JOINTLY

PUBLISHED
COURSE
MATERIAL

POST GRADUATE DIPLOMA

IN URBAN ENVIRONMENTAL
MANAGEMENT AND LAW
COURSE MATERIAL
© Robin Darius / Felis
POST GRADUATE DIPLOMA IN
URBAN ENVIRONMENTAL
MANAGEMENT AND LAW
June, 2020

© CEL, WWF-India & National Law University Delhi 2020

All rights reserved. No part of this publication may be reproduced, distributed, or transmitted in
any form or by any means, including photocopying, recording, mimeograph or other electronic or
mechanical methods, without the prior written permission of the copyrighters, except in the case
of brief quotations embodied in critical reviews and certain other non-commercial uses permitted
by copyright law.

BLOCK WRITERS
Unit Preparation

Centre for Environmental Law (CEL), WWF-India

Unit Content Update

Ashutosh Senger, Advocate

CEL, WWF India Interns (2019-2020)

Course Advisor & Editor

Ms. Moulika Arabhi Samraansh Sharma

CEL, WWF-India CEL, WWF- India

Course Data Manager Database Assistant

Sandeep Sharma Jai Prakash Singh

CEL, WWF - India CEL, WWF - India

Laser Composition

Tessa Media & Computers

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

Disclaimer: “Maps are not to scale. The maps are solely a representation of real-world conditions
and are made available to the Recipient for information purposes only”.
Justice Madan B. Lokur A-26, First Floor
Former Judge Gulmohar Park
Supreme Court of India New Delhi-110049
Tel.: +91 11 42484424

5th July,2020

Foreword

We are presently facing the greatest threat to the environment than at any time before.
On land, the threat to forests, wildlife and rivers is real with trees being cut down by
millions, wildlife species getting extinct virtually on a daily basis and rivers drying up or
getting extinct virtually on a daily basis and rivers drying up or getting so polluted that
marine life is finding it difficult to survive. In the seas and oceans, plastic, chemicals
and other trash have adversely impacted fish, sea birds, mammals and even bleached
coral reefs. All these, of course, have an impact on the quality of human life but we are
more directly concerned with the air we breathe which is so polluted that a very large
number of us are having ailments such as asthma, bronchitis and emphysema, among
other ailments.

In this background, the Postgraduate Diploma courses offered by WWF-India and National
Law University, Delhi are most welcome. The range of topics is vast, as one can imagine,
and includes not only issues of law but policy, management and ecotourism. The approach
is holistic as indeed it should be but more importantly, it is not just theory that will be
taught but practical problems and concerns will be discussed and addresses. We cannot
repair the damage to the environment by merely talking about it, we have to go to the
trouble spots and take affirmative action. The environmental law and other related
programmes will motivate you to assist in preserving and protecting Nature for the
benefit of all of us.

On my part, I urge you to take up the challenges facing us and find appropriate solutions
so that every living organism survives the onslaught unleashed by humanity.

(Justice Madan B. Lokur)

e-mail: madanlokur@hotmail.com
 Preface
It is our privilege, on behalf of the WWF India and National Law University, Delhi, to
introduce The Post Graduate Diploma in Urban Environmental Management and Law
(PGDUEML) Course Material. The Course Material is a reference book, providing
comprehensive and definitive coverage on the dynamic subject – Urban Management,
Environmental law and policy. The course material is organised into five courses from
Urban Governance, Laws and Policies pertaining to Environment and Urbanisation, Urban
legal and policy framework, Urban development, Environmental protection and
sustainable management. Each course probes into key elements of law and policy,
essential concepts and includes research on thematic areas written by various national
and international urban and environment experts. The Course Material is extensive and
will guide course students/participants to develop foundational, historical and technical
knowhow about the subject.

The PGDUEML Course Material, is a challenging and ambitious undertaking as it covers

around fifty units providing an in-depth coverage on specific topics of urban management
and environmental laws. Focusing on the intersectionality of these two distinct subjects
we hope to effectively highlight the importance of their mutual implementation.

Based on the research articles and book readings in the Course Material, we are confident
that the Course Material will serve as a valuable resource of reference for Post Graduate
Diploma students, urban planners, architects, scholars, professionals, policy makers and
other interested readers who may refer to the content.

All the best with the Course and happy reading.

WWF India and National Law University, Delhi PGD Courses Team.
COURSE 1: INTRODUCTION TO URBAN GOVERNANCE - CONCEPTS
AND PRACTICES
BLOCK 1 UNDERSTANDING THE URBAN SOCIETY

Unit 1 What is Urbanisation? 11

Unit 2 Challenges of Urban Societies 29

Unit 3 Urbanisation in Globalising 21st Century Recent Trends 44

BLOCK 2 TRENDS IN URBANISATION

Unit 4 Multi-faceted Ramifications of Urbanisation 59

Unit 5 Multiculturalism in Urban Society 85

Unit 6 Urban Infrastructure - Basic Services 99

BLOCK 3 SUSTAINABLE URBAN DEVELOPMENT

Unit 7 Sustainable Urban Development: Theory and Practice 113

Unit 8 Sustainable Development and Environmental Governance 129

Unit 9 Project and Process Management for Sustainable Urban 142

Development

COURSE 2: LAW AND POLICIES PERTAINING TO ENVIRONMENT

BLOCK 4 ENVIRONMENTAL LAWS AND POLICIES
Unit 10 Concept of Law and Policy 157
Unit 11 Environmental Law and the Indian Constitution 170
Unit 12 Major Laws and the Environment 192
BLOCK 5 NATIONAL ENVIRONMENTAL LAWS
Unit 13 Water and Air Legislations 217
Unit 14 Environment Protection Act, 1986 245
Unit 15 Ecology Conservation and Environmental Governance in 263
Urban Areas
BLOCK 6 ENVIRONMENTAL LIABILITIES
Unit 16 Criminal Wrongs and the Environment 312
Unit 17 Law of Torts, Civil Wrongs and the Environment 331
Unit 18 Strict and Absolute Liability 352
 COURSE 3: LAW AND POLICIES PERTAINING TO URBANISATION
BLOCK 7 URBAN LAWS AND POLICIES

Unit 19 Urban Laws and the Indian Constitution 369

Unit 20 Government Plans and Schemes for Urbanisation 383

Unit 21 Urban Development Policies in India 397

BLOCK 8 URBAN PROPERTY AND LAND USE MANAGEMENT

Unit 22 Country and Town Planning 424

Unit 23 Land Use Policy 434

Unit 24 Land Consumption and Community Development 469

BLOCK 9 OTHER URBAN REGULATORY FRAMEWORKS

Unit 25 Urban Population Management 494

Unit 26 Urban Health and Sanitation 508
Unit 27 Urban Poverty Management 534

COURSE 4: URBAN LEGAL AND POLICY FRAMEWORKS

BLOCK 10 INFRASTRUCTURE AND RESOURCE MANAGEMENT

Unit 28 Green Zones, Landscaping and Green Buildings 547

Unit 29 Urban Transportation System 579

Unit 30 Conservation of Heritage Buildings 595

BLOCK 11 PUBLIC SERVICES MANAGEMENT

Unit 31 Urban Natural Resources 631

Unit 32 Managing City Waste: Solid Waste 647
Unit 33 Managing City Waste: Biomedical Waste 665

BLOCK 12 DISASTER MANAGEMENT

Unit 34 Introduction to Managing Disasters 683
Unit 35 Environmental and Human Rights Issues 698
Unit 36 Disaster Management: Practices and Response Mechanisms 726
 COURSE 5: URBAN DEVELOPMENT AND ENVIRONMENT
PROTECTION MECHANISMS
BLOCK 13 URBAN DEVELOPMENTAL PROJECTS AND ENVIRONMENT

Unit 37 Introduction to Urban Developmental Projects 753

Unit 38 Infrastructure Projects and Environment 764

Unit 39 Good Governance: Best Practices 772

BLOCK 14 COMMUNITY DEVELOPMENT

Unit 40 Decentralisation: Empowerment of Local People 783

Unit 41 Challenges and Initiatives in Community Development 796

BLOCK 15 EMERGING URBAN MODELS

Unit 42 Introduction to New Models of Environmental Conservation 806

Unit 43 Challenges and Implications 831

 COURSE 1:
INTRODUCTION TO URBAN
GOVERNANCE - CONCEPTS AND
PRACTICES
 UNIT 1
WHAT IS URBANISATION?
Contents
1.1 Introduction 11
1.2 Features of Urbanisation 14
1.3 Types of Urban Areas 20
1.4 Urbanisation in India 25
1.5 Conclusion 27
1.6 References and Recommended Readings 28

1.1 Introduction
Urbanisation is the physical growth of urban areas. It can be defined as the rapid and
massive growth of, and migration to, large cities resulting in both positive and negative
consequences.
Urbanisation is also defined by the movement of people from rural to urban areas with
population growth equating to urban migration. Hence, it is the increase over time in
the population of cities in relation to the region’s rural population.
It would be interesting to note that the term ‘urbanisation’ can represent a level of urban
population relative to total population of the area as well as the rate at which the urban
proportion is increasing. Thus, Urbanisation can result from either:
♦ an increase in the extent of urban areas
♦ an increase in the density of urban areas
In terms of a place, Urbanisation means increased spatial scale and/or density of settlement
and/or business and other activities in the area over time. The process could occur
either as natural expansion of the existing population (usually not a major factor since
urban reproduction tends to be lower than rural), the transformation of peripheral.
However, regardless of the playout of the actual phenomenon, it is a widely accepted
fact that urbanisation has intense effects on the ecology and economy of a region.
To gain a better understanding of the term ‘Urbanisation’, it is very essential to know
and understand the meaning of some related terms:
1) Urban - The origin of term urban can be traced back to the early 17th century. It has
been derived from Latin word urbanus, which has in turn been derived from urbs or
12 Introduction to Urban Governance - Concepts and Practices

urb meaning ‘city’. The Oxford dictionary defines urban as one that is located in or
has characteristic of a city or city life.
City - A city is a relatively large permanent settlement1. Cities generally have
advanced infrastructure and complex systems for sanitation, utilities, land usage,
housing, transportation, etc. The concentration of development greatly facilitates
interaction between people and businesses, benefiting both parties in the process.
A big city usually has associated suburbs and exurbs. Such cities are usually associated
with metropolitan/ municipal areas and urban areas, creating numerous business
commuters travelling to urban centres of employment.
2) Suburb/Suburban Area - Suburb mostly refers to a residential area, usually outside
administrative boundaries of a city. In some cases, they may be the actual residential
areas of a city within the municipal limit itself. But most often than not, they are
separate residential communities within commuting distance of a city. Some suburbs
have a degree of political autonomy, and most have lower population density than
inner city neighbourhoods. The concept of suburbs, though old, became popular in
the 19th and 20th century as a result of improved public transport such as road and
rail. Normally, suburbs tend to proliferate around cities that have an abundance of
adjacent flat land. Any particular suburban area is referred to as a suburb, while
suburban areas on the whole are referred to as the suburbs or suburbia, with the
demonym being a suburbanite.
3) Exurb - The expression exurb (for “extra-urban”) was coined by Auguste Comte
Spectorsky in his 1955 book The Exurbanites to describe the ring of prosperous
communities beyond the suburbs that are commuter towns for an urban area 2. It is
a non-rural development that is within a metropolitan area, but outside the urban
area. Most exurbs serve as commuter towns and typically have average incomes
much higher than nearby rural areas. Depending on local circumstances, some
exurbs have higher poverty levels than suburbs nearer the city.
4) Urban Area - An urban area is characterised by higher population density and vast
human features in comparison to areas surrounding it. Urban areas may be cities,
towns or conurbations3, but the term is not commonly extended to rural settlements
such as villages and hamlets. Urban areas are created and further developed by the
process of Urbanisation. Measuring the extent of an urban area helps in analysing
population density and urban sprawl, and in determining urban and rural populations.
5) Urban Sprawl - Urban sprawl is the irresponsible, and often poorly planned urban
development that destroys green space, increases traffic, contributes to air pollution,

