Enablers for TOD

Success of any Transit Oriented Development depends on the effective use of implementation mechanisms for land-use planning, land value capture and travel demand management. By shaping the components of a TOD, these enablers link it with the larger city planning processes and goals. As seen in the global practices, enabling mechanisms are of three types – Land-Use Planning Mechanisms, Process Mechanisms and Financial mechanisms.

Land-Use Planning & Design Mechanisms

It includes land-use master plan, overlay plans, influence zone plans, comprehensive mobility plan and other planning and visioning documents which outline a city or region’s plan for growth in the future. The significance of these documents is three fold. First, they present a city’s vision for long term growth and development, second, they outline the land-use and mobility structure of the city and third, they are legally binding in nature and they regulate development. Through a land-use document, a city can establish a statutory framework for the implementation of a development project. This also means that the projects are developed, allowing room for necessary adjustments across the city.
A Master Plan is critical in implementation of a Zonal plan or other mechanisms including Land Assembly under Town Planning Scheme. An example would be the Master Plan of Delhi 2021. Its language enables the preparation of a comprehensive redevelopment scheme for the influence area of an MRTS stations. Initially, the draft MPD-2021 proposed that the influence zones of MRTS stations be further classified into three zone categories with certain location thresholds (Hiroaki Suzuki, 2015). But this strurcture of the influence zone has been changed to into a continuous area within 500 m depth on either side from the center line of MRTS in MPD 2021 TOD Gazetted Notification in July 2015.

Delhi’s use of influence zone is similar to San Diego’s 1992 ordinance which created Urban Village Overlay Zones to promote compact infill development around the transit nodes (trolley stops) (Bhishna Bajracharya, 2005).

Form Based Codes are documents which define the physical shape and design of a built form. These are useful tools in preserving the heritage and culture of a historic neighbourhood. It can also be used to preserve commercial facades, define building envelopes and to in general preserve the activity in a given public space.

Land-Use Planning and Design Mechanisms are important tools in the process of developing a TOD as they provide the statutory framework necessary for various changes in land-use, densities and design of the TOD. Appropriate land-use and design mechanisms may even act as a prerequisite for the process mechanisms. Delhi and Ahmedabad demonstrate this by creating policies for moving the process forward. In reality

though policies which can be restrictive for a long period of time (through master planning exercises) and infact discourage higher density living. Hence having a framework that gives the flexibility to city managers to guide the development is undoubtedly a practical approach. Singapore and Hong Kong exemplify this approach by varying their densities, floor space index in response to market demand on an ongoing basis (Bertaud, 2014).

Process Mechanisms

They are mostly command and control tools and economic instruments which mobilise the projects of all sizes and shapes. These mechanisms include land assembly, transfer of development, establishment of partnerships between local jurisdiction, transit and other regional agencies along with the private sector. Land assembly is among the most complex of processes and a critical step in the densification of a neighbourhood. For the most part, land assembly in India has been conducted through two methods – land acquisition (based on the principle of Eminent Domain) and land pooling and readjustment. Eminent Domain refers to the power of the state or public planning authorities and development agencies to acquire land (with appropriate compensation) for the purpose of public use.

Land Acquisition can enable rapid availability of adequate amount of land for development, provided most of the owners agree for sale. It provides almost a clean slate for the new master plan for the assembled land as the value of the land appreciates, it provides opportunity for the development authority to accrue the benefits (Ballaney). One of the acts governing the process of land acquisition is the Land Acquisition Rehabilitation and Resettlement Act of 2013.

Urban Growth Boundary

Urban Growth Boundary, as in case of Portland, is a mechanism for managing growth. The Metro Council in 1995 suggested “concentrating development in urban growth boundaries, with some extent of satellite development”. On its basis, Portland prepared its growth management strategy called “2040 Growth Plan” which features a tight Urban Growth Boundary focusing growth in transit centres and corridors, and asks local governments to limit parking, and adopt zoning and comprehensive plan changes to be consistent with the plan.

Land Acquisition faces multiple barriers as listed below:
• Land title disputes
• Proving legitimacy of public use
• Displacement of land owners and loss of livelihood
• Compensation delays and disputes
• Development and redistribution of land
• Hold outs for speculation
• Poor capture of the appraisal of land value by the land owners after development
• Low participation of land owners in the decision making process, particularly when public use has been legitimately established.

As a result, land readjustment and pooling techniques are being used in many parts of the country as an efficient alternative. One of these is a Town Planning Scheme or TPS. A Town Planning Scheme adopts a different approach by engaging the land owners with the development authority for the planning process. In this land pooling/readjustment method, the development authority prepares a master plan for the given area, lays out the infrastructure and distributes the remaining land back to the land owners. There is no land acquisition in the process. Instead, the land owners are charged a betterment fee to pay for the infrastructure development. This allows the land owners to benefit from the appreciation of the land value and enables them to retain their livelihoods. It also means the method can be long and complicated. The method been successfully used in development of Magarpatta, Pune and in Gujarat for development of Sardar Patel Ring Road in Ahmedabad, Outer Ring Road in Surat, BRTS in Ahmedabad, Rajkot, Vadodara and Surat. Land Pooling is used in different countries, including Australia and Finland (I.P.Gautam, 2012).

