions of self-government and
such law may contain provisions for the devolution of powers and responsibilities upon
Municipalities.” Thus, the state governments have the principal constitutional responsibility for
urban development. Since then municipalities have been created and elections are, by large, being
held. The Constitutional Amendment has ‛recommended’ that state governments assign them a set
of 18 functions under the Twelfth Schedule. However, as the Administrative Reforms Commission
(2008) noted, this has not led to real decentralization of power to the municipalities. The
Amendment is even less clear on the devolution of finances leaving it to the discretion of state
legislatures. State governments have only partially complied with devolution, and this has typically
not been accompanied by the devolution of funds and functionaries.

Article 243 R (2) (b) of the Constitution provides that the legislature of a State may, by law, provide
the manner of election of the Chairperson of a municipality. While there is no reference to the Mayor
of a big city in the Constitution, ‘Chairperson’ is clearly a generic term, and includes the Mayor. The
Chairperson’s role and functions have not been clearly defined. The Chairperson/Mayor in urban
local government in most states enjoys primarily a ceremonial status. In most cases, the
Commissioner, appointed by the State Government, has all the executive powers. In general, the
Chairperson/Mayor chairs the council meetings and has only a peripheral role in urban governance.
However, in Kolkata, the Chairperson and Mayor are two separate functionaries, the former chairing
the Corporation meetings, and the Mayor-in-Council exercising certain executive functions. The
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manner of election and term of office of the Mayor/Chairperson varies from State to State. In most
major states, the Chairperson is indirectly elected by the elected councilors. The term of mayors
also varies from five years to one year. For example, in the year 2008 the term of office of the
Mayor/Chairperson was five years in Andhra Pradesh, Kerala, Madhya Pradesh, Rajasthan, Tamil
Nadu, Uttar Pradesh and West Bengal. It was one year in Assam, Delhi, Haryana, Himachal Pradesh
and Karnataka, and the councilors elected a new Chairperson every year by rotation.

In the world, there is wide variation in local laws and customs regarding the powers and
responsibilities as well as the manner of election of the mayor. The mayors of New York and London
are popularly elected by direct vote every four years. The mayor of Toronto is elected by direct
popular vote once in three years. The mayors of Tokyo, Sydney and Athens are also popularly
elected. In Paris, the mayor is chosen by proportional representation. The mayor of Rio de Janeiro
is popularly elected by a two-round majority system. In Mexico City, Bogota and Buenos Aires the
mayors are popularly elected. In Johannesburg, the executive mayor is at the top of the list of
proportional representative candidates of the party that aims for the majority support. In almost all
these cities, the city government is a powerful institution with very real and effective role in the
management of most aspects of the city. The mayor is usually the head of the executive branch of
the city government. In most cases public infrastructure and services are under the city
government’s control.

Another unique feature of India is the presence of a large number of Parastatls orguangos, as the
British call development authorities and functional organizations, which are quasi-government
bodies. These include development authorities, housing boards, slum clearance boards, water and
sewerage authorities, etc. These are not elected; they are directly appointed by state government
and are accountable to it. They operate within city limits, but are not answerable to the local bodies
because they are above them. The mushrooming of such organizations has resulted in a dichotomy
in urban management in which the existing, decaying, largely inadequate services become the
responsibility of the municipalities, whereas the entire capital input into city expansion, together
with the profit thereon; fall to the share of the functional organizations or development authorities.

The presence of these parastatals has led to the proliferation of a multiplicity of agencies at the city
level. Such parastatals mushroomed in the 1960s and 1970s, in the hope that they would provide
technical competence for the provision of various services and utilities. While the argument for this
is greater capacity and professionalism, this structure also directs the accountability of these
officials upward rather than towards local governments.

Most of the ULBs are understaffed (technical and general), the existing staff has limited skills in
handling projects, and there is frequent transfer of officers in the absence of dedicated municipal
cadre. There is absence of suitable institutional framework for supporting continuous capacity
building efforts, which is not based on demand but routine ad-hoc trainings. The platforms and
systems for people's participation are not functional. This has resulted in inadequate collection of
disaggregated data that can inform policy discourse and commensurate resource allocation. Many
ULBs have still not been able to utilize the advantages of ICT to improve the quality and cost
effectiveness of public services, and to collect and manage data in ways that make it possible to
provide information in an integrated manner at the local level for decision-making.
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Priorities and Actions

Priorities
Fragmentation and multiplicity of agencies at the city level has to be addressed together with
empowering the Mayor (Sutra # 9). Additionally, appropriate governance arrangements have to be
decided and settled by State Governments at the regional, city and ward levels.

Responsibility of planning, managing and resource raising and allocation should be transferred to
the municipalities. Full decentralization should be done and capacity of local institutions has to be
built. For example, if municipal operations are transferred to ward Sabhas and area committees,
they should be adequately staffed and funded. In Madagascar, the management of municipal water
resources was transferred to the local community eventhough did not have the management
capacities to maintain the water system or raise finances to fund the expansion of the system. The
result was increased user charges and water scarcity.

Decentralization should be based on the principle of subsidiarity 43. The principle of subsidiarity
stipulates that functions shall be carried out closest to citizens at the smallest unit of governance
possible and delegated upwards only when the local unit cannot perform the task. The citizen
delegates those functions they cannot perform, to the community, functions that the community
cannot discharge are passed on to local governments in the lowest tiers, from lower tiers to larger
tiers, from local government to the State Governments, and from the States to the Union. This is
recognition of human capital possessed by citizens and micro governance units, such as ward
committees, Area Sabhas, neighbourhood associations and RWAs. (Sutra # 1).

Largely, accountability of public institutions has focused completely on prevention of activities not
specifically authorized by law or rules and integrity of the public system or maintenance of financial
propriety, which in practice means adherence to financial rules. Attention should be paid to other
dimensions of accountability – responsiveness towards felt needs of people, performance of
municipalities in terms of efficiency, effectiveness and transparency.