1
Kuper, A. and Kuper, J., eds (1996) The Social Science Encyclopaedia. 2nd edition. London Routledge.
2
Spectorsky, Auguste C. (1955). The Exurbanites. Lippincott, Philadelphia.
3
The National Capital Region (NCR) is a Tri-state region and an example of conurbation. NCR is a
conurbation or metropolitan area which encompasses the entire National Capital Territory of Delhi as
well as urban areas ringing it in neighbouring states of Uttar Pradesh, Haryana and some portions of
Rajasthan. With a total area of about 33,578 km2 (12,965 sq. mi) it has an estimated population of
21,961,994 in 2007.
Understanding the Urban Society 13

leads to congestion with crowding and does not contribute significantly to revenue.
Increasingly, the impact of population growth on urban sprawl has become a topic
of discussion and debate.
To explain the definition of Urban area and Urbanisation more clearly, let us examine
the following phrases provided by United Nations Statistics Division. The United Nations
Demographic Yearbook: Population Density and Urbanisation, states:
“Because of national differences in the characteristics that distinguish urban from rural
areas, the distinction between the urban and the rural population is not yet amenable
to a single definition that would be applicable to all countries or, for the most part, even
to the countries within a region. Where there are no regional recommendations on the
matter, countries must establish their own definitions in accordance with their own
needs.
The traditional distinction between urban and rural areas within a country has been
based on the assumption that urban areas, no matter how they are defined, provide a
different way of life and usually a higher standard of living than are found in rural areas.
In many industrialised countries, this distinction has become blurred and the principal
difference between urban and rural areas in terms of the circumstances of living tends
to be a matter of the degree of concentration of population. Although the differences
between urban and rural ways of life and standards of living remain significant in
developing countries, rapid Urbanisation in these countries has created a great need for
information related to different sizes of urban areas. Hence, although the traditional
urban-rural dichotomy is still needed, classification by size of locality can usefully
supplement the dichotomy or even replace it where the major concern is with
characteristics related only to density along the continuum from the most sparsely
settled areas to the most densely built-up localities.
Density of settlement may not, however, be a sufficient criterion in many countries,
particularly where there are large localities that are still characterised by a truly rural
way of life. Such countries will find it necessary to use additional criteria in developing
classifications that are more distinctive than a simple urban rural differentiation. Some
of the additional criteria that may be useful are the per centage of the economically
active population employed in agriculture, the general availability of electricity and/or
piped water in living quarters and the ease of access to medical care, schools and
recreation facilities. For certain countries where the facilities noted above are available
in some areas that are still rural since agriculture is the predominant source of
employment, it might be advisable to adopt different criteria in different parts of the
country. Care must be taken, however, to ensure that the definition used does not
become too complicated for application to the census and for comprehension by the
users of the census results. Even in the industrialised countries, it may be considered
appropriate to distinguish between agricultural localities, market towns, industrial
centres, service centres and so forth, within size-categories of localities.”4
4
United Nations Statistics Division which collects, compiles and disseminates data from national
statistical offices on population density and Urbanisation through the Demographic Yearbook data
collection system has compiled data population density in urban areas.
14 Introduction to Urban Governance - Concepts and Practices

1.2 Features of Urbanisation

Urbanisation occurs primarily due to economic reasons. People move into cities to seek
economic opportunities. They come to urban areas from rural areas with the aim of
improving their standard of living beyond basic sustenance.
Rural society is primarily agrarian. In rural areas, the main source of income is from
agriculture. Cities, in contrast, are believed to be places where money, services and
wealth are centralised. Hence people from typically non-urban societies identify cities
as a place where social mobility is possible.
This notion is true to a large extent as living in cities permits individuals and families to
take advantage of the opportunities of proximity, diversity, and marketplace competition.
Businesses, which generate jobs and capital, are usually located in urban areas. Whether
the source is trade or tourism, it is also through the cities that foreign money flows into
a country. To utilise such opportunities, individuals and corporates encourage
Urbanisation so as to reduce time and expense in commuting and transportation while
improving opportunities for jobs, education, housing, and transportation.
Urban society promises better basic services as well as other specialist services that
may not be found in rural areas. There are more job opportunities and a greater variety
of jobs. Health is another major factor. People, especially the elderly are often forced to
move to cities where there are doctors and hospitals that can cater for their health
needs. Other factors include a greater variety of entertainment (restaurants, movie
theatres, theme parks, etc.) and a better quality of education, namely universities. Due
to their high populations, urban areas can also have much more diverse social communities
allowing others to find people like them when they might not be able to in rural areas.
Urbanisation is an index of transformation from traditional rural economies to modern
industrial one. It is a long-term process. It is progressive concentration of population in
urban unit. Quantification of Urbanisation is very difficult. It is a long-term process of a
switch from spread out pattern of human settlements to one of concentration in urban
centres.5 It is a finite process- a cycle through which a nation passes as they evolve from
agrarian to industrial society6.
The onset of modern and universal process of Urbanisation is relatively a recent
phenomenon and is closely related with industrial revolution and associated economic
development. Historical evidence suggests that Urbanisation process is inevitable and
universal.
In his paper, ‘The Urbanisation of the human population’7, sociologist Davis Kingsley
explains about three stages in the process of Urbanisation. Stage one is the initial stage
characterised by rural traditional society with predominance in agriculture and dispersed
5
Davis Kingsley (1962) “Urbanisation in India - Past and Future”, in Turner, R. (ed.) India’s Urban
Future, University of California Press, Berkley.
6
Davies Kingsley and Golden H.H. (1954) “ Urbanisation and development in pre-Industrial Areas”,
Economic Development and Cultural Change, Vol. 3 no 1
7
Davis, K. (1965). “The Urbanisation of the human population”, Scientific American, 213(3), 41-53.
Understanding the Urban Society 15

pattern of settlements. Stage two refers to acceleration stage where basic restructuring
of the economy and investments in social overhead capitals including transportation,
communication take place. Proportion of urban population gradually increases from 25%
to 40%, 50%, 60% and so on and dependence on primary sector gradually dwindles. Third
stage is known as terminal stage where urban population exceeds 70% or more. At this
stage level of Urbanisation remains more or less same or constant. Rate of growth of
urban population and total population becomes same at this terminal stage.

If we try examining this three-stage theory proposed by Kingsley, we can see that currently
developed countries are characterised by high level of Urbanisation and some of them
are in final stage of Urbanisation process and experiencing slowing down of Urbanisation
due to a host of factors. A majority of the developing countries, on the other hand
started experiencing Urbanisation only since the middle of 20th century.

Figure 1: Share of people living in Urban Areas, 20178

There are a few features that indicate the Urbanisation process of a local area. These
features or indicators of Urbanisation are explained below in brief
1) Economic growth - In recent years, Urbanisation of rural areas has increased. Rural
economy has traditionally been agrarian. However, this is rapidly changing. More
and more traditional local services, and small-scale industries are giving way to
modern industry the urban and related commerce with the city drawing on the
resources of an ever-widening area for its own sustenance and goods to be traded
or processed into manufactures.
8
United Nations, Department of Economic and Social Affairs, Population Division (2019). World Urbanization
Prospects: The 2018 Revision (ST/ESA/SER.A/420). New York: United Nations
16 Introduction to Urban Governance - Concepts and Practices

Urbanisation is closely linked to modernisation and Industrialization. It is many a

times viewed as a negative trend, but can in fact, be perceived simply as a natural
occurrence from individual and corporate efforts to reduce expense in commuting
and transportation while improving opportunities for jobs, education, housing, and
transportation. Living in cities permits individuals and families to take advantage
of the opportunities of proximity, diversity, and marketplace competition. At the
same time, as cities develop, effects can include a dramatic increase in costs, often
pricing the local working class out of the market, including such functionaries as
employees of the local municipalities.
Prior to 1950 the majority of Urbanisation occurred in developed countries. Rapid
Urbanisation took place during the period of Industrialisation that took place in
Europe and North America in the nineteenth and early twentieth centuries. Many
people moved from rural to urban areas to get jobs in the rapidly expanding industries
in many large towns and cities. Since 1950 Urbanisation has slowed in most of these
countries and now some biggest cities in such countries are losing population as
people move away from the city to rural environments. This is known as counter-
Urbanisation.
Since 1950, however, the most rapid growth in Urbanisation has occurred in developing
countries, especially in South America, Africa and Asia. Between 1950 and 1990 the
urban population living in developing nations has doubled, whereas, in developed
countries the increase was less than half.
People move into cities to seek economic opportunities. A major contributing factor
(termed sociologically as rural fight) is that in rural areas, often on small family
farms, it is difficult to improve one’s standard of living beyond basic sustenance.
Agrarian way of life is often unpredictable as a lot depends upon everchanging
environmental conditions, and in times of drought, flood or pestilence, survival
becomes extremely problematic. In modern times, Industrialisation of agricultural
practices (or agrarian industrialisation) has negatively affected the economy of
small and middle-sized farms and strongly reduced the size of the rural labour
market. It is also a result of Industrialisation that farms become more mechanised,
putting many labourers out of work. Urbanisation and agrarian Industrialisation are
trends that are currently occurring fastest in India.
2) Migration - Rural to urban migration is happening on a massive scale due to population
pressure and lack of resources in rural areas. People living in rural areas are attracted
or ‘pulled’ to the city. Often, they believe that the standard of living in urban areas
will be much better than in rural areas. Most often than not, they are wrong. People
also hope for well paid jobs, the greater opportunities to find casual or ‘informal’
work, better health care and education.

Why do people move to cities?

Larger cities are often seen as concentrations of social problems, poverty and high
unemployment rates. Thus, an interesting question is why do people move to cities?
Understanding the Urban Society 17

Contemporary migration in developing countries arises from the attraction of the

city as compared to the rural areas from which migrants move. Migrants are attracted
by better access to public services such as electricity, clinics, schools, as well as
better prospects for recreation in cities. Thus, the ‘bright lights’ of the cities may
be a pulling factor. However, although some migrants move for these reasons,
numerous studies show that migrants respond primarily to economic incentives.
People move from poorer areas to wealthier areas for economic gain. Differences
in average income or wage levels between rural and urban areas significantly affect
migration between two locations. Economic research supports this.

According to the World Bank, the urban-rural wage gap is huge in developing countries.
An urban construction worker in Cote d’Ivoire earns 8.8 times the rural wage rate
and an urban steel worker in India earns 8.4 times the rural wage in that country.
Wages are, in turn, kept high in cities by union pressure, by strict application of
minimum wage laws or by the payment of relatively high wages by government and
foreign corporations. Thus, rural-urban migration is an example of labour market
adjustment.

If economic factors play a critical role in determining rural-urban migration, then

Urbanisation and city growth are clearly determined by those same factors.
Urbanisation and city growth cannot be analysed without giving explicit attention
to the interaction between rural and labour markets.

The incentive to stay in the urban area is that a worker improves his prospects of
high-wage employment but at the risk of being unemployed.
In other words, the urban labour market is therefore like a lottery a worker buys a
ticket (i.e. goes to the city) in the hope of hitting the jackpot (i.e. getting a high-
wage job). As with all lotteries, most people lose. Those who seek a job in the high-
wage sector but end up unemployed have three options
♦ return to the villages whence they came;
♦ stay and contribute to urban unemployment;
♦ settle for a low-wage job while waiting for the jackpot.
It seems that the majority of migrants stay. Evidence shows that rural workers
migrate to the cities even if they are unlikely to find jobs, provided that they
expect to hit the jackpot eventually by obtaining high-wage sector employment.
The incentive to wait is the large difference between urban and rural wages.