Transfer of Development Rights is another land readjustment technique. It enables the planners to direct additional development as required, along with improvements to infrastructure, using finances generated through the process. Transferable Development Rights (TDRs) are essentially the rights to develop built space on land that can be transferred (Nallathiga, 2014):
I. horizontally from one location to another location (ex situ), or
II. vertically from surface to above or below (in situ)
Each piece of land has a potential for development defined by the property zoning, land-use and development control regulation (Nallathiga, 2014). The differential development
potential of land can be utilised in a positive manner to preserve certain land-uses which are required to be kept with little or no development on site; while at the same time, this unutilised development potential needs to be tapped for beneficial use in other sector – such as residential housing (Nallathiga, 2014). TDRs essentially serve as a mechanism to achieve this objective. In case of Mumbai, the TDR program was initially started with the intention of acquiring land for public amenities i.e., reservations such as green spaces, gardens and playgrounds, and for road construction. In addition, the award of TDR was also made applicable to plot/land owners if they construct/develop the public amenities (or, planned reservations) as per the rules under DCR. The TDR scheme was later extended to achieve other purposes of city development like slum housing, conservation of built heritage, and even for the development/provision of public amenities that were otherwise to be provided by the MCGM (Nallathiga, 2014).
The challenge in the land assembly processes is the capture of the land value which increases with the improvements made to the land. There are different mechanisms that can capture thisvalue, which fall into the category of financial mechanisms.

Financial Mechanisms

They are of two kinds: the first involves mobilisation of financial resources (which includes capture of land value) and the second involves use of financial tools to enhance quality of life within a TOD through behaviour change. Traditionally, financial resources come from either the central or state government sponsored schemes, such as JnNURM, through land monetisation driven EPC or PPP or through land value capture. EPC and PPP are driven through debt servicing or partnership equity. Land is also a major financial resource which can fund development. Its value can be captured in two ways- monetisation through sale or land and/or air rights or by capture of financial value accrued by the improvement of transit, quality of life and comfort. Any improvement to a transit system leads to a direct increase in the value of the land due to improved accessibility, infrastructure, service delivery and quality of life.
Monetisation of land in also seen in some TPS schemes in Gujarat where a small portion of land is acquired from the owner in exchange of providing infrastructure services instead of charging a betterment fee. This land is then assembled and either used for the infrastructure provision or sold to generate funds for financing the infrastructure improvements and other development.
Value capture is distinct from the user charges or fees that agencies collect once services start being delivered on the infrastructure. Value capture relies more on the intrinsic accretion of value increase in the location of the private land once public infrastructure is implemented in its vicinity. Different ways of capturing land value in India include – Land value tax, Fees for changing land-use, Land Value Increment Tax, Area based Development Charges, Value based Development Charges, Transfer of Development Rights and Incentive FSI, Premium on relaxation of rules or additional FSI, Charges for regularisation of unauthorised development, Land
Urban Growth Boundary
Urban Growth Boundary, as in case of Portland, is a mechanism for managing growth. The Metro Council in 1995 suggested “concentrating development in urban growth boundaries, with some extent of satellite development”. On its basis, Portland prepared its growth management strategy called “2040 Growth Plan” which features a tight Urban Growth Boundary focusing growth in transit centres and corridors, and asks local governments to limit parking, and adopt zoning and comprehensive plan changes to be consistent with the plan.

Giving teeth to the guidelines

Cities often have guidelines or advisory documents instead of regulations and policies in many cases. Guidelines are simply recommendations which should be implemented, but they are not mandatory. One of the simplest examples here is the case of street guidelines, which have been developed in many cities across the country(including Delhi and Chennai), yet they carry little weight due to their advisory nature. Area Based Development within a Smart City Proposal or a city’s Transit Oriented Development Policy, present an opportunity to turn such advisory documents into regulations and policies. Bhubaneswar has proposed this in its Area Based Development, where it is implementing a complete streets policy to diversify its mode share.

Acquisition and Development and Town Planning Schemes.
The second part of financial mechanisms is the use of financial tools for bringing about a change in the user behaviour. Using congestion fees in a CBD area, or enforcing high on-street parking prices would be an example of de-incentivising use of cars in a dense walkable neighbourhood. Implementing subsidies for public transit fare, or implementing single fare system are examples of financial incentives for using public transit. An example of this is Pune’s draft for public parking policy, where it is proposed use of parking cost as a tool to discourage car use and promote transit ridership and walking.
All these mechanisms work at different stages of building a transit oriented development. From assembling land to implementing parking policies, each of them depend on the institutional capacities of various city agencies and departments. The purpose of the enablers is to mobilise the development process. Many of these mechanisms take time and coordination of various other processes. Thus, they need a comprehensive and proactive approach to ensure success.