The National Commission on Urbanization (1988) found that although local body elections were
being held there was no power of recall of councilors and no real accountability of councilors to the
electorate till the next elections. The involvement of citizens in decision-making was almost zero
and their interaction with civic officials was largely restricted to pushing their individual cases or
meeting officials to resolve their individual problems. The priority should be to view citizens as
partners and give them direct citizen control through ward committees and area Sabhas or directly
using digital technology. Data collection and assessment through such interactions should be
promoted at the municipal level with focused importance to social indicators for goal setting.

43Also recommended by the II Administrative Reforms Commission (2008)

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312
• Fragmentation of functions has to be fixed by codifying the roles of Mayors, Commissioners, and
Council has to be codified by State Governments. The powers of parastatals have to be devolved
to the urban local bodies. In the interim devolution of power of parastatals can be done to Special
Purpose Vehicles with joint control by the state and city governments. Ward Committees and
area Sabhas should be established in all cities with clear delegation of funds, functions and
functionaries. This is the mandate in Article 243S-“one or more wards, within the territorial area
of a Municipality having a population of three lakhs or more”.

• In order to enable people to understand the link between their vote and the consequences of
such a vote in terms of provision of public goods and services, contemporary ways of
accountability should be explored, such as recall and referendum. For example, if executive
powers are given to Mayors, adequate accountability mechanisms have to be built-in.

• The principle of subsidiarity should be used to devolve funds, functionaries and functions to
different levels - ward committees/area Sabhas, cities and region. For example, if water has to
be supplied to the city and its surroundings it should be a function of the region (water district);
however, the operation and maintenance should be given to the ward committees.

• Responsiveness of municipalities will increase due to delegation of functions and giving power
over municipal functionaries to ward committees/citizens. Citizens should be compensated for
non-redressal of grievances and non-adherence to citizen charters. Digitally enabled social audit
should be introduced.

• Municipal operations should be made transparent by, timely annual audit of accounts and other
financial documents, regular internal audit, follow-up action on audit reports for correcting
financial irregularities, and fixing responsibility for lapses and use of sanctions against those
who are responsible for such lapses.

• Indicators have to be developed for measuring efficiency and effectiveness of municipal

performance (e.g. liveability) and benchmarked. Elected representative and municipal
managers should be made accountable to achieve the targets set on the indicators.

• Citizen participation means the institutional arrangements that permit citizens to work in
partnerships to get things done. However, not all ways of participation are equal. Participation
should move beyond informing and consultation to delegation of power and citizen control.
Digital technology has great potential to make this higher level of participation happen.

• Capacity of local bodies has to be developed. In the interregnum, outsourcing of functions and
functionaries should bridge capacity gaps.

• A gender and child sensitive approach to urban planning, management and governance would
increase their participation in the development of human settlement and improve the
performance of cities in taking advantage of the urban potential for social development.
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• Community development corporation (CDC) is a neighbourhood-based organization in the
United States that works in partnership with public- and private-sector for new investments to
improve conditions in low-income communities. Community Development Corporations should
be encouraged in India focusing on providing affordable housing, economic development,
operating health clinics, offering youth activities and after-school programs, and running day-
care centres and job training programs.

• It is important to have Standard Operating Procedures (SOP) along with data infrastructure and
responsibility fixation both at city level and its integration to the regional level.

• In tune with 74th CAA, the local authorities will be empowered for both capital and revenue
expenditure rather than creating multiple SPVs for infrastructure provision and maintenance
such as water supply boards, metropolitan development authorities, spatial area development
authorities. However, SPVs are an attractive institutional arrangement in the interim when the
role of existing parastatals have to transferred to the local authorities.

• There have been some efforts by Central 44 and State Governments towards confirming land
titles streamlining this issue. Rajasthan government has constituted the Rajasthan Urban Land
(Certification of Titles) Bill 2016 to issue certificate of ownership to state residents living in
urban areas45. Title guarantee rests on an accurate and exhaustive inclusion of every single
property transaction in a centralized register maintained by the State and cities. It is important
that this register should not be subject to manipulation; otherwise there will hardly be any
benefit of the land title law during implementation. Digital technology enables property transfer
to be made tamper proof. One way of ensuring that property transfers are tamper proof is to
digitalize using blockchain46 technology. States and cities should explore use of blockchain
technology for all existing land titles.

• MoHUA to review and revise Model Municipal Law 2013.

Illustrations

• Metropolitan Governance in London, UK47: In metropolitan London, the boroughs

(equivalent to India's municipalities) are responsible for civic administration. The mayor drives
key citywide strategic functions, including economic development, transportation, metropolitan
planning, and police and emergency services. Autonomous agencies with leaders appointed by
the mayor are responsible for key functions. For example, Transport for London (TfL) is run as
a corporatized agency with an independent board appointed by the mayor and a CEO
responsible for running the operations. At the same time, these agencies use contracts with the
private sector drawn with clear service agreements and predefined tenures to stimulate

44In August 2008, the Cabinet approved the Department of Land Resources “National Land Records Modernisation Programme” (NLRMP), which
would implement title registration throughout the country. In 2011, MoRD prepared a Model Land Titling Bill.
45At present, it is voluntary for the owners to apply for this certificate. Application fee is 0.5% of the land rate determined by a District level committee

to encourage more people to join this new scheme.

46Exploratory work in Sweden, Honduras, Georgia
47www.tfl.gov.uk

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competition and to improve the efficiency and quality of services. Through the chief executives
of the agencies, the mayor ensures delivery on annual targets.

• Governance of Metropolitan Cities, China48: This country has a different policy but has driven
transformation of its cities through two key choices. First, Shanghai (like Beijing) has special
status in China’s administrative system as a directly administered municipality, the equivalent
of a province or a state. Second, China’s major cities have mayors who are powerful political
appointees and whom the central government holds accountable for delivering economic
growth and improvements in the quality of life of their cities. China’s cities, too, have recognized
the necessity of separating policy making from infrastructure construction and service delivery,
especially given the scale of the country’s urban transformation. Large cities have created stand-
alone SPVs to build basic infrastructure, supplementing the work of policy bureaus that exist
inside the city government; the Shanghai-Chengtou Water business unit. While many of these
SPVs were carved out from within government departments, some were created from scratch.