Migrants are attracted to the cities, not because they are assured of an increase in
wages, but because they gamble on being absorbed in high-wage employment and
are willing to be unemployed or accept very low wages in the urban labour market
for a period of time in the expectation of achieving a high lifetime income. However,
the chances of hitting the jackpot fall as more and more rural workers join the
ranks of the unemployed. At some point the unemployed are numerous enough to
18 Introduction to Urban Governance - Concepts and Practices

discourage additional migration in excess of the rate at which new jobs were being
created in the high-wage sector. In this way, urban unemployment acts as an
equilibrium device, eventually choking off the flow of new migrants.

In all developing countries, migration is concentrated in the 15-30 age groups, with
a substantial portion in the 15-24 sub-groups. This accords well with the view that
economic factors explain rural-urban explanation because the lifetime income gains
are largest for the young. Statistical evidence from most countries shows that the
probability of migration is generally also higher for the more educated or more
aware class of persons.
3) Increase in population - Urbanisation can describe a specific condition at a set time,
i.e. the proportion of total population or area in cities or towns, or the term can
describe the increase of this proportion over time. So, the term Urbanisation can
represent the level of urban relative to overall population, or it can represent the
rate at which the urban proportion is increasing.
Higher rate of migration to cities results in growth of population. There is also a
natural increase caused by a decrease in death rates while birth rates remain high.
Urbanisation and urban growth have accelerated in many developing countries in
the past few years. While natural population growth has been the major contributor
to Urbanisation, rural-urban migration continues to be an important factor. The
processes of Urbanisation, population growth and the nature and scale of rural-
urban migration have to some extent been shaped by gender roles and relations.
According to the World Urbanisation Prospects 2019 report, roughly two-thirds (68%)
of the planet is expected to live in urban areas9. However, this urban growth comes
with a price. As cities are predicted to edge out rural areas in more than sheer
numbers of people, poverty and urban slums are bound to amplify at mammoth
proportions. Poverty is increasing more rapidly in urban areas, and governments
need to plan for where the poor will live rather than leaving them to settle illegally
in shanties without sewerage and other services.
In Latin America, where Urbanisation occurred earlier than in other developing
regions, many countries and cities ignored or tried unsuccessfully to retard urban
growth. According to sociologists, levels of insecurity and violence in Latin America
are a product of this approach. People have been left to fend for themselves and
have created these enormous slums.
4) Social and cultural integration - As cities grow, the diversity of population grows
with it. In contemporary cities, there exists a continuous process of integration of
different cultures and societies. This interaction and communication between
different cultures provides opportunities for the cultural differences to raise as
well as the scope of tolerance and acceptance resulting in harmonious communication
and interaction between diverse groups, thereby creating the sociological
9
United Nations, Department of Economic and Social Affairs, Population Divi sion (2019). World
Urbanization Prospects: The 2018 Revision (ST/ESA/SER.A/420). New York: United Nations
Understanding the Urban Society 19

phenomenon of multiculturalism. This understanding of multiculturalism has resulted

in two different and seemingly inconsistent strategies. Firstly, the harmonious
interaction between different cultures, based on tolerance and mutual appreciation;
and secondly, promotion and maintenance of cultural uniqueness. Promotion of
cultural uniqueness might sometimes be based on cultural isolation of the local
culture of a nation or area and also contribute to global cultural diversity.
This burgeoning intergeneration of different cultures known as multiculturalism is
enhancing the fabric of societies around the world, bringing colour and vibrancy to
every city it touches. While there is still resistance to the integration of immigrants
into some of the world’s global cities, multiculturalism is an urban phenomenon
that has to be accepted as the contemporary reality. More importantly,
multiculturalism needs to be supported by local governments, to combat xenophobic
ideologies and anti-immigration policies. At the same time, it is equally true that
cities cannot continue perpetually to take whatever a newcomer can give, and in
return, offer little more than a room in a slum with a dim view of the future.
In the twenty-first century, cities are where diversity is mainly concentrated, and
were most conflicts based on multiculturalism arise, creating a rich diversity of
social, cultural, religious traditions. Cities as Rotterdam or Brussels are examples
of places were the diversity is already common, but other cities as Barcelona are
only recently facing this phenomenon.
5) Efficient services - Urban areas are ideally expected to have higher level of
infrastructural quality and higher efficiency of services. In cities are known to have
specialised civic amenities that rural areas lack, such as piped water, sewerage,
electricity, telecom services, health care, transportation, education, etc. As
mentioned before, cities are known to be places where money, services and wealth
are centralised. Hence, there is a possibility of social mobility.
Modern cities are expected to have basic services which in turn seem to guarantee
a quality life with reasonable high standards of living. Hence, cities are planned in
such a way that they have a well-developed infrastructure that include water supply
systems, sewage treatment, waste recycling, health care facilities, education, and
energy supplies, maintaining high qualities of life. Efficient transportation systems
having good roads, railway and airway connectivity services are the lifeline of a
city.
Sadly, in realty, the quality and reliability of local services are taken for granted in
highly industrialised countries, but limited access to, or poor quality of, infrastructure
services in developing countries can be major impediments to business productivity,
and major sources of frustration to the population. The poorest households in
developing countries generally cannot afford household connections of telephone
and electricity, and often only have access to primitive or communal water supply
and sewage and solid waste disposal systems. As well as reducing the quality of life
in settlements, the absence of connection to basic services makes communities
living in informal settlements particularly vulnerable to disease and epidemics.
20 Introduction to Urban Governance - Concepts and Practices

6) Resource utilisation - Urban economies are integral to the process of economic

transformation and development. Ideal cities are, rather should be, planned in
such a way that they make optimum use of resources to benefit maximum possible
persons, whether residents of that city or otherwise. Sustainable use of resources
results from innovative and effective planning and management. Cities today need
maximised alternative energy sources, including solar and wind power, thereby
reducing dependencies on fossil fuels. Land use policies encourage mixed use of
land that encourages growth of not just industries and commercial units but also
agriculture, handloom, cottage industries and Small and medium enterprises (SMEs).
Proper planning shall put workplaces near homes, minimising commuting, thereby
reducing the use of fuels. Promotion of heterogeneous mixes of housing types, from
affordable to luxury, meeting the needs of community members; and high qualities
of life through the development of civic amenities, such as green spaces and cultural
centres are the characteristics of modern city planning.

7) Growth of commercial activities - Cities are a prerequisite for the creation of a

diversified economic base capable of generating employment opportunities. Urban
growth gives rise to economies of such a scale. Industries benefit from concentrations
of suppliers and consumers which allow savings in communications and transport
costs. Large cities also provide big differentiated labour markets and may help
accelerate the pace of technological innovation. Urban growth also allows economies
of scale in such services as water supply and electric power to be exploited. Evidence
from India suggests that substantial economies of scale are found in cities of up to
150,000 inhabitants. Cities are the engines of economic growth. Though cities
concentrate poverty, but on a happier note, they also represent the best hope of
escaping it.

1.3 Types of Urban Areas

Modern cities are relatively large and permanent settlements. Although there is no
agreement on how a city is to be distinguished from a town, the distinction lies on a
purely legal basis as cities have a completely different administrative status than that
of a town. Different forms of urbanisation can be classified on the basis of their style of
architecture and planning methods as well as historic growth of areas.

In modern cities, urbanisation trend usually exhibits a concentration of human activities

and settlements around the downtown area. This is called in-migration, which typically
means migration from former colonies and similar places within the city. The fact that
many immigrants settle in impoverished city centres led to the notion of the
“peripheralisation of the core”, which simply describes that people who used to be at
the periphery of the former empires now live right in the centre.

Generally, in the urban hierarchy, villages are smaller than towns and towns are smaller
than cities. Each country has its own definition of a city or an urban area. It is difficult
to compare countries based on the per centage of urban population since many countries
Understanding the Urban Society 21

have different definitions of what size population is necessary to make a community

“urban”.

In Sweden and Denmark, for example, a village of 200 people is counted as an “urban”
population, but it takes a city of 30,000 in Japan to be classified in a similar way. Most
other countries fall somewhere in between. Australia and Canada use 1000, Israel and
France use 2000 and the United States and Mexico call a town of 2500 residents urban.

Due to these differences, we have a problem with comparisons. Let us assume that in
Japan and in Denmark there are 100 villages of 250 people each. In Denmark, all of these
25,000 people are counted as “urban” residents but in Japan, the residents of these 100
villages are all “rural” populations. Similarly, a single city with a population of 25,000
would be an urban area in Denmark but not in Japan. Japan is 78% and Denmark is 85%
urbanised. Unless we are aware of what size of a population makes an area urban, we
cannot simply compare the two per centages and say, “Denmark is more urbanised than
Japan.”

Still, the UN Statistical Division utilises data on this topic that is provided by its member
countries to release global data on urban population in the UN Demographic Yearbook
every year. The 2018 projections of the UN Demographic Yearbook project that almost
55% of the population of the world lives in urban areas10. However, this figure has been
contested by several organisations recently, including the European Commission, which
touts the figure to be at 84%11. To bring about a consensus on this classification issue, the
UN Statistics Division convened an UN Experts Group Meeting on Statistical Methodology
for Delineating Cities and Rural Areas in January 2020. The issue of evolving a common
classification system still continues.

There is considerable confusion about terms used to describe Urbanisation, especially

the term city. What follows is a compilation of the definitions of certain urban terms on
Demographia website. Some of these have been dealt with earlier, but they will be
further elaborated on over here.
♦ City generally means a municipality, which would typically have locally elected
administration such as a city council and a mayor. In some cases a city can also be
a higher-level region, such as the Ville de Paris, which is also a department; San
Francisco, which is also a county; the city of Shanghai, which is also a provincial
level administrative district, the city of Vienna, which is also a state, the city of
Berlin, which is also a lander, the city of Mumbai, which is also a region. In each of
these cases, there is a single municipality, though there may be divisions of the
municipality that have varying degrees of control over local functions (such as the
arrondissements of Paris, the municipalities of Berlin or the wards of Mumbai)
♦ Municipality/Local Authority Area: The term city might be simply the historical
core municipality (Local authority area), such as the city of Chicago or the Ville de

10
UN Demographic Yearbook- Un stats division, 2018.
11
University of Oxford article- ourworldindata.org/urbanization.
22 Introduction to Urban Governance - Concepts and Practices

Paris or any other municipality. Thus, a metropolitan area or an urban area generally
has many municipalities or cities. The Paris metropolitan area has 1,300 cities, the
New York metropolitan area more than 700 cities and the St. Louis metropolitan
area nearly 400 cities. There are few major metropolitan areas in the world that do
not contain multiple cities. No metropolitan area with more than 1,000,000
population in Western Europe, the United States, Japan, Canada, Australia or New
Zealand has a single municipal government, with the exception of Auckland in New
Zealand12.
♦ Metropolitan Area: United States, France, Brazil, India, Argentina, and Canada
formally designate metropolitan areas. Caution must also be used with respect to
the term “metropolitan”. For example, some jurisdictions within metropolitan areas
are called “metropolitan” but are only a part of the metropolitan area. For example,
Metro Manila (the National Capital Region in the Philippines) represents less than
two-thirds of the metropolitan area. The municipality of metropolitan Toronto,
Canada comprises less than one-half of the metropolitan area. Further, the term
“Greater” is often used to denote a metropolitan area, such as “Greater Los Angeles”,
“Greater Noida” or “Greater Chicago”. Again, this term is imprecise, because it is
also used in some situations to denote municipalities that are only a part of a
metropolitan area. For example, the municipality of Mumbai, which is formally
called the Municipal Corporation of Greater Mumbai, comprises approximately two-
thirds of the Mumbai metropolitan area.
♦ Central City: The central city or core city is the municipality that emerged
historically as the most prominent in an urban/metropolitan area. Almost without
exception, the name of the core city is also shared with the urban area and the
metropolitan area. For example, the metropolitan area that includes and surrounds
the city of New York is the New York metropolitan area or the New York urban area.
Usually the core city will be the largest in the urban area or metropolitan area.
However, this is not always so. San Jose, which is not a core city, is a good example
for it is now the largest city in the San Francisco metropolitan area. Usually an
urban area or metropolitan area will have many cities- the Paris metropolitan area
has more than 1,000 municipalities or communes). The core city of Chicago, with
nearly 3,000,000 residents, is just one of many cities in the Chicago metropolitan
area or the Chicago urban area.