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Citizen Engagement Strategy for a Smart City

Public reasoning includes the opportunity for citizens to participate in political discussions and influence public choice. (…) While democracy must also demand much else, public reasoning, which is central to participatory governance, is an important part of a bigger picture.”      —Amartya Sen (2005)

According to the Smart City Plan (SCP) of  Smart Cities Mission, the process for planning the Smart City commences with the self assessment of the city, preparation of the city profile and thereafter progresses to intense citizen engagement at multiple levels in the city using different means. The SCP says, ‘a sound engagement strategy should involve better communication by government, soliciting feedback for problem identification, co-creating solutions and involving local citizen champions, while ensuring the active participation of various groups of people, such as youth and students associations, welfare associations, tax-payers associations, senior citizens, special interest groups, slum dwellers and others.’ The evaluation criteria of SCP at Stage II of Smart Cities Challenge loudly announces the significance of citizen engagement. 16 points out of 100 at this stage is devised for citizen engagement, split up as 10 points in creating city vision and developing strategic plan, 5 points in proposal for area based development and 1 point in proposal for pan city solution.

While it is beyond argument that a sound citizen engagement can create an ownership of the plan among citizens and hence make implementation of the same easier, it is also true that citizen engagement if not done in an effective manner can only delay development and yield no productive results. Therefore, it is required that the right method of engagement be deployed at the right time to the right people to avail the full benefit of citizen engagement in any smart city. This within the very short time frame of Smart Cities Mission is a challenge for  the city authorities. Hence, the activity of strategic planning and comprehensive citizen engagement is expected to be widely held beyond Smart City Mission in coming years. Foreseeing this, CIDCO Smart City Lab has developed a strategy for citizen engagement which can help city authorities guide the activity in their city.


Citizen Engagement in SCP Framework
In the SCP, the profiling of the city is the basis for selecting the appropriate techniques and the target groups for the engagement strategy. The profiling should thus arrive at a detailed demographic profile of the city, identifying various groups of people, whose aspiration for their city may be different. This profiling is necessary so as to identify the target groups for engagement and also to ensure representation of various groups in the different rounds of engagement process. As rightly stated in the SCP, citizen engagement provides support for projects and reduces potential conflict by ensuring that the projects meet the most urgent needs of the communities. It provides the opportunity to co-create the smart city by collectively identifying creative and innovative solutions to common urban challenges, thereby creating a significant sense of ownership among the citizens.

SCP mandates citizen engagement at three stages-  visioning the smart city, identifying area based development and pan city solutions, and implementation of the area based development proposal and pan city solution. Though participation of maximum number of citizens is expected, the scope, mode, extent and other particulars of citizen engagement is left to the liberty of the city authorities such that each city may deploy its most effective strategy.

cidco_nl3-13Citizen engagement strategy developed at CIDCO Smart City Lab is illustrated in the diagram on the next page. International Association for Public Participation (IAP2) identifies five forms of engagement, which are, inform, consult, involve, collaborate and empower. A simplification of the same is attempted here by regrouping these five into three broader categories namely, (i) information: one way communication of city authorities to citizens, (ii) direct participation: engagement in terms of two way communication or collaboration of city authorities with citizens directly, and (iii) indirect participation: engagement in terms of two way communication or collaboration of city authorities with representatives of citizens. These three categories at various stages have varied purposes, as elaborated in the diagram. Within the framework defined by SCP, the comprehensive strategy, as described under, deploys the various forms of citizen engagement at various stages so as to yield the best outcome. The strategy proposed here is most suitable for SCP, while it can also be absorbed with suitable modifications in any city or area development exercise.


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Suzana Jacob

Suzana Jacob holds a master’s degree in Urban Planning from National Institute of Technology, Nagpur and a bachelor’s degree in Civil Engineering from Cochin University. Prior to joining NIUA, she worked as a research assistant for a project on Cluster level sustainability of Nagpur City and also as a Lecturer in Department of Architecture and Planning at National Institute of Technology, Calicut.
During her tenure in Calicut she was associated with an independent international research on ‘Smart Economy’. Her research interests include anthropology, social planning, housing, urban finance and urban land management.

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Rewa Marathe

Rewa Marathe is an urban planner and architect. She has a bachelor’s degree in architecture from Rajiv Gandhi Technical University (Bhopal) and master’s degree in City and Regional Planning from Rutgers University, New Jersey.
Before joining NIUA, she worked with the Regional Plan Association in New York City, Rutgers Center for Green Building and Alan M. Voorhees Transportation Center. Her research interests include data visualisation, geo-spatial & statistical analysis, safety in public spaces, access to transit, sustainable mobility and active living.