48McKinsey Global Institute

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Chapter 10
315
Urban Information Systems
Background and Challenges

Conventionally, cities have been using information technology and communication in three ways,
(1) use a single application to address burning problems, say, waste collection, and then add more
applications as per the needs and priorities of the city, (2) build infrastructure and add services, and
(3) experiment with a number of applications without having a long-term or definitive vision in
place. The conventional ways ignore the value hidden in human interactions - among themselves,
with the city’s infrastructure (e.g. roads, bridge, and parks) and the environment. These
interactions contain data and information and digital technology has the potential to recognize and
capture the hidden value in their interactions. This untapped resource for creating solutions and
economic growth is called “surplus city”49by the Climate Group.

A city consists of systems (e.g. transport, solid waste). Systems, in turn, consist of humans and
infrastructure elements. Interactions occur within systems and between systems and this “system
of systems”, generates complexity in cities. Digital technology has the potential to recognize and
capture these interactions and the whole becomes greater than the sum of its parts once the
information that flows in the “system of systems” is captured. In the smart cities, the “system of
systems” integration was done in the Smart City Command Centre.

Cities consist of systems, such as the transport system, water and sewerage system, electrical
system, and park system. Projects are prepared within the systems in silos without considering the
interaction between people, systems and technology. The Climate Group calls these hidden
interactions. Capturing these hidden interactions has the potential to generate economic growth 50.
A well-developed digital infrastructure allows cities to access, share, collate and use the information
contained in the interactions among people and with systems. The ability to capture, classify and
analyse information from different systems and use this to plan for city operations as a united
“system of systems”51 brings unexpected and broad ranging benefits 52.

This will require more sophisticated systems of city governance and management. These will
extensively use automation including Artificial intelligence, Internet of Things (IoT), big data
analytics etc. The creation of diverse platforms and the collection and publishing of city data will
provide the opportunity to transform city life by allowing cities and their citizens to create, monitor,
and measure progress of their cities in a more informed way. Access to urban data could lead to
more informed and empowered citizens as well as help governments make more informed
decisions.

49Information Marketplaces: The New Economics of Cities, The Climate Group and others; pg. 15.
50Information Marketplaces: The New Economics of Cities, The Climate Group and others.
51Information Marketplaces: The New Economics of Cities, The Climate Group and others; pg. 24.
52This is also called city view and its power has been recognized by the European Union, which is offering funding for cities i n Europe to develop

comprehensive urban planning tools.

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The emergence of cloud-based services, more powerful mobile devices, sensors, artificial
316
intelligence, big data and analytics present a huge opportunity for cities to enter a new phase of
technological development and enable new ways to deliver services to citizens. Intelligent sensor
networks will become increasingly critical to the basic functioning of cities. In the near future we
expect to see smart cities and buildings that are net producers of renewable energy, connected and
optimized transport systems and a range of e-services such as e-health, e-education, e-commerce,
e-governance and teleworking, resulting in major changes across society which will lead to
sustainable urbanization.

Some of the major ICT-related urban planning challenges are lack of empirical data at town/ state/
national levels, lack of updated accurate base maps, lack of map data of underground infrastructure,
outdated techniques of ground survey, use of citizens applications in silos, inadequate sharing of
data/information among city line departments in a coordinated manner, lack of standard operating
environment in a critical/emergency situation, inadequate technical skills required to manage ICT
infrastructure, absence of real-time monitoring of critical city infrastructure, etc.

Priority and Actions

Priority

What is required is an integrated application of digital technologies to infrastructure and services

to improve them. The improvement could happen in several ways, such as municipal operations
being performed at a lesser cost or use fewer resources, making municipal activities more
accountable and transparent, improving delivery of citizen services and performance of
infrastructure. Cities will also be able to use leapfrog technology to vault over stages prescribed by
the conventional development approach.

It is necessary to build a centralized single source of Information of all citizen centric

services/functions/operation by consolidation of city infrastructure /assets into a single operations
platform for delivery of services, monitoring of environmental parameters as well as handle
exigencies in disasters (Sutra # 9) (Sutra # 7). The platform for ICT should enable engagement of
the citizens from all walks of life including from social media, to share their views, opinions, triggers
in case of incidences/ emergencies, compliance with feedback mechanism, cross collaboration and
generate vital information for the benefit to the city to help it prepare and manage better (Sutra #5).
The infrastructure so created should be scalable (both horizontally and vertically) to accommodate
growing needs of the services and interoperable units (field devices, sensors etc.) (Sutra #4).

Such a system deployment demands building and leveraging suitable skill sets (Sutra # 1) within
the city for long term sustenance of the city management, therefore a continuously enriching
capacity building and skill development as well as management plan is required to be put in place
by the city. A combined and effective use of people, process and technology is required, which
should eventually become a part of day-to-day city operation to enable long-term sustenance.

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A large amount of data is generated by the use of city infrastructure and citizen services and it
carries vital city information and provides deep insight to the way city operates. This should be used
extensively for planning, re-design, and proactive preparation for future growth as well as for
handling any emergency/ disaster situation. A possibility of monetization of the inter-connected
data generated in the city should also be explored for long-term financial sustenance of city
operation. (Sutra # 8).

Actions

Integrated City Centers

• It is imperative that spatial data infrastructure (SDI) should be the backbone of the urban
information system.