It is, however, possible for the city to be larger than either the urban area or the
metropolitan area. Examples are Anchorage, Alaska, and the Chinese cities of
Chongqing, Shanghai, Beijing, and Tianjin. At the same time, a central city may be
relatively small in relation to the corresponding urban area or metropolitan area.
For example, according to the 2001 census, the city of Sydney had a population of
less than 50,000, out of an urban area with 3.5 million residents, while Adelaide had
a population of under 20,000, out of an urban area of approximately 1.0 million. A
core municipality usually includes the historical core. However, through annexation

12
Demographia, Wendell Cox Consultancy, 1999-2013, www.demographia.com
Understanding the Urban Society 23

and consolidation, a central city can absorb areas that are suburban in character.
This has occurred in cities such as Portland, Los Angeles, San Antonio, Toronto,
Mumbai and Rome.
♦ The Urban Core Inner City: Generally, the urban core or the inner city is in the
central city. Sometimes the urban core includes adjacent municipalities that
developed during the same period as the core city. For example, Frederiksburg is a
part of the core of the Copenhagen urban area, Hospitalet is a part of the core of the
Barcelona urban area, and Cambridge is a part of the core of the Boston urban area
core.
♦ Suburb: As has been mentioned before, suburbs collectively are the extension of
urbanisation beyond the core city (all of the urban area except the historical core
municipality and other adjacent historical municipalities). A specific suburb can be
an individual municipality or community in the suburbs.
♦ Exurban: Exurban refers to non-rural development that is within a metropolitan
area, but outside the urban area. There are two types of exurban development :
 Exurb: An exurb is a municipality (or a community) or urban area in a metropolitan
area that is separated by rural territory from the principal urban area. For
example, DeKalb and Kankakee are exurbs of Chicago. The urban areas that are
within the London metropolitan area, but outside the greenbelt, are exurbs,
such as St. Albans and Milton Keynes.
 Low Density Exurban Development: Low density exurban development is
generally large lot residential development that is not of sufficient density to
be considered urban and is not agricultural.
♦ Urban Area: It refers to an area of continuous urban development. An urban area
will virtually never be the same as a municipality. Usually it will include many
municipalities, though in the case of many geographically large municipalities, such
as Anchorage or Shanghai, the urban area will be smaller than the core city. The
Chicago urban area (population over 8,000,000) includes the city of Chicago and
many other cities.
Some nations formally designate urban areas. Hence, they are called “urbanised
areas” in the United States, “unites urbaines” in France, “urban areas” in the United
Kingdom and Canada, “urban centers” in Australia and “urban agglomerations” in
India.
An urban area can also be an agglomeration. Another term for this is a conurbation,
and they refer to an urban area that forms when two or more urban areas grow
together, as has occurred in Osaka-Kobe-Kyoto, Essen-Dusseldorf (the “Rhine-Ruhr-
Wupper”), Katowice-Gliwice (Poland), or the Washington and Baltimore urban areas,
which are converging into a single urban area. Demographia has developed the only
comprehensive list of world urban areas over 500,000 population with land area and
densities.
24 Introduction to Urban Governance - Concepts and Practices

♦ Satellite Town - Satellite cities are self-sufficient communities outside of their

larger metropolitan areas but have become interconnected due to the suburban
expansion of the larger metropolis. However, satellite cities do not rise independent
of a metropolitan government and are very much physically integrated with the
core city. In today, age, we could also say that it is impossible for a satellite city to
exist in anything like their present form if not for the suburban expansion of their
larger neighbour. Some satellite cities that are particularly close or well connected
to their larger neighbours and/or have their own historic downtown may also qualify
as the Uptown areas.
♦ Multi-polar cities: In some cases, large metropolitan areas have multiple centres of
nearly equal importance. These multi-polar cities are often referred to as twin
cities. Multi-polar cities differ from satellite cities in two keyways: firstly, satellites
are clearly much less important than the larger center around which they are located,
while the various nodes of multi-polar cities are close to each other in importance.
Secondly, satellites are separated from the larger center by a substantial belt of
rural territory, while twin cities may be fully integrated in physical form.
♦ Techno-park/Technology Park - “Technology park” is a vague term by all accounts,
used to describe a variety of efforts to stimulate the development of
“entrepreneurial, knowledge- based small and medium-sized enterprises” (or SMEs)
within a country. The term has numerous synonyms, the most common ones being
“science park”, “research park” and “technopole”. New terms are constantly arising
as these parks attempt to distinguish themselves from the considerable competition
of at least 295 technology parks worldwide.
The concept of technology parks was conceived in United States. Such areas have been
in existence since at least the early 1950s and have since spread around the world, with
new technology parks continually arising. Originally, the term “technology park” had a
very limited definition, focusing on the real estate aspect of the park concept, in which
universities typically leased real estate, office space or research facilities to businesses.
The term, however, has evolved to include a much broader range of functions, including
economic development and technology transfer.
While definitions on the subject vary widely, the term generally denotes as an area that
o is linked with educational or research institutions
o provides infrastructure and support services for businesses, particularly real estate
and office space
o performs a technology transfer function
o performs an economic development function 13
The following terms are often used interchangeably with “technology park” :
 business park
 cyber park
13
ONY TAYLOR Built Environment (1978-) Vol. 9, No. 1, Silicon Landscapes: High-technology and Job
Creation (1983), pp. 72-78.
Understanding the Urban Society 25

 hi-tech park
 industrial park
 innovation centre
 R&D park
 research park
 research and technology park
 science and technology park
 science city
 science park
 technology incubator
 technology park
 techno park
 technopole

1.4 Urbanisation in lndia

India, with a population of around 1.3 billion today, stands as the second most populous
country of the world. Given its immense population rise over the past few years, it also
occupies centre-stage in the urban population levels of the world. The 2011 Census of
the country estimated the urban population of the country to be around 377.1 million,
making up around 31.14% of the total population. The latest figures regarding urbanisation
can be found in the World Urbanisation Prospects, 2018, which estimated that 55.29% of
world population lived in urban areas in 2018 as compared to 34.03% in India in 2018. It
also placed the average annual growth rate of urban population in world is projected at
1.90 percent during 2015-20, while the same for India was placed at 2.37 percent in the
period14.
The Census of India provide several crucial definitions for understanding urbanisation.
Firstly, it defines an urban area as:
a) all places with a municipality, corporation, cantonment board or notified town area
committee, etc.
b) all other places which satisfy the following criteria:
i) a minimum population of 5,000
ii) at least 75% of male working population engaged in non-agricultural pursuits;
and
iii) a density of population of at least 400 persons per square kilometer.
It also identifies two types of towns:
¨ Census town: Places which satisfy criterion (b) above are referred to as census
towns or non-municipal towns.
¨ Statutory town: All places with criterion (a) above are called statutory towns.

14
World Urbanisation Prospects, 2018.
26 Introduction to Urban Governance - Concepts and Practices

The Census of 2011 has estimated the total number of Urban Agglomerations in the
country to be 474, up from 384 in 200115. As is evident, the country has experienced a
phenomenal rate of urbanisation in the past few years.

Rural-Urban migration is one of the strongest factors that has given rise to the current
rate of urbanisation in India. This type of migration has also given rise to several interesting
urbanisation trends- not just within the country, but also in comparison to countries
around the world. For instance, US and UK have a far higher Urbanisation level than
countries like India, China, Swaziland or Nigeria, but a far slower annual Urbanisation
rate, since much less of the population is living in a rural area while in the process of
moving to the city.

India has inherited an enormous history of urbanisation. This culture started with urban
centres like Harappa and Mohenjo-Daro (dated between 2000-4000 BC). India has gone
through many cycles of Urbanisation and rural migration. The last de-Urbanisation
happened at the start of British Colonialism during the 1800-1850 period. Cities like
Dhaka (at that time, a part of India) lost between 50 to 80 per cent of its population.
British Colonialism immediately started flooding India with its Manchester & Lancaster
wares and restricted Indian handloom weavers from competing with British goods. This
was one of the major contributing factors of de-Urbanisation during that era. Crores of
people from villages to cities (which is nearly the population of the entire USA). In 1947,
India’s urban population was 6 crores (60 million) - and in 2008, it is estimated to have
crossed 36 crores (360 million). It can be said to be the largest demographic shift in the
history of mankind - without wars, revolts or persecution. Most revolts, wars and upheavals
have been accompanied by Urbanisation. Urbanisation as the cause or an enabler of the
revolutions is a matter of debate, research and conjecture.

This kind of urban growth is unprecedented and unparalleled. It shows the tremendous
adaptability and resilience of the Indian. The Indian urban concept aspires towards
foreign idiom - and that is the problem. What Indian cities need instead, is to learn from
the home-grown examples. For instance, the Mumbai urban train transport system. For
a monthly cost of Rs.70-200, people in Mumbai can travel any number of times, in
relative discomfort. It is a safe mode of transport - unlike the legacy rail system of the
Colonial Britain, which India modernised over 35 years. Accidents on this system happen
due to its popularity - overcrowded trains. It is also profitable and devoid of subsidies.
Similar metros (not in scale or traffic though) have come up in Kolkata and New Delhi.
Delhi Metro has been by far the best example of modern infrastructure development for
a contemporary Indian city. It is a modernised version of convenient public transport in
an urban area and more evolved from its predecessor public transport systems in Kolkata
(metro and trams) and Mumbai (local trains). These are the kind of models that we need
to follow in our country. What Indian cities needs is an Indian idiom - to solve the
problems of these Indian cities16.

15
Census of India website.
16
Sanghi Anuraag, “The Urbanisation Experience - The World & India”, Current Affairs Environment,
European History, India, March 17, 2008.
Understanding the Urban Society 27

Figure 3: Some statistics on Indian cities

1.5 Conclusion
Huge and growing cities are a feature of many developing countries - it is predicted that
by early next century 22 of the world’s largest 27 cities will be in developing countries.

There are certain facts about urbanisation trends

♦ Cities have a certain lure in terms of migration of inhabitants. The main factor that
affects such migration is largely economic. People often believe that urban wages
are substantially higher than rural wages.
♦ High urban wages are maintained by minimum wage laws, union pressure and the
presence of high-wage employers (often governments and multinational
corporations) so equilibrium is reached not by the adjustment of wages but by high
unemployment.
♦ The fact that it is mostly the young and the educated that migrate supports the
economic explanation of rural-urban migration because these workers have the
most to gain in terms of lifetime earnings.
♦ Decisions to migrate to urban areas result in many external costs like pollution,
noise and congestion that occur when cities become large.
♦ In the presence of migration externalities, it is likely that there will be over-
Urbanisation.
28 Introduction to Urban Governance - Concepts and Practices