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Dr. Debolina Kundu

Dr. Debolina Kundu is an Associate Professor at the National Institute of Urban Affairs, New Delhi, India and has over 20 years of professional experience in the field of development studies. She has a Ph.D degree from Jawaharlal Nehru University, New Delhi. She has been a doctoral fellow with the ICSSR and post-doctoral fellow at the Local Government Initiative, Hungary. She has previously been engaged as a consultant with several national and international organizations, including IIDS, UNDP, UNESCAP, KfW Germany, GIZ, Urban Institute, Washington etc. on issues of urban development, governance and social exclusion.
She was the coordinator of JNNURM Reform Appraisal for eight states. At present, she is in charge of the Data Centre and HUDCO Chair activities at NIUA, coordinating a project on ‘Internal Migration in India’ and working as an urban specialist for the ADB  supported Knowledge Hub for South Asia. She is the editor of the journal Environment and Urbanisation, Asia. She has a large number of articles published in books and journals of international and national repute with Sage, Oxford  and other leading academic publishers.

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Dr. Pradnya Saravade IPS

Dr Pradnya Saravade, an Indian Police Service Officer of the 1989 batch, is currently posted as the Chief Vigilance Officer of City and Industrial Development Corporation, Maharashtra Government. In this role, she handles risk management, internal integrity, safety and security services, in addition to the planning and execution of development of support area around Jawaharlal Nehru Port Trust.

Earlier, she worked as Inspector General of Police, in charge of planning, procurement and modernization in Maharashtra Police HQ during 2012-14. She was Executive Director, Securities and Exchange Board of India (SEBI), heading SEBI’s investigation team for 3 years, dealing with securities market manipulations and insider trading.

She was Additional Commissioner of Police, Anti Corruption Bureau, Mumbai between 2005 to early 2008. In this position, she spearheaded M-PAC, a Public Private initiative of ACB, creating a platform for civil society’s participation in the fight against corruption, through NGOs and individuals.

She was posted as the Deputy Commissioner of Police, Enforcement, in May 2003 and was responsible for control of human trafficking in Mumbai city, investigation of intellectual property offences and cyber crimes. She also headed the Cyber Crime Investigation Cell of the Mumbai Police. In that capacity, she organized week-long public awareness campaigns to raise awareness about cyber security, called Cyber Safety Week, in 2003 and 2004. She created Mumbai Cyber Lab, a joint initiative of Mumbai Police and NASSCOM, which is a resource centre for cyber crime investigations.

She joined the Mumbai Police in the year 2000 and looked after the Preventive wing of the Crime Branch. She was the prime mover for the Crime Prevention Week organized by Mumbai Police in December 2000. She was posted as DCP, Port Zone in Mumbai in March 2001 and worked on areas of vital installations security and community policing in slum areas.

Dr Saravade served on deputation with the Central Bureau of Investigation for four years, supervised investigation and prosecution of major bank fraud cases, including India’s first mega-fraud, called the Harshad Mehta scam. Earlier, she served in West Bengal (1990-96) handling local policing at Kalyani, security of Kolkata airport and administration of North 24 Parganas district police.

She was awarded the Indian Police Medal for Distinguished Services. She studied at Grant Medical College in Mumbai and holds degrees of MBBS and MS (General Surgery).She writes an occasional blog on policing issues at https://pradnyanblog.wordpress.com/

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Ms. V Radha IAS

Mrs. V Radha is an IAS Officer of Maharashtra Cadre with 20 years of experience in serving at various senior levels in the Government of Maharashtra and Government of India. Since May 2014, she holds the office of Joint Managing Director of City and Industrial Development Corporation Ltd (CIDCO Ltd)

Prior to her posting as the Joint Managing Director at CIDCO, she held the post of Assistant Collector, Nagpur in 1996, where she looked after land revenue and management. She has worked as Member Secretary, CEO, Mumbai in 1998 and has planned various urban development projects and in the year 1999, she also executed various rural development projects.

Later in the year, 2001-2004, she held the post of Collector, at Aurangabad and worked on land revenue management and district administration. She also worked as Associate Professor at Yashada from the year 2004-2007.

After her success in urban development projects, she was honoured with the post of Deputy Municipal Commissioner in 2007, MCGM wherein she developed concrete plans in Urban Development Area. In the year 2009, she was bestowed with Vice Chairman and MD of Youth Affairs, Tourism and Cultural Development of Hyderabad and State Project Director, Maharashtra Prathamik Shikshan Parishad. In the year 2012, she took up Mid Career Programme for IAS Officers.

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