• Cities need to build Integrated Command and Control Centre (ICCC), located in a well accessible
area, which should function as a Nerve system of the city where digital technologies are
integrated for co-ordination among city stake holders/ line departments under a defined
standard operating environment. This center will integrate smart urban components like
cameras, sensors, solid waste management, Wi-Fi, smart lighting, smart parking, traffic signals,
to name a few, including essential services and provide centralized Monitoring and
decision making capabilities for city administration (Sutra # 9), apart from managing city
operation including municipal services. This center needs to be a combination of People, Process
and technologies. An IoT (Internet of Things) Platform based on open standards, to be integrated
to measure and track events across a myriad of field equipment, sensors etc. and correlates these
to initiate appropriate actions. The smart city center to extensively use data analytics and
artificial intelligence to provide real time responses as well as provide insight to various city
activities and trends to help adapt to the changing needs to the citizens (Sutra # 2). Local Skills
to be developed to manage such centers both operationally and technologically (Sutra # 1) who
can respond to the situations/compliant in an effective way, with a local touch where use of local
language (Sutra # 2) will come handy. The vision should be to implement holistic and integrated
solution for long-term sustenance. The Smart city center will function as single source of
information and resolution of the civic functions of the city, helping it handle critical and
emergency situations as well and provide assistance to the citizen at the time of emergencies.
(Sutra # 7 & 9). The city to create a single citizen interface where the data is available on GIS
map and on-board the entire line department with mapping of their assets onto GIS. The same
to be integrated with smart city centers for managing city operation effectively through
coordinated efforts among various line departments. (Sutra # 3). The GIS Data, whether
generated or collected, to be available to all under open data policy.

Urban Planning and Management

• Complete disintermediation in the issue of building permissions (e.g. Andhra Pradesh and
Telangana), mutation and birth & death certificates by using technology.

• SCADA systems including smart metering solutions, water quality sensors, ICT-based solid
waste management systems including digital smart bins, sensor based sorting, GPS tracking
fleet, manhole sensors, etc., are meant to address problems of physical infrastructure. (Sutra
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 #3). Smart water systems that measure water flow and pressure have the potential to
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significantly reduce water leakage and loss.

• Build and manage hierarchical databases by developing urban observatory as repository of data
at town/ state/national levels with common data structure, generation of geo-database using
Very High Resolution Satellite Imagery for creation of base maps for planning, use of Ground
Penetrating Radar (GPR) to collect information of underground utilities, latest techniques such
as Total Station and GPS, LIDAR for ground survey, Digital Elevation Modeling (DEM) using
LIDAR and drone survey for large scale mapping, etc. to be used for effective planning and
governance.

Urban Mobility

• Urban transportation needs to be addressed through innovative ICT enabled applications to

provide more optimized and efficient travel, through Route monitoring and Optimization,
shared transport and better transportation system integration, making travel across multiple
modes of public and private transportation more attractive. (Sutra #6)

• Intelligent Transport Systems (ITS) to provide innovative services relating to different modes of
transport and traffic management and enable users to be better informed and make safer, more
co-ordinate and 'smarter' use of transport networks which includes automatic road
enforcement, variable speed limits, dynamic traffic light sequence, intelligent parking
management, etc.

Energy & Utilities

• ICTs are necessary for including renewable energy in the electricity grid as well as making
existing grids more efficient, reducing losses and increasing speed. Through smart electricity
grids and smart metering for electricity, water and gas, ICT reduce the energy consumption of
billions of commercial and residential utility service subscribers worldwide (Sutra #8) and
significantly contribute to reducing greenhouse gas emissions. (Sutra #7)

• Deploying sophisticated monitoring and metering systems that allow energy to be highly
efficient using Internet of Things, where each appliance (refrigerators, automobiles, computers,
solar panels) can communicate with each other through the internet so that they are operating
as an evolving, efficient and effective system (Sutra #3), retrofitting existing infrastructure to
make it smart and more efficient. Smart grid applications include utility-based demand response
programmes via broadband Internet communications or advanced metering infrastructure
(AMI) systems; remote troubleshooting to minimize cost; and flexible control of appliances to
reduce power consumption during peak periods. (Sutra #8)

Urban Safety and Security

• ICT applications like Intelligent LED Street Lighting and Surveillance, networking of safety and
security systems (CCTVs, police, traffic, etc.), across four stages: prevention, protection,
response and recovery and video crime monitoring can help.
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• Advanced ICT for Disaster Mitigation and Management: These include early warning systems,
Forest fire evacuation systems, mathematical models for decision support systems, media
disaster communication and medical information systems. (Sutra #7)

Citizen services
• Providing digital platform for delivery of the citizen centric e-governance services with single
access to social protection schemes, insurances, pension system etc. along with mobile app. The
platform should be interactive and citizen should be able to contribute on it.

• Develop a detailed standard operating procedure for Citizen Grievance redressal system
including feedback mechanism to ensure resolution.

• Implement Open data Policies (making the data available publically) and empower citizens by
bringing transparency and citizen engagement environment (Sutra # 5). This will help in
building innovative application and impact analysis. Necessary legal framework is required to
be put in place to ensure protection of citizen privacy and security of the data. The complete
process is also to be known transparently and on-demand, in term of what, how and who is
managing the data from city administration/Authority side. The trust building exercise with
citizens should be carried out to on-board them on this.

• Implementation of citywide common payment card to access multiple city services with ease.

• Use of local language in accessing and transacting on citizen service portal (Sutra # 2)

Illustrations

• Open NYC: Ensuring transparency and fostering civic innovation: The NYC Open Data
portal, that hosts multiple datasets to ensure transparency and foster civic innovation within
New York City, operates under the Open Data Law (Local Law 11 of 2012), one of the most robust
Open Data policies in the world. The Mayor’s Office of Data Analytics (MODA) and the
Department of Information Technology and Telecommunications (DoITT) partner to form the
Open Data team. The Technical Standards Manual (TSM) includes data standards and citywide
policy, and is periodically revised by the Open Data team to reflect new Open Data requirements
for City agencies.

• One Map of Singapore: Thematic app: One Map is an application developed by Singapore Land
Authority which provides the most detailed, authoritative and timely updated thematic map of
Singapore on daily/weekly/fortnightly basis. The application includes map services such as
Land Query, School Query, Bus Explorer, Traffic Query, Map Styles and Find Nearby, where
citizens can find amenities and government information around their location. There are over
100 thematic datasets contributed by various government agencies.