1.6 References and Recommended Readings

Brockerhoff, M. (1999) Urban Growth in Developing Countries A review of Projections and
Predictions, Population and development Review, Vol 25. No. 4, PP 757-778.
Brockerhoff, M. and Brennam, E (1998) The poverty of cities in Developing Regions,
Populations and Development Review, Vol 24, No 1, pp 75-114.
Breese, G. (1969) Urbanisation in Newly Developing Countries, Prentice Hall, New Delhi.
Davies Kingsley and Golden H.H. (1954) “ Urbanisation and development in pre-Industrial
Areas”, Economic Development and Cultural Change, Vol.3 no 1.
Davis Kingsley (1962) “Urbanisation in India - Past and Future”, in Turner, R. (ed.) India’s
Urban Future, University of California Press, Berkley.
Davis, K. (1965). The Urbanisation of the human population. Scientific American, 213(3),
41- 53.
Kundu, A (1983) “Theories of City Size Distribution and Indian Urban Structure - A
Reappraisal”, Economic and Political weekly, 18(3).
Kundu, A. 1994) “Pattern of Urbanisation with Special Reference to Small and Medium
Towns in India” in Chadha, G. K., Sectoral Issues in the Indian Economy, Har-Anand
Publications, New Delhi.
Kundu, A., Bagchi, S. and Kundu, D. (1999) “Regional Distribution of Infrastructure and
Basic Amenities in Urban India - Issues Concerning Empowerment of Local Bodies”,
Economic and Political Weekly, 34(28), July 10.
Kundu, A. Sarangi. Dash, B.P (2003) Rural Non-Farm Employment an Analysis of Rural
Urban Interdependence, Working Paper, 196, Overseas Development Institute, London.
Moonis Raza and Kundu A. (1978) Some aspects of Dysfunctional Characteristics of
Urbanisation. Socio-Economic Development Problems in South and South East Asia, Popular
Prakashan, Bombay.
Mukherji, Shekhar (1993) Poverty Induced Migration and Urban Involution in India Cause
and Consequences, International Institute for population Sciences. Pp 1-91.
Mukherji, Shekhar (1995) Poverty Induced Migration and Urban Involution in
ESCAPCountries, Paper presented at UN-ESCAP, Expert Group Meeting on Poverty and
Population in ESCAP Region, Bangkok, Sept 1995. Pg. 1-45.
Mukherji, Shekhar (2001) Linkage between Migration, Urbanisation and Regional disparities
in India Required Planning Strategies. IIPS Research Monograph, Bombay, pp. 1-226.
Nayak, P. R. (1962) “The Challenge of Urban Growth to Indian Local Government” in
Turner (ed.) India’s Urban Future, University of California Press, Berkley.
Pathak, P and Mehta, D. (1995) Recent Trend in Urbanisation and Rural-Urban Migration
in India Some Explanations and Projections, Urban India, Vol.15, No.1, pp.-17.
Understanding the Urban Society 29

Premi, M. K. (1991) “India’s Urban Scene and Its Future Implications”, Demography India,
20(1).
Registrar General (1991) Census of India, Emerging Trends of Urbanisation in India,
Occasional paper No. 1 of 1993, Registrar General, New Delhi.
Registrar General, 2001 Census of India, 2001, India, 2A, Mansingh Road, New Delhi
110011, 25th July 2001.
Sen, A. and Ghosh, J. (1993) Trends in Rural Employment and Poverty Employment Linkage,
ILO-ARTEP Working Paper, New Delhi.
Sovani, N. V. (1966) Urbanisation and Urban India, Asia Publishing House, Bombay.
United Nations (1993) World Urbanisation Prospects- The 1992 Revision, United Nations,
New York
30 Introduction to Urban Governance - Concepts and Practices

UNIT 2
CHALLENGES OF
URBAN SOCIETIES
Contents
2.1 Introduction 30
2.2 Adverse Effects of Urbanisation 31
2.3 Positive Effects of Urbanisation 38
2.4 Some Solutions 39
2.5 Conclusion 43
2.6 References and Recommended Readings 43

2.1 Introduction
Today, cities increasingly seem to have identical leisure pursuits, social relations
compatible systems of commerce, and uniformly built environments. There is plenty of
evidence that proves that all cities are fast developing characteristic convergence across
the planet. They now seem to exhibit uniform ways of life, language, architectural
styles, leisure, fashions, sports, etc.
Take for example the spread across the globe of US cultural products, such as Hollywood
films, McDonald and Subway cuisine and Coca-Cola. The spread of such products helps
explain why the beverages and entertainment has become so monotonously familiar to
any global traveller in not just the west, but in Indian cities as well.
The process of cultural integration has come about and accelerated in recent years due
to a number of factors:
♦ Technological change (ease of long-distance travel and recent developments in
communications)
♦ The influence of Multi-national companies and brand equity
♦ Global media networks
♦ The expansion in world trade
♦ International migration
♦ Cultural imperialism (colonisation influencing a uniform western culture and values)
Understanding the Urban Society 31

There are a variety of ways in which culture can be spread and be adopted or around the
globe like through the media, brand images, food, music, religion, sport, fashion, etc.
Urbanisation is a major phenomenon of the contemporary world, and an indicator of
globalisation. Although uncertainty prevails about future trends, urbanisation is an
essential but often neglected component of the demographic transition as well as
development at large. Internal migrations incepted city growth in the first phase of the
urban transition and, more recently, urban spatial expansion (informal settlements,
suburbanisation, etc.).
While natural growth has taken over in latest phase of the urban transition, migrations
remain very intense. Their patterns diversify as much as the socio-demographic
characteristics of the migrants. Circular migration between urban and rural areas, between
cities or between villages is becoming more frequent. Similarly, despite environmental
constraints and economic downturn, migrations to peri-urban areas remain important
and extend to increasingly distant areas. Internal migrations are still under-documented
and under-studied, in spite of their numerical strength, their role in Urbanisation and
population history and their socio-economic relevance for households, regions and
countries.

2.2 Adverse Effects of Urbanisation

Cities take up less than two per cent of the Earth’s land surface but are home to almost
half of the world’s population and utilise seventy-five per cent of the Earth’s resources.
In 1998 47% of the world’s population lived in cities as opposed to 29% in 1950. Moreover,
the UN Department of Economic and Social Affairs has predicted that around two-thirds
of the world’s population will be living in cities by 20501. Globalisation is leading to
increased Urbanisation. According to the World Bank urban areas in developing countries
account for more than 80% of GDP2. Urban populations mainly have greater access to
water and sanitation services, but an estimated quarter (880 million people) of those
populations live in slums or squatter settlements as of 20153. People living under those
overcrowded and impoverished conditions increases the likelihood of epidemics like
tuberculosis, diarrhoea and other contagious diseases.

The push factors like population growth and unemployment etc. and pull factors like
opportunities in the urban areas are debated in the studies of India’s Urbanisation. The
National Commission on Urbanisation (1988) has termed them as factors of demographic
and economic momentum respectively.

The effects of Urbanisation are clearly visible in Mega-cities. Mega-cities are defined as
cities with populations in excess of 10 million, and a population density of at least 2,000
people per square km. For instance, city of Lagos currently has a population density of

1
United Nations, Department of Economic and Social Affairs, Population Division (2018a). World
Urbanization Prospects 2018. Available at https://population.un.org/wup/.
2
https://www.worldbank.org/en/topic/urbandevelopment/overview
3
MDG 2015 Report, pg. 62
32 Introduction to Urban Governance - Concepts and Practices

6,871 people per sq. km. Mega-cities in the developing world are on a path to becoming
pressure cookers of inequality.

Globally, the population of megacities has grown to 529 million, and they now account
for 13% of the world’s urban dwellers. Today, the number of megacities has tripled to 33,
and most of them are in Asia, including 5 that have recently joined the group: Bangalore,
Bangkok, Jakarta, Lahore and Madras. Tokyo is the world’s largest city with an
agglomeration of 37 million inhabitants, followed by Delhi with 29 million, Shanghai
with 26 million, São Paulo and Mexico City with 22 million each. As they have surpassed
the 20 million inhabitants, the largest megacities may also be referred to as “meta” or
“hyper” cities. Furthermore, Cairo, Mumbai, Beijing and Dhaka all have close to 20
million inhabitants4.

Adverse impacts of such unplanned and rapid Urbanisation are numerous. They affect us
in the following forms:
I) Socio-economic Impacts
1) Urban Sprawl - Urban sprawl is the unchecked spreading of a city or its suburbs. It
often involves the construction of residential and commercial buildings in rural
areas or otherwise undeveloped land at the outskirts of a city. Most residents of
typical urban sprawl neighbourhoods live in single-family homes and commute by
car to their jobs in the city. Concerns over urban sprawl and its consequences have
been raised and largely focus on negative consequences for residents and the local
environment.
The term urban sprawl is generally used with negative connotations. Because people
in sprawling neighbourhoods tend to drive more than those who don’t, urban sprawl
is sometimes associated with increased pollution levels of all nature, particularly
air pollution. It has also been linked to obesity since walking or bicycling usually are
not viable commuting options for those commuting from the outskirts of a city into
town.
Traditional cities, like many small and mid-sized cities in modern-day Europe, were
typically oriented in a compact and efficient way. Preferences of many people,
especially in the United States, have led suburban development - accommodating
for the development in an outward instead of upward manner. Developments such
as shopping malls, fast food chains, strip malls, and housing subdivisions are typical
of an urban sprawl. Subdivisions are often cited as primary examples of a less efficient
use of space that characterises sprawl. These layouts often only have a few places
to enter and exit, causing main roads to have more traffic at these points.
Urban sprawl often happens quickly, rather than gradually. Another key characteristic
is low-density land use, where the amount of land consumed per capita is much
higher than in more densely populated city areas. Wide streets, large manicured
lawns, and artificial landscaping are typical in this pattern.
4
World Urbanisation Prospects Highlights- 2018, pgs. 23-24
Understanding the Urban Society 33

Single-use zoning might also be a common part of urban sprawl. This city planning
approach separates residential, commercial, and industrial areas from one another,
usually by a distance that is not conducive to walking, thereby increasing the reliance
on vehicles. While public transportation is typically available in the suburbs, most
of these areas are highly dependent on cars. Urban sprawl, while common in
developed countries, is not limited to them. Many cities in developing countries,
such as Delhi, Mexico City, etc. experience it as well.

Contradictory to this negative conceptualisation of urban sprawls, some people

argue that “urban sprawl” illustrates positive growth of a local economy. In addition,
many support the community structure of a suburb as opposed to a city because the
pace of life is typically slower and space is not at such a premium. Additionally,
suburbs are often, though not necessarily, said to be safer, and as a result these
areas are often places people move to raise their children.

2) Urban Slums - A slum, as defined by the UN-HABITAT, is a run-down area of a city

characterised by substandard housing and squalor and lacking in tenure security.
The term has traditionally referred to housing areas that were once relatively affluent,
but which deteriorated as the original dwellers moved on to newer and better parts
of the city. Lately, it has come to include the vast informal or unauthorised settlements
found in cities belonging mostly to the developing world.

Although their characteristics vary between geographic regions, slums are usually
inhabited by the very poor or socially disadvantaged. Slum buildings vary from
simple shacks to permanent and well-maintained structures. Most slums lack clean
water, electricity, sanitation and other basic services.

According to the United Nations Millennium Development Goals Report, 2015; the
proportion of urban dwellers living in slums in the developing regions fell from 39.4
per cent to 29.7% between 2000 and 20145. However, due to rising population, the
absolute number of slum dwellers is rising. The majority of these come from the,
legal and illegal settlements with insufficient housing and sanitation located in the
fringes of urban areas. The main causes behind this situation are massive migration-
both internal and transnational- into cities, which has led to unprecedented growth
rates of urban populations and spatial concentrations. These issues transcend into
larger problems in the political, social, and economic arenas. Slum dwellers often
have minimal or no access to education, healthcare, and other opportunities in the
urban economy.

Many shack dwellers vigorously oppose the description of their communities as

‘slums’ arguing that this has led to them being pathologised and often, being
threatened with evictions. Many academics have also criticized UN-Habitat and
the World Bank, arguing that their ‘Cities Without Slums’ Campaign has led to a
massive increase in forced evictions.