• Integrated Command & Control Centre Project in India: State of art command and control
center to seamlessly integrate all elements to monitor & manage entire city operations and
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enable fast and efficient citizen service delivery in an integrated way, are being developed under
Smart Cities Mission and are already operational in cities like Pune, Surat, Vadodara, etc.

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Chapter 11
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Environmental Sustainability
Background and Challenges

Environmental sustainability received a fillip with the publication of the Brundtland Report that
gave birth to the concept of sustainable development, defined as “development that meets the needs
of the present without compromising the ability of future generations to meet their own needs”. The
American Planning Association defines sustainability as, “whether the Earth’s resources will be able
to meet the demands of a growing human population that has rising aspirations for consumption
and quality of life, while maintaining the rich diversity of the natural environment or biosphere.” A
central principle of sustainable development is a holistic view of life where all objects and activities
are interconnected and mutually affect one another and in turn affected by each other. Concretely,
sustainable development aims to strike a balance between economic development, environmental
conservation and promotion of equity. These are also called the 3Es of sustainable development.

The Government of India recognizes environmental sustainability as a key element towards

sustainable urbanization and is a signatory to multiple international agreements, including the Paris
Agreement, the Sendai Framework for Disaster Risk Reduction, and the Quito Declaration on
Sustainable Cities and Human Settlements for All, International Solar Alliance among others to steer
India towards a low carbon, resource efficient and sustainable future. This is reflected in India’s
Nationally Determined Contributions (INDCs) to the Paris Agreement that foresee a decrease in
GHG intensity of the economy by 33-35% between 2015 and 2030, through such measures as
accelerated deployment of renewable energy and energy efficiency. India is ranked fourth on
concentrating solar thermal power (CSP) and fifth on biomass generation and wind power 53. The
cities and states are also playing their part in advocating for sustainable growth by participating at
international forums and committing to the localizing the Global Agenda 2030.

India’s cities are amongst the worst affected in terms of air pollution with 14 out of 15 most polluted
cities worldwide being located in India including Delhi, which is ranked as the world’s most polluted
city54. Urban air pollution is a complex problem with numerous sources including vehicular exhaust,
emissions from industry and power plants, dust from construction sites and roads, crop burning,
garbage burning, inefficient use of energy in buildings, excessive use of biomass for cooking and
heating, hazardous industrial waste, among others. In many north Indian cities such as the NCR, the
problem becomes particularly acute in winter as the pollution builds up near ground, prompting
emergency health warnings.

The significant challenges affecting the urban water supply are related to its availability, quality and
reliability. The depletion in access to safe and usable surface and groundwater sources in urban
areas is occurring at an alarming rate. Untreated wastewater, industrial pollutants, solid waste and
medical waste, pollution by agrochemicals and runoff from roads and storm drains are the primary
cause of contamination and degradation of freshwater, marine and terrestrial ecosystems in and
53Transformative Urbanization for a Resilient Asia-Pacific, Asia-Pacific Regional Report for Habitat III. March 2016
54 The study assessed more than 4,300 cities in 108 countries. https://edition.cnn.com/2018/05/01/health/air-pollution-cities-who-
study/index.html
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around cities. The municipal wastewater treatment capacity can only service 29 percent of the
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wastewater generated in urban areas 55. Across the region, rivers contain as much as three times
the world average of human waste derived bacteria. Management of urban water resources are
affected by the fragmented nature of regulatory bodies and weak implementation of policy and
regulations.

Cities are the hubs of resource use as well as the biggest generators of waste. The solid waste profile
of urban areas cover household waste, construction and demolition waste, e-waste and more, which
are expected to increase and worsen in coming decades with rapid urbanization. The inadequate
capacity for collection of solid waste leads to open dumps spread across the cities. Urban flooding
is a recurring phenomenon in major economic hubs such as Mumbai, Chennai, Bengaluru, and
Gurugram. The financial loss from the urban floods in Chennai in 2015 is estimated to be more than
INR 15,000 crores56. Urbanization has also exposed relatively higher number of people to the risks
and vulnerability from natural disasters, global warming and climate change related phenomenon
such as flash floods, droughts, and heat waves, which are exacerbated due to poorly serviced areas,
lack of affordable housing resulting in the increase in informal settlements often located in low lying
or hazardous areas.

Energy use in buildings and vehicles is also one of the key contributors to Urban Heat Islands (UHI)
in cities and poor indoor & outdoor air quality. Globally, cities are taking up voluntary commitments
to clean energy (e.g. 100% renewable energy)57, driven by increased resilience, decreasing
dependence on fossil fuels and meeting carbon emission mitigation targets. These cities are
investing in energy efficiency (EE) improvements in parallel with push to renewable energy (RE)
generation to accelerate transition to zero energy and zero carbon cities. Thus, India’s rapid
urbanization is occurring at a risk of generating social and economic gains at the expense of
environmental sustainability. A business as usual approach to environmental sustainability will
culminate in huge social and economic losses in urban and peri-urban areas. The time has come to
make environmental conservation the overarching goal of urban development.

Priorities and Actions

Priorities

Addressing environmental sustainability requires a long-term vision and concerted policy

framework. Based on existing and on-going diagnostics, there is an impending urgency to address
deteriorating air quality, degradation of water resources and waterways, non-existent treatment
and disposal of solid waste, and recurring risks from natural disasters. Long-term climate risks need
to be integrated in long-range planning processes to mainstream urban resilience and risk
mitigation practices in urban environmental planning (Sutra # 7).

55The urban centers in India accommodating approximately 70 percent of the urban population generate 38,000 million liters per day of wastewater,
whereas the treatment capacity if about 11,000 mld.Source: India Habitat III National Report. 2016. MoUHA.
56 https://www.oneindia.com/india/chennai-floods-caused-economic-loss-2-2-bn-study-2055791.html;
https://www.livemint.com/Politics/qvGI9LAhTbgnOzitBskhSN/Chennai-floods-may-cause-financial-losses-of-over-Rs15000-c.html;
57http://lup.lub.lu.se/luur/download?func=downloadFile&recordOId=8894582&fileOId=8894590

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sustainability must be mainstreamed at all levels of government, and by enabling participation of
all urban stakeholders. Environmental sustainability requires an integrated approach across urban
sectors to plan proactive measures to prevent, avoid and minimize adverse impacts from the natural
systems upon which our communities, businesses and infrastructure systems depend. In this
regard, it is recognized that master plans must be dynamic and continuously monitored to fit the
changing context (Sutra # 3). To this end, planners and developers must be conscious of the
changing environmental landscape and must ensure that their decisions respond intentionally and
responsibly to environmental challenges.