5
United Nations, The Millennium Development Goals Report 2015, page 7.
34 Introduction to Urban Governance - Concepts and Practices

3) Excessive Pressure to Develop modern Urban infrastructure - As there is a growth in

the rate of Urbanisation, there is bound to be a corresponding increase in the rate
population. Urbanisation, in terms of infrastructure would technically cover areas
such as housing and land, waste management, urban services, and local economic
development. It includes sub-sectors such as Urban Water and Sanitation, and Urban
Transport. As Urbanisation increases, it is expected to be accompanied by a rapid
growth in urban infrastructure so as to maintain a decent urban standard. This
might put tremendous pressure on the area’s resources, encouraging their over-
utilisation in order to build and maintain city standards. For instance, rapid
urbanisation leads to increase in the use of transportation which can further promote
traffic congestion on road networks characterised by slower speeds, longer trip
times, and increased vehicular queuing. Hence, measures should be taken to curb
such over-utilisation that is not bound to be economically and ecologically viable.
Urban infrastructure is linked to the environment through pollution management
and public health issues. In developing countries, rapid urbanisation is a major
challenge that may have significant health-related environmental impacts which
affect the poor people. Hence, there needs to be an effort towards planning and
following sustainable urban infrastructure practices. Generally speaking, the following
could be considered sustainable urban infrastructure:
 Public transport networks
 Distributed generation and integrated energy demand management
 High efficiency buildings, green buildings and sustainable habitats with energy
efficient landscaping
 Green spaces connected with wildlife corridors
 Low-impact development practices to protect water and other natural resources
4) Congestion - Many households in cities have to cope with increasingly crowded
conditions, although this is certainly not true for everyone. The housing conditions
improve when residents build high buildings, sometimes up to five stories, increasing
the amount of indoor floor surface available. Many cities have very high population
densities because numerous rooms are rented out to migrants. Poor migrants live
under the most crowded conditions. They do not have access to ancestral residential
land. Therefore, they depend on rented accommodation, which they often share
with many others to save money.

Some poor households of the original population also live in very crowded dwellings for
two other reasons. First, while on the one hand land available for construction becomes
unaffordable, on the other many families expand and split up into multiple households.
They are thus forced to fit more people into the same space or house or else to split up
existing plots and dwellings to accommodate a new household. Second, in the absence
of sufficient income from other sources, some households are inclined to rent out a
portion of their living space or cattle sheds to tenants.
Understanding the Urban Society 35

Apart from housing, another problem arising due to congestion is shortage of space to
facilitate free traffic movement. Due to shortage of space, roads, including main roads
within large or mega-cities, are simply not wide enough. In India, most of the places,
whether urban or rural, face this kind of problem. The only exception to this rule probably
is the city of Delhi that is equipped with wide main roads at least. Widening the street
is a difficult affair. Not only are the houses built very close to the road, but commercial
encroachments are also inevitable, due to the high profitability of running a shop or
other business along the main road. Demolition is a politically sensitive issue. Construction
of by-pass roads is often planned after the built-up area already surrounds the village,
when it is more difficult to clear land.

II) Socio-cultural Impacts

1) Homelessness - Mega-cities often have a significant number of homeless people.
The actual legal definition of homelessness varies from country to country, or among
different entities/institutions in the same country or region.
2) Urban Bias – Over-urbanisation leads to inequality, urban bias and gentrification.
Gentrification is the socio-cultural change in an area resulting from wealthier people
buying housing property in a less prosperous community due to shortage of land
resource elsewhere. Consequent to gentrification, the average income increases
and average family size decreases in the community, which may result in the informal
economic eviction of the lower-income residents because of increased rents, house
prices, property taxes and increase in prices of even basic good resulting from
increased purchasing power of locals in the area. This type of population change
reduces both industrial as well as agricultural land use by redeveloping such land for
commerce and housing. In addition, new businesses that cater to a more affluent
base of consumers, tend to move into formerly blighted areas and further increase
the appeal to more affluent migrants and decreasing the accessibility to less wealthy
natives of that area. This sudden and unexpected change in gentry leads to inequality
and bias within the community.
3) Land insecurity - Slums are usually located on land which is not owned by the slum
dwellers. Hence, they face a perpetual threat of eviction from the landowners.
Ironical to this, there is another situation where a similar fate awaits the traditional
owners of a particular land within a city. Due to the urban sprawl phenomenon,
many traditional agricultural lands are now notified as lands for commercial and
industrial use. As the nature of land use changes, these colonies become unauthorised.
This further creates a situation of land insecurity to traditional owners of the land.
4) Poor Living Conditions - Crowding and lack of sanitation are the main problems. This
contributes to outbreak of diseases. Utilities such as water, electricity and sewage
disposal are also scarce.

5) Unemployment - Since the number of people competing for jobs is more than jobs
available, unemployment is an inevitable problem in cities.
36 Introduction to Urban Governance - Concepts and Practices

6) Crime - Slum conditions make maintenance of law and order difficult. Patrolling of
slums is not a priority of law enforcing officers. Unemployment and poverty force
people into anti-social activities. Slums and unauthorised colonies become a breeding
ground for criminal activities.

III) Environmental/Ecological Impacts

Urban heat/warming has become a growing concern and is increasing over the years.
Such a situation occurs when industrial and urban areas are developed, and heat becomes
more abundant. In rural areas, a large part of the incoming solar energy is used to
evaporate water from vegetation and soil. Since the population is also scattered and
population density per square kilometre is relatively less, rural areas do not exhibit such
drastic increase in temperature and change in weather.
In cities, where less vegetation and exposed soil exists, the majority of the sun’s energy
is absorbed by urban structures of asphalt. Hence, during warm daylight hours, less
evaporative cooling in cities allows surface temperatures to rise higher than in rural
areas. Additional city heat is given off by vehicles and factories, as well as by industrial
and domestic heating and cooling units. This effect causes the city to become one to six
degrees warmer (when measured in Celsius) than surrounding landscapes6. This in turn
leads to reduction in soil moisture and intensification of carbon dioxide emissions.
There are three main types of pollution in the rural-urban fringe air, water and solid
waste. Though less noxious, noise pollution and odour are also big contributing factors.
1) Air pollution - Air pollution is particularly noticeable in rapidly urbanising villages,
where industry tends to be located within or adjacent to the settlements. There,
enforcement of environmental legislation is almost non-existent. In the absence of
a reliable supply of industrial electricity, low-grade coal is used to fire the furnaces,
which causes many factories to emit black smoke. Similarly, brick kilns generate
considerable air pollution as well. In rural areas, where they are dispersed in the
fields, they are reported to create fewer nuisances for the residents of the
settlements, except for those living in the adjacent labour quarters.
At metropolitan/city level, traffic is considered the most important source of air
pollution, accounting for approximately 60 to 65% of the total (according to Centre
for Science and Environment 1989, United Nations 1995). At the micro level, traffic
pollution varies enormously; in the rural-urban fringe, smog is considerably less
common. Nonetheless, many villages experience increasing levels of through traffic,
although congestion is less than in urban areas.
A frequently heard complaint voiced by people living along busy roads is that the
dust created by traffic, especially emitted from the trucks transporting bricks and
sand, causes respiratory problems.
2) Water pollution - Most water pollution in cities is caused by industries and households.
Two of the major contributing factors are lack of good sewerage system as well as

6
‘Heat Island Effect’- extracted from the website of U S Environmental Protection Agency
Understanding the Urban Society 37

heavy effluents released from industrial units. In urban areas, in particular,

newspapers frequently report cases of pollution of surface waters and groundwater
due to mixing of sewage water. Generally, increased population densities generate
more human waste and domestic discharge, which are said to seep into the shallow
groundwater. Since almost all villages have access to drinking water on tap, this
problem has largely been overcome. The low pressure in the municipal water supply
pipes is still a major problem, though.

An interesting study conducted by some non-governmental agencies show that

farmers in rural areas generally do not complain of an alleged reduction in the
quality of irrigation water due to water pollution. Though salinity of the groundwater
is still a problem, quality of surface water normally remains unchanged in rural
areas. Obviously, this is not the case in an urban set-up.

3) Solid waste pollution - Collection of solid wastes is the responsibility of the municipal
authorities. For example, management of solid waste in Delhi is the responsibility
of Municipal Corporation of Delhi (MCD). But at the city’s fringes, its capacity often
falls short, particularly in the peripheral unauthorised colonies and village extensions.
The places that usually become littered with trash are vacant land owned by the
government, unused village common lands, and the village pond.

Change in land use - A key factor in the emergence of environmental problems is the
practice of mixing residential and industrial land uses in cities, towns and industrial
villages that are located inside and around city limits. Consequently, factories are located
very near the residential dwellings. One effective case study for this phenomenon can
be the city of Delhi. Delhi has many village clusters located in and around the main city,
most of which now are within the city limits. Villages like Mahipalpur, Najafgarh, Ghari,
Nangli Poona, Pehladpur Bangar, etc exit within the heart of the city. In most such so
called city villages, more and more residents now have to cope with a factory or industrial
unit as their neighbour as their land use patterns have now drastically changed from
being traditionally an agricultural land to land now intended for mixed use of residential,
industrial and commercial activities.

However, all is not as bad as it looks. There are numerous advantages of living in a city
and experiencing an urban life. With proper city planning many side-effects of an urban
sprawl can be controlled and regulated to a large extent.

Historical experience suggests that Urbanisation is an inevitable process. In the light of

this observation, combined with the positive impacts of Urbanisation, it is clear that the
main challenge at present is not that of slowing-down Urbanisation, but of learning how
to cope with rapid urban growth. In recognition of the role of cities as engines of economic
development, there has recently been a resurgence of interest in urban management as
the main tool for coping with rapid urban growth and maximising the positive demographic
and socio-economic impacts of Urbanisation.

In the next segment, we shall be dealing with the positive impacts of Urbanisation.
38 Introduction to Urban Governance - Concepts and Practices

2.3 Positive Effects of Urbanisation

The problem that we face today is not due to Urbanisation itself. The real problem is
rapid Urbanisation and urban sprawl, especially in developing countries like India that
are not well equipped with managing Urbanisation at such a hasty pace.
The UN’s Millennium Development Goals can help to address some of the adverse impacts
of rapid Urbanisation to a large extent. However, the hitch lies in the fact that these
goals must be carefully implemented keeping into account the conditions of each country.
Rather than just letting slums hasty spring up, governments need to anticipate the
expanding ranks of the urban poor and provide them with secure housing, water, sanitation
and power, among other services, the report says. With decent housing and basic services,
the poor can take advantage of the opportunities offered by city life.
Positive effects of Urbanisation
1) Better amenities, housing and health awareness - Over the past few decades, the
urban amenities and infrastructure in many urban areas has shown a positive upward
curve. As a consequence, even if the standards fail to match that of what is expected
in a city, the inhabitants/ city dwellers generally refer to their settlements as being
‘more developed’ in comparison with villages/ rural areas beyond the boundaries
of their city. At the same time, complain still remains about the wide gap in the
level of amenities and the quality of infrastructure when a comparison in made
between the different classes that exist within an urban neighbourhood.
2) Efficiency - Cities are extremely efficient. Less effort is needed to supply basic
amenities such as fresh water and electricity. Research and recycling programmes
are possible only in cities. In most cities’ flats are in vogue today. Many people can
be accommodated within a small land area.
3) Convenience - Access to education, health, social services and cultural activities is
readily available to people in cities than in villages. Life in cities is much more
advanced, sophisticated and comfortable, compared to life in villages. Cities have
advanced communication and transport networks.
4) Concentration of resources - Since major human settlements were established near
natural resources from ancient times, a lot of resources are available in and around
cities. A lot of facilities to exploit these resources also exist only in cities.
5) Educational facilities - Schools, colleges and universities are established in cities to
develop human resources. A variety of educational courses and fields are available
offering students a wide choice for their future careers.
6) Social integration - People of many castes and religions live and work together in
cities, which creates better understanding and harmony and helps breakdown social
and cultural barriers.
7) improvements in economy - High-tech industries and commercial units are largely
concentrated or based in cities. Such units earn valuable foreign exchange and lot
of money for a country in the stock markets.
Understanding the Urban Society 39

2.4 Some Solutions

The surge in urban populations, fuelled by migration, natural increase, increase in life
expectancy and births is unstoppable. The first great wave of Urbanisation unfurled over
two centuries, from 1750 to 1950, in Europe and North America, with urban populations
rising from 15 million to 423 million. The second wave is happening now in the developing
world. There, the number of people living in urban areas was put as 4.2 billion in 2018,
and it was estimated that the world would add another 2.5 billion people by 2050, taking
the total to form around 68% of the total population7. If this population growth is helter-
skelter, we can predict sprawling of slums and spread of negative social, economic and
environmental trends in cities.
Cities are also engines of economic growth. Although cities concentrate poverty, they
also represent the best hope of escaping it. Hence concrete efforts need to be put in so
as to manage Urbanisation trends as effectively as possible. Some possible solutions for
the same are presented below:
1) Planning for a viable public transport system - Plans are required for a fixed transit,
preferably rail, above and below ground. Subways along all major travel corridors;
buses or trams on all secondary corridors need to be planned and developed. Fixed-
rail transit helps to guide development and keep the streets busy. When development
happens around fixed transit, it is easy to get around on foot because everything is
closer together. On the contrary, when transit isn’t fixed, as with a diesel bus route,
or it is designed around the auto, transit becomes impractical because everything
is further apart. New York is an example of a walking city that grew up around fixed
transit. Dallas is an example of an auto city built up around roadways.
It is very convenient to get around without a car in a walking city built around fixed
transit. This makes it so there are more people on the sidewalks, and businesses can
thrive from walking traffic, without the need for parking. Fixed-transit can be light-
rail, a subway, or a bus that operates from overhead wires. A busway built for diesel
buses is also fixed transit, but because the bus can leave the busway it doesn’t have
the same positive impact on development and density as other forms of fixed transit.
If your city doesn’t have fixed-transit, advocate for it. It will take a long time to
change the way things are built, but a convenient walking district can spring up in
little time when fixed transit and high density are established in an area.
Another possible solution is to build cycle tracks to encourage bicycle use. Most
European countries have adopted this concept and have succeeded. Though such a
plan is almost impossible at this stage in India due to huge congestion on roads in
cities, steps could be taken to incorporate such measures in the future while planning
new localities.
We must also keep in mind that one plan that works best in some country need not
be suitable to Indian conditions.

7
UN World Urbanization Prospects Report 2018: pg. 4-5.
40 Introduction to Urban Governance - Concepts and Practices

2) Mixed-use, mixed-income neighbourhoods - Mixed-use neighbourhoods solve many

urban ills. By intermingling commercial, residential, and civic functions in the same
neighbourhoods, you reduce dependence on automotive transport, since destination
facilities are always close at hand one can walk or hire affordable modes of transport
(like cycle rikshaws) to the market, the salon, the library, the bar, school or university,
administrative offices, and so on. This means denser development is possible without
reducing living spaces (you reduce street pace, space dedicated to the automobile,
instead); it also means more tax money for more amenities and social programmes,
since streets don’t pay taxes and parking lots don’t pay much tax, but homes and
businesses do. Yet, since there is less road infrastructure to build and maintain, and
utility infrastructure is more efficiently configured (e.g. 100 feet of sewer pipe
serving hundreds rather than tens of users), such neighbourhoods need less tax
money to support their basic functions. This means one could then either lower
taxes, or apply them to more desirable civic amenities, such as parks, squares,
concerts, etc. More people walking also increases community feeling, reduces
opportunity for crime (“eyes on the street”), and allows for more interaction among
the citizenry. It increases ridership on public transit, making it more efficient.
Mixed-income neighbourhoods not only increase urban variety by mixing types and
sizes of housing; they also increase the cohesiveness of a community. People from
different walks of life come to meet and know each other, however superficially,
and are thus less likely to make political or personal decisions based on stereotyped
views. Rich, poor, and middle can discover common ground and not base their
attitudes toward each other on envy, disdain, or spite. It’s a matter of hybrid vigour
purebred ideas, like purebred animals, tend to be delicate, weak, and subject to
“genetic” infirmities. We learn not by congregating with those similar to us, but by
meeting those who are different. You could say it’s the sexuality of the intellect just
as animals who exchange genes evolve into more efficient forms more rapidly than
those primitive creatures that don’t, so do societies whose members exchange
ideas, social concepts, personal philosophies, what have you - even just gossip.
3) Buildings of different age, condition, and size - Too often in the last half-century
urban developers and city officials have approached revitalisation by assembling
multiple parcels, bulldozing what existed, and building new. This happens in
commercial and residential areas. It is standards set by suburban development and
a desire to compete with suburban development that leads to this practice. This
will not, however, lead to a healthy city. Wherever you live, a walk around town is
sure to show the liveliest areas are the places that have many small parcels with
different owners, a mix of new and old buildings and some buildings that are in
better shape than others. The mix of old and new buildings provides an interesting
streetscape. Older buildings in poor condition provide the incubators for
entrepreneurs to start businesses. The newer buildings provide locations for the
more established merchants to set up shop and serve as drawing cards for a business
district. The mix also serves to provide residential dwelling units of different size,
condition and price making it, so the neighbourhood is mixed economically and
providing places for both the business owner and grocery clerk to live.
Understanding the Urban Society 41

4) Living spaces everywhere, especially near downtown - Many contemporary cities

have a concept pocketing separate area for separate purposes. For instance, in
many European cities that were rebuilt post World War II, there exist suburbs where
there are two or sometimes even three separate pockets. One pocket/area is where
people live, others where people shop and others where people work. This leads to
people moving in mass at almost the same time during the day from one particular
area to the other. This creates needless congestion; streets empty at sometimes and
overcrowded at others. When the places people live are spread throughout the city,
many will choose to live near where they work. Stores will locate where people
live. Many small stores will serve to supplement or even replace larger stores. The
downtown streets that become deserted after office hours in many cities will become
busy later and later into the evening. Lively downtowns are downtowns that are
filled with not only office buildings and shopping districts, they are filled with
apartment buildings, condos and other places where people live.
5) Large or small public parks and squares with natural green spaces as opposed to
having no public squares or planting private manicured gardens with exotic species
of plants - In our cities we need to have public parks and squares where people are
able to relax, meet and mingle as human beings. Unfortunately, most such public
spaces are now days replaced with either metal and concrete or privately owned
(by individual or and commercial entity like a corporation) manicured gardens that
are artificially decorated with non-native or exotic species. We need to have places
where we interact with each other as people and not machines, whether we talk to
one another or not, where we can pass among each other on our way to our daily
chores, acknowledging our common humanity with a glance or a nod or a word;
places where we can linger if we feel so inclined, where we can enjoy the day and
partake of a feeling of community, a feeling that we’re all in this together, helping
each other, tasting life together, creating the city. Public space our space. Not some
landlord’s or management companies.
Public squares and public parks are also placing for children to play and mingle with
other kids of their age. These also substitute as thoroughfares for pedestrians.
People crossing each other’s paths in a square may not speak to each other, but they
know that they occupy common space.
Encouraging equilibrium in in-migration and out-flow of population - A city is more
than just a collection of people. It is an incubator of ideas. Though certain stability
is good for a city, but an influx and out box is even more important. This will bring
together the widest array of ideas, interests and backgrounds. It is important for
cities to attract diverse people from faraway places, it is also important to send
them out again. It can also lead to economic growth when a person with a background
in say metal fabricating leaves and initiates activities elsewhere or gains knowledge
that will improve processes or establish new markets. People leaving a city sends
out messengers with the knowledge needed to make it part of activities elsewhere.
6) Street trees and rooftop/kitchen gardens - Planting trees within the cities and
promoting green spaces is very essential for the health of a habitat. Street trees and
42 Introduction to Urban Governance - Concepts and Practices

kitchen gardens not only provide space for leisure to the people but also provide
living space to animals and birds. Rooftop gardens provide better insulation than
any amount of fiberglass batting and can grow food as well; trees provide shade in
the summer and obligingly drop their leaves in the winter so sunlight can warm
homes and offices, and their transpiration also helps balance local temperatures.

7) Light rail or a rapid train connection to the airport; freight and passenger rail
depots in town - Making different forms of transportation work together will be a
prime challenge in the 21st Century. There is no need for much of what exists around
airports in the United States. The shopping areas, acres of parking lots and hotel
accommodations at airports can be eliminated. Further, in the future, people will
be able to begin their journey near their home and end it at their destination,
without checking the baggage twice. To accomplish this, cities need to establish
airport connections via light rail to downtown. This will allow passengers to leave
their cars at home, or to get to the airport without the use of a car with the
assurance they will be able to get to their destination without financing a cab ride
or renting a car. Further, high-speed rail lines should be built to replace smaller
airports and accommodate passengers travelling less than a few hundred miles. A
track should be funded and operated by commercial airlines and establish train
stations at airports. (In Europe, for example, Lufthansa provides rail as well as air
service.) This will allow for seamless connections and transfers between trains and
planes in order to complete a journey using a single ticket without hassle.

8) Working farms adjacent to or (better yet) within city limits - The farther food is
grown from town, the more it costs and the worse it tastes. Local farming means
less fuel and road use, which is good for the earth and reduces need for taxes to
support road infrastructure and fuel subsidies. Shorter transport times means food
can ripen longer on the branch, so it tastes better and is more nutritious. The
necessity to fit farms into numerous smaller spaces in town means fewer big
agribusiness operations making their money on economies of scale; instead you
have a greater number of small producers, which would lead to more variety of
food, more accommodation to local tastes, and more competition (thus better
service and lower prices), as well as making commercial organic farming economically
feasible. This would again reduce stress on the earth and help minimise dependence
on petroleum. Urban farmers’ markets bear all this out, providing higher quality
food than the supermarkets, yet charging less for it.

Also, the presence of farms provides green space for the citizens and reminds them
that all, regardless of pretensions, are tied to the earth.

9) Shops that open onto the sidewalk, not onto parking lots; underground or levelled
automobile parking that does not consume ground space - Shops that open onto the
sidewalk encourage pedestrian traffic, and pedestrians are better able to window
shop than drivers. Walking of course is exercise too, and people who are walking are
more likely to meet or make friends or other social, even commercial, contacts
than drivers can. More pedestrian traffic therefore makes for a healthier and richer
Understanding the Urban Society 43

city. Shops set back behind vast parking lots foster the delusion that they are separate
from the city and bear no responsibility to the community that supports them. They
practically require driving, which increases civic infrastructure costs and increase
social isolation. Sidewalk shops encourage friendly social contact and simply make
life more pleasant.

Putting parking in mid-block structures or (better yet) underground accommodates

those who must or prefer to drive without fragmenting the city to make room for
vast parking lots.

2.5 Conclusion
How important are Urban reforms - Against the benefits of Urbanisation, a major
consequence of rural-urban migration is over-Urbanisation. In other words, at some
point, diseconomies of scale begin to emerge as cities become too big, although the city
size at which these become important has not been demonstrated. Along with the rapid
spread of Urbanisation has come the prolific growth of huge slums and shanty towns.
These structures bring their own infrastructure and law and order issues, not to mention
the numerous human right issues that continue to plague their inhabitants.
As mentioned before, air pollution, congestion, social disturbances, crime and similar
problems increase disproportionately with city size. The concentration of people also
causes congestion and raises the cost of travel so that scarce resources like time and
fuel are wasted. In addition, the mounting pressure on existing services means
deteriorating quality and a reduction of what is available per person. As cities expand,
the cost of providing basic services can rise enormously.
Over-Urbanisation and its related problems (pollution, noise and congestion) are examples
of negative externalities. The presence of such externalities causes a market to operate
inefficiently. The market failure will lead to a free-market solution which tends towards
over-Urbanisation or to a size of city that is above the socially desirable one, because
there is a clear divergence between private and social marginal costs (i.e. social costs
= private costs + external costs).
Despite the huge social costs of rural-urban migration, people are still moving to
overcrowded cities. This tendency can be understood as a response to large urban-rural
wage differentials maintained by minimum wage laws and restrictive practices. Because
of the externalities involved in migration decisions there is a good reason to suppose
that unregulated markets will tend to promote over-Urbanisation. As long as the private
costs of migration are less than the social costs and migrants are willing to risk not
finding a high-wage job, over-Urbanisation is likely to continue to be a serious problem
for developing countries.