India falls under the high-risk zone for potential mortality due to multiple hazards, which include
earthquakes, floods, cyclones, droughts, tsunami and landslides 58. With high densities of population
concentrated in cities often in areas unsuitable for habitation due to high exposure and vulnerability
to natural hazards, disaster risk mitigation and resilience schemes are imperative to ensuring long
term, sustainable social and economic improvement. Infrastructure and physical assets are also at
high risk due to poor resilience to disasters. Improper planning has resulted in large expanses of
impermeable surfaces which both exacerbates the heat island effect and increases surface water
runoff by six times resulting in inundation of cities. This flooding is made more dangerous by the
lack of proper sanitation and solid waste disposal in many urban areas. As cities become inundated
by water, polluted with human waste and toxic materials, risk of illness is heightened. In turn, lack
of proper sanitation and paralysis of transport networks increases rates of transmission while
hindering access to hospitals or sufficient medical treatment. Lack of resilience in built
infrastructure has harmful effects that cascade well past destruction of physical property and
infrastructure that can hamper social development and economic progress for communities who
face repeated disasters.

Urban India need to act on multiple fronts to reduce the loss in procurement, optimize generation
of clean energy and improve energy usage for attaining self-sufficiency. Addressing the impending
challenges of overshooting planetary boundaries require the future Indian urbanization process to
encourage existing and emerging cities to move towards net zero in energy consumption. The
principle of energy self-sufficiency also requires focused attention on multiple crosscutting areas
like urban planning and development, transport, waste management, water supply etc. It is also
important to ensure that these crosscutting interactions are guided and shaped by climate and
social justice. All this will require clear unified leadership (Sutra # 9).

Actions

Urban air quality

• Gradual expansion of pollution monitoring stations across bigger cities as well as medium sized
towns. Real-time sharing of AQI data to citizens though various channels with advisories and
measures at different levels of risk coordinated by different state and local government agencies.

58World Bank. 2015. “Leveraging Urbanization in South Asia: Managing Spatial Transformation for Prosperity and Livability.” Conference edition.
South Asia.
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Switching public transport and commercial fleets to CNG and Electric Vehicles using central
schemes such as FAME (Faster Adoption and Manufacturing of Hybrid & Electric Vehicle) along
with phased scrapping of more than 15-year-old vehicles.

• Facilitating cleaner fuel switch for industrial boilers and targeting 100% household LPG
penetration.

• Bringing forward cleaner Bharat VI automobile standards and phased rollout across the country.
Phasing out of older vehicles. Stricter monitoring and enforcement of tailpipe emissions.

• Stricter monitoring and enforcement of industrial emissions, including those from MSMEs.

• Better maintenance and regular cleaning of roads and pedestrian areas, including improved
garbage collection.

• Stricter monitoring of construction sites for dust control.

• Adoption of AQI goals in a gradually widening sub-set of cities, with progressive tightening of
AQI targets over time, dovetailed with the National Clear Air Program (NCAP), which includes
preparation of Air Quality Management Plans backed by source apportionment studies.

• Increase in green space that includes forest/tree covers, parks, urban agriculture, roof gardens,
etc.

• Lead investment and generation of energy from renewable. India is ranked fourth on
concentrating solar thermal power (CSP) and fifth on biomass generation and wind power.

• Develop and adopt scientific evidence based policy and practice in air quality management,
sustainable transport, clean energy and urban development at city-level.

• Mandate city level targets for GHG emission reduction such as Rajkot, which has committed to
reduce its GHG emissions by 16% in 2016.

• Include measures like congestion charging and public transit/carpooling/active transport

incentives to reduce congestion and resulting pollution.

• Ban open burning of agricultural and municipal wastes, and short-life Polyvinyl Chloride (PVC)
and chlorinated plastics.

Urban water resources

• Develop urban water management plans with a 5 to 10 year timeline to ensure safe and reliable
source of water supply (including alternative water sources) by demand and supply forecasts,
implementing drought-resilient water resources and a sustained emphasis on water-use
efficiency.
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• Prepare action plans for sewage management, restoration of water quality and establishing
monitoring systems for regular assessment of water quality in water bodies.

• Require decentralized common effluent treatments plants in business parks and clusters of
small-scale industries with minimum treatment standards before discharge into municipal
infrastructure. Strict regulations such as ‘polluter pays principal’ to act against water source
pollution should be mandated on all small scale and large-scale developments.

• Promote policy tools to conserve water, minimize waste and ensure equitable distribution
through development and management of integrated water resources.

• Compulsory rainwater harvesting and ground water recharge on private and public properties
through local, state, and central levels by amending bye-laws and policies.

• Protect natural water sources such as lakes and wetlands within urban jurisdiction and
indirectly impacted due to urbanization by adopting legal and institutional mechanisms at city
and state levels. Mapping of the existing water bodies (lakes/ponds etc.) across the cities and
developing plan of action to preserve the same with the involvement of local community shall
be given priority (blue infrastructure mapping of the cities).

• Adopt urban water management measures such as development of integrated water resource
information system for open data, and regulatory defragmentation to ensure the coordinated
and integrated functioning of various institutions.

Solid waste
• Implement Solid Waste Management Rules, 2016 which require segregation, transportation,
treatment and disposal and established targets for different waste streams

• Adopt scientific methods of solid waste management by utilizing central government schemes
such as Swachh Bharat Mission

• Incentivize private sector participation in successful recycling and waste-to-energy systems

• Promote concept of circular economy by recycling construction and demolition waste,

secondary resource recovery from e-waste, organic waste to compost and end-of-life vehicles.

• Ensure recognition and registration of workers involved in dismantling and recycling of solid
waste under the state labor department.

• Pilot community-based integrated resource recovery centers, which have proven to be an

effective solution for many cities in the region.

• Encourage manufacturers to take on greater role in waste management and recovery and
promote extended producer responsibility (EPR) principles in waste management rules.
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• Pilot new technologies burning solid waste with generation of high-pressure steam as a by-
product, which is then used as an alternative energy source for nearby communities.

Disaster Risk Reduction and Resilience

• Plan and implement national and state level disaster plans. Localize the strategies by supporting
cities in strengthening building codes and retrofits, drainage capacity, protection for critical
infrastructure, and emergency action plans as a balanced approach for short and long term
disaster management strategies.

• Institute selective planning and administrative systems to prepare GIS based disaster-zoning
maps with single and multiple hazards for better management and mitigation strategy and to
guide overall development avoiding vulnerable and disaster prone areas.

• Prepare risk profile of the city, which are publicly available, and establish monitoring and review
platforms, to guide the planning and development process.

• Invest in climate-proofing critical infrastructure as a priority.

• Strengthen the technical and financial capacity of local bodies and municipalities by creating
national risk financing tools and partnerships with national and local institutions.

• Acknowledge the local-area level as the smallest scale of disaster risk-reduction planning. Cities
are as resilient as their weakest links; introduce community resilience awareness programs in
vulnerable communities to increase resilience capacities, and integrate local data and
community participation in disaster management and resilience planning at the local level

Energy
Net zero energy buildings

• This is an area were proactive central facilitation will lead to positive results.
• Develop action plan to meet net zero energy or zero carbon buildings or neighbourhood targets
through policies & regulations, financial mechanisms and incentives

Energy efficiency

• Energy efficiency must be considered a resource and the first fuel in principle and practice. This
must be reflected in mandating utilities to implement Demand Side Management (DSM)
measures, mandating energy efficiency building codes for all types of buildings.

• Introducing innovations in EE technologies and materials for buildings through challenge

programs

• Introduce municipal level energy efficiency improvement for different sectors.

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• Incentivize local/vernacular solutions to improve energy efficiency.

Renewable energy deployment

• Setting a clear city- wide vision and roadmap with RE targets.

• Promote rooftop solar deployment through aggressive awareness programme, adequate

financing and enabling policies for the residential customers.

• Address the barriers of rooftop solar deployment in the MSME segment.

• Facilitate the third-party procurement and sale of rooftop solar power through enabling policies
and regulations for industrial clusters.

• Develop integrated plans to use both heat and energy generated from urban wastes and
introduce mandatory targets for urban centres to use this resource to ensure sustainable
consumption.

• Assess the potential and develop roadmap for different Tiers of cities on waste to energy.

• Plans to use heat generated from urban waste in economic production process. Explore other
options available to cities to achieve their renewable energy goals. For example, District
Energy/Heat/Cooling, Wind power, geothermal power, hydroelectric power, etc.

Data Driven Decision Making

• Create data platforms at municipality levels for different parameters of energy consumptions
and generation within fixed timelines, and develop recognition programmes for better
performers.

• Develop best practices guidelines based on experiences from across the world on data sharing
frameworks for municipalities in different Tiers of cities in India.

• Develop integrated resource planning frameworks for urban centres in India to meet long term
energy requirements.

• Better coordination between energy departments and other departments.

• Involve stakeholders like energy efficiency agencies, RE producers, DISCOMS, consumers for
planning.

Reliable energy supply

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• Regulatory framework that incentivizes decentralized renewable energy generation and allows
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consumers to trade, to sell and buy renewable energy generated off-site.

• Develop procedures for transparent disclosure of regularly updated reliability indices.

• Develop and implement plans for reliable energy supply to the city. These plans must be
transparent and regularly updated to factor in changing scenario.

Illustrations

• Integrating resilience parameters in DBMS, Panaji, Goa 59: The City has designed and
adopted a citywide and multi-sectorial Database Management System (DBMS) which is
comprehensive urban infrastructure inventory and a tool for rapid climate vulnerability
assessment to support city level planning efforts for climate resilient infrastructure services in
coastal areas. The sector-wise forms in the DBMS could be accessed to record, retrieve, and
update information to support the city government to identify hotspots, critical infrastructural
services and address the impacts of sea-level rise in its planning strategies, acting as a starting
point to initiate climate resilience planning and retrofitting of infrastructure assets and services.
A key impact of this tool was institutionalizing the process of collecting multi-sectorial data at
the urban local body (ULB) level as CCP appointed a nodal person for administering and
managing this database, along with coordinating the task of recording and updating the missing
data gaps as well as recording the new data fields proposed for climate resilience planning.

• End-to-End Early Warning System, Surat60: The Surat Municipal Corporation is anchoring the
establishment of an end-to-end early warning system for floods. In order to establish an end-to-
end warning system covering three states, a trust- Surat Climate Change Trust (SCCT) was
established representing members from key institutions. The main objective of this project was
to reduce the impacts of floods and resultant damage in Surat. This was achieved through setting
up of a Warning System to monitor and forecast extreme precipitation events in Upper and
Middle Tapi basin as well as Khadi (tidal creeks) floods. Flood warning system in the city
includes installation of weather systems; data transfer mechanism from catchment to reservoir
to city level, development of weather and flow prediction models, improvement of existing flood
preparedness and formulation of action plans.

• Seoul taking actions to address Climate Change: The Seoul Metropolitan Government (SMG)
has implemented ‘Action Plans for Promise of Seoul’ - detailed action plans by sector - for
addressing the impacts of climate change. The city’s action plan on climate change strategizes
on implementing policies to reduce GHG emissions and adapt to climate change by managing
performance indicators in line with major SMG policies. The plan also aims at connecting
sectorial goals with projects that can engage citizens. It includes evaluating project performance

59ClimateResilient Infrastructure Services Brief. Case Study, Panaji, TERI.

60India:
End to End Early Warning System for Ukai and Local Floods in Surat City. TARU Leading Edge. https://reliefweb.int/report/india/india-end-
end-early-warning-system-ukai-and-local-floods-surat-city

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with citizens and verifying performances through GHG inventory. The main goals of the action
plan include reducing GHG emissions by 25% by 2020 and 40% by 2030 below 2005 level.

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Recommendations and Way forward

India is likely to become an urban majority country within a generation. However, India’s cities are
already struggling to provide for current population. In this context, NUPF 2018 is prepared and is
not an attempt to provide a detailed, top-down guidebook to cities. It presents a new way of thinking
about Indian cities and job creation emerges as a key issue in planning for India’s urbanization. The
NUPF stands on ten sutras or guiding principles:

1. Cities are clusters of human capital;

2. Cities require a ‘sense of place’;
3. Not static Master Plans but evolving ecosystems;
4. Build for density;
5. Public spaces that encourage social interactions;
6. Multi-modal public transport backbone;
7. Environmental sustainability;
8. Financially self-reliant;
9. Cities require clear unified leadership; and
10. Cities as engines of regional growth.

The vision underpinning NUPF 2018 is to see cities as complex and changing agglomerations of
people who are constantly interacting with each other, with socio-economic institutions and with
the built environment. The soft and hard infrastructure of the city provides the backdrop for such
interaction and are not ends in themselves. The exact optimization of a specific city, therefore,
depends crucially on local context and cannot be done through the blind application of some
Cartesian ideal. This is why the new approach emphasizes preservation of heritage, revival or even
invention of local architectural styles, the importance of regional linkages and environmental
sustainability – all of which vary from city-to-city. This fits with the fact that plurality is the essence
of Indianness.

Since human capital agglomeration and un-codified human interaction are so important to this new
model, the emphasis is on clustering economic, social and cultural infrastructure. Therefore, in
contrast to the past, the new approach encourages mixed use and bringing together social groups.
Except hazardous industrial activities, NUPF 2018 discourages urban master plans based on neat
silos and rigid text based codes. Instead, the urban landscape is managed by monitoring the form
and, where necessary, through strategic interventions. This requires greater emphasis on situation
awareness of evolving trends rather than a rigid adherence to some idealized end-point. Similarly,
there is active encouragement for public spaces that are open to all and encourage interaction. Thus,
parks, museums, iconic monuments, sports facilities and bazaars are key to the “sense of place” of a
city. Social infrastructure such as universities, places of worship, and entertainment hubs need to
be part of the urban fabric rather than segregated from the flow of the city. Indian cities still depend
on iconic public spaces and buildings of the colonial and pre-colonial period. Twenty-first century
Indian cities need to preserve/revive the old and think of building completely new
spaces/buildings/institutions. Note the shift from the previous civil engineering approach to cities.
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Another important break with the past is the idea that Indian cities need to be managed by building
for density. The older approach was to “decongest” the city. Quite apart from the environmental and
public transportation arguments for density, this fits with the fact that NUPF 2018 sees social and
economic agglomeration as the purpose of the city. Moreover, there is greater focus on movement
of people to, within and between cities. This relates both to daily movement of commuters as well
the movement up the socio-economic ladder. The former explains the emphasis on investing in
multi-modal public transportation, especially in walkability. The latter explains the emphasis on
rentals and secondary real estate markets. This recognizes the fact that socio-economic mobility
requires the ability to change homes and buy/sell property with ease. Thus, the city is made
inclusive by virtue of socio-economic mobility, mixed uses, shared public spaces, public
transportation and so on. Notice the contrast with the earlier approach that saw urban poverty and
inclusion in static terms.

The obvious question that arises is: who and how will we apply the new approach? In the absence
of a mechanical set of codified steps given from the top, there has to be much greater emphasis on
developing a vision at the local level and a unified urban leadership that can implement it. An
important ingredient will be the ability of the individual cities to leverage local resources (land,
tourist sites, property tax, parking/advertising space) to gain a degree of financial independence.
All of this will require rethinking urban administration. Many successful models exist at national
and international levels that can be emulated. The constitutional framework already exists and
different states can use the framework to resolve this issue in their own way. Again, the NUPF 2018
has refrained from being too prescriptive.

Two further issues will need to be considered – capacity and transition. The old approach had one
big advantage in that it provided a set of top-down text based codes that required no more than
draftsmanship to plan and to enforce an outcome, no matter how sub-optimal. The new approach
needs much more active engagement, institutional memory and deeper understanding of the
evolving dynamics of the city. The local state/municipal authorities will now have to think about
how to manage the city real time rather than follow some pre-existing codes or rigid master plans
given from the top. Vision, monitoring and feedback loops matter in this new approach. This
requires design capacities that will be scarce in most cities, especially smaller ones. This is why the
union government Budget 2018-19 proposed the establishment of 18 new schools of planning and
architecture (as autonomous institutes within the IITs). The state/municipal governments now
need to find ways to upgrade their urban planning functions to become the designers of a
sustainable and inclusive urban future.

NUPF 2018 does not expect urban authorities to shift overnight to the new approach. The sudden
removal of existing codes and master plans may not be advisable, as this would create a governance
vacuum. It will take many years for the new organic, decentralized framework to replace the old
urban planning and architectural approach stuck in mid-twentieth century “modernism”.
Nonetheless, by laying out a clear set of principles, it is hoped that it creates a way for the new
thinking to gradually permeate urban planning and management across India. Urban evolution
takes place slowly but, once embedded, its impact can remain in place for decades or even centuries.
Therefore, a systematic and sustained effort to spread the philosophical principles and embed them
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in our urban thinking will pay rich dividends in the long run. A beginning has already been made
through the HRIDAY and Smart City missions where individual cities have been asked to create a
bottom-up vision for themselves. As urban communities and municipal managers get used to
thinking about issues and solutions in a context-based way, we will be able to finally grapple with
India’s urban problems.

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