2.6 References and Recommended Readings

Ambirajan, S. (1976) “Malthusian Population Theory and Indian Famine Policy in the
Nineteenth Century”, Population Studies, Vol. 30, No. 1, pp 5-14.
44 Introduction to Urban Governance - Concepts and Practices

Bhagat, R.B. (2001) “Urbanisation in India A Demographic Reappraisal” paper presented

in 24th IUSSP General Population Conference, Salvador-Brazil, August 18-24, 2001 (see
also www.iussp.org/brazil2001/s80/83 03 Bhagat.pdf).
Bhat, Mari P.N. (2003) “Two Child Norm in Defence of Supreme Court Judgement” Economic
and Political Weekly, November 1, 2003.
Bhatia, B.M. (1991) Famines in India a Study in Some Aspects of the Economic History of
India with Special Reference to Food Problem, Konark Publishers, Delhi.
Caldwell, J.C. (1998) “Malthus and the Less Developed World the Pivotal Role of India”
Population and Development Review, Vol. 24, No. 4, pp. 675-696.
Caldwell, John and Caldwell, P. (1986) Limiting Population Growth and the Ford Foundation
Contribution, Printer, London.
Chandna, R.C. (2002) Geography of Population Concepts, Determinants and Patterns,
Kayani Publishers, Ludhiana (fifth edition).
Council for Social Development (1969) Resolution of the National Conference on Population
Policy and Programme, Council for Social Development, New Delhi.
Frinkle, J.C. and Crane, B.B. (1975) “The Politics of Bucharest Population Development
and New International Order” Population and Development Review, Vol. 1, No. 1, pp. 87-
114.
Govt. of India (1977) Family Welfare Programme A Statement of Policy, Ministry of Health
and Family Welfare, June 29, 1977, New Delhi.
Govt. of India (2000) National Population Policy, Ministry of Health and Family Welfare,
New Delhi.
Gwatkin, D. (1979) “Political Will and Family Planning the Implications of India’s
Emergency Experiences” Population and Development Review, Vol 5, No. 1 (March).
Kothari, A. (2002) “Environment, Food Security and Natural Resources Lacunae in Tenth
Plan Approach Paper” Economic and Political Weekly, June 26, pp. 289-292.
Malthus, Thomas Robert (1798) First Essay on Population, Reprinted by MacMillion, London.
Maharatna, A. (1996) The Demography of Famines A Historical Perspective, Oxford
University Press, Delhi.
Mclntosh, C.A. and Finkle, J.L. (1995) “The Cairo Conference on Population and
Development A New Paradigm” Population and Development Review, Vol. 1995, Vol. 21,
No. 2, pp. 223-260.
Misra, B.D. (1980) An Introduction to the Study of Population, South Asian Publishers Pvt.
Ltd, New Delhi.
Myrdal, G. (1968) Asian Drama an Inquiry into the Poverty of Nations, Vol. 2, Penguin
Books, Hamondsworth.
Understanding the Urban Society 45

Narayan, S. (1969) The Selected Works of Mahatma Gandhi, Vol. 4, The Basic works,
Navjivan Publishing House, Ahmedabad.
Ness, G.D., and Ando, H. (1984) The Land is Shrinking Population Policy in Asia, Johns
Hopkins University Press, Baltimore, Maryland.
Shrivastava, A (1992).’Overpopulation the Great Red Herring?” . Economic and Political
Weekly, 19 (September), pp. 2032-2037.
United Nations (1992). Report of the United Nations Conference on Environment and
Development, Rio-de Janeiro, June 3-14, Vol. I & II, United Nations, New York.
World Commission on Environment and Development (1987) Our Common Future, Oxford
University Press, New York.
46 Introduction to Urban Governance - Concepts and Practices

UNIT 3
URBANISATION IN GLOBALISING
21ST CENTURY: RECENT TRENDS
Contents
3.1 Introduction 46
3.2 Trends in Urbanisation: Global 47
3.3 Trends in Urbanisation: Indian 54
3.4 Counter-Urbanisation 57
3.5 Environmental Challenges in Urban Society Local vs. Global 59
3.6 References and Recommended Readings 60

3.1 Introduction
Urbanisation is a major phenomenon of contemporary world, an indicator of globalisation.
Although uncertainty prevails about future trends, Urbanisation is an essential but often
neglected component of the demographic transition and of development at large.
The urban transition occurs at different times and with diverse growth patterns. The
real challenge remains for governments to take actions that allow urban residents to
make the most of living in cities.
With more than half of the world’s people living in urban areas, urbanization determines
the spatial distribution of the world’s population and is one of the four demographic
mega-trends, with the growth of the global population, population ageing, and
international migration. Estimates and projections of urbanisation introduced in this
report indicate that the future growth of the human population can be accounted for
almost entirely by a growing number of city dwellers. By mid-century, roughly two thirds
of the world’s population will be living in urban areas. In many regions, the share of
population living in cities, as well as the number and size of cities, will continue to grow,
driven by a combination of factors, including a surplus of births over deaths in urban
areas, migration from rural to urban areas and from abroad as well as the urbanisation
of formerly rural areas. Urbanisation is also transforming the lives of those living in the
rural areas around cities. Cities are major gateways and destinations for internal and
international migrants and migration needs to be integrated into the strategic planning
and management of cities and urban systems. The future of the world’s population is,
therefore, decidedly urban1.
1
UN World Urbanization Prospects Report2018: pg. 9
Understanding the Urban Society 47

As we know by now, Urbanisation is the process by which there is an increase in the

proportion of people living in urban areas. Some common indices used to define towns
are
♦ Population size
♦ Population density
♦ Function
♦ Level of administration
The UN does not specify any classification of settlements as towns/rural areas. It has
instead chosen to classify them by size.

3.2 Trends in Urbanisation: Global

Urbanisation is a cultural as well as demographic process. The beginning of modern
Urbanisation can be traced back to Renaissance times in 16th century. Turkish assaults
resulted in the movement of Christians from the Eastern to Western European countries.
As a result, trade grew and European cities along the coasts developed greatly.
Urbanisation received a further boost with the arrival of the “Industrial Revolution”.
Populations of cities in Europe and USA started to increase significantly in the 18th and
19th centuries. Chicago in USA, for example, witnessed a dramatic increase in its
population: from 15 people to about 20 million, within a span of 78 years. However,
Urbanisation started at a substantial level only in the first half of the 20th century in Asia
and in the second half of the 20th century in Africa, when the countries in these continents
obtained independence from colonial powers.
Urban history, to a large degree, is the history of civilisation. The earliest towns were
around the Mediterranean Sea in the West- like Babylon and Mesopotamia- as well as the
Harappan or Indus valley civilisations in India. Varanasi and Madurai, both located in
India, are two of the oldest living cities in the world.
Before the industrial revolution, most towns were small and mainly functioned as
commercial centers and seaports. After the industrial revolution, cities grew very rapidly.
By 1850, there were 2 “million cities” i.e. cities with a population exceeding one million-
London and Paris. The growth of towns experienced a population explosion in the 1950s.
By 1990, there were 286 “million cities”.
In order to move from small rural communities to towns and cities, a whole series of
problems had to be solved. To feed a large community, it was necessary to develop a
method of preserving large amounts of food and storing seeds. Higher concentration of
people exacerbated diseases and so better systems of public works and sanitation had to
be devised. Cities became the repositories of humanity’s collective intelligence; libraries
were created to store this record of knowledge. Banks were built to store the accumulated
wealth, while armouries and stronger fortification were constructed to defend the cities
against pirates and looters.
48 Introduction to Urban Governance - Concepts and Practices

History has produced many cities that have risen and then collapsed as a result of
changes in the environment or in trade routes; or because of epidemics, war and other
issues. Machu Picchu, Tikal, Petra and Angkor rose to greatness and then disappeared
into the jungle or into the sand in this way. Plagues such as the Black Death in the Middle
Ages mostly killed the urban population while rural people were relatively unaffected.
But if a plague was to attack today it would find a different demographic distribution of
people - huge numbers of people concentrated in mega - cities sharing the same air-
conditioned air have a possibility of being wiped out easily this way.

In 1950, 83% of the population of developing countries were rural inhabitants. By 1973
this had declined to 75% and by 1993 to only 60%. By now, it is expected to be around 3.4
billion at the global level, occupying roughly 44.% of the total population in the world.
This number, moreover, has been recently overtaken by its urban counterpart- which, as
has been mentioned earlier, is currently at around 55.4%.

The average annual growth rate of urban population in world is projected at 1.90%.
Growth in the urban population is driven by an overall population increase and by the
upward shift in the percentage living in urban areas. Together, these two factors are
projected to add 2.5 billion to the world’s urban population by 2050, with almost 90% of
this growth happening in Asia and Africa.

Today, the most urbanized regions include Northern America (with 82% of its population
living in urban areas in 2018), Latin America and the Caribbean (81%), Europe (74%) and
Oceania (68%). The level of urbanisation in Asia is now approximating 50%. Meanwhile,
Africa remains mostly rural, with 43% of its population living in urban areas. However,
these urbanisation trends have mingled with the population statistics of the world to
create interesting results, and thus we find that Asia, despite being less urbanised than
most other regions today, is home to 54% of the world’s urban population, followed by
Europe and Africa (13% each).

It has also been found that Africa and Asia are urbanising more rapidly than other regions
of the world- so that, the rate of urbanisation, measured as the average annual rate of
change of the percentage urban, is the highest in Asia and Africa. These two regions are
urbanising faster with the proportion urban increasing by 1.3 and 1.1% annually between
2015 and 2020, respectively, while regions that already have relatively high levels of
urbanisation are urbanising at a slower pace, at less than 0.3% annually during the same
period.

It is also important to note that in the future, urban population growth is going to be
concentrated only in a few countries of the world. Out of these, just three countries –
India, China and Nigeria–are expected to account for 35% of the growth in the world’s
urban population between 2018 and 2050. India is projected to add 416 million urban
dwellers, China 255 million and Nigeria 189 million.

This explosive population growth on our planet, coupled with migration from the
countryside, has created 33 mega-cities with populations of 10 million or more. Most of
Understanding the Urban Society 49

these are in Asia, including 5 that have recently joined the group: Bangalore, Bangkok,
Jakarta, Lahore and Madras. Globally, the population of megacities has grown to 529
million, and they now account for 13% of the world’s urban dwellers. By 2030, the world
is projected to have 43 megacities, most of them in developing regions. Moreover, Tokyo
is the world’s largest city with an agglomeration of 37 million inhabitants, followed by
Delhi with 29 million, Shanghai with 26 million, and Mexico City and São Paulo, each with
around 22 million inhabitants. Cairo, Mumbai, Beijing and Dhaka all have close to 20
million inhabitants.

On the other hand, some cities have experienced population decline in recent years.
Most of these are located in the low-fertility countries of Asia and Europe where overall
population sizes are stagnant or declining. Herein, economic contraction and natural
disasters have contributed to population losses in some cities. Examples of these cities
include Nagasaki in Japan, Busan in Republic of Korea as well as several areas in Poland,
Romania, the Russian Federation and Ukraine. In some cities, emigration has also
contributed to smaller population sizes. However, globally, fewer cities are projected to
see their populations decline from today to 2030, as compared to the last two decades2.

Figure 1: World Urbanisation Trends, 1950-2030

Urban Trends
1) Defining ‘Urban’ - Every nation in the world has a different definition of what
constitutes urban. There is no consensus with respect to a universal definition.
However, every jurisdictional authority around the world uses one of the four
definitions
a) A definition based on administrative criteria. It classifies urban area based on
administrative or geographic zones (e.g., Brazil)

2
WUP Prospects Highlights 2018 Report, pgs 1-19
50 Introduction to Urban Governance - Concepts and Practices

b) A definition based on both administrative and population density (demographic)

criteria. (e.g., China)
c) A definition based on size and city population (e.g., United States)
d) A definition based on combination of size and economic nature of area (e.g.,
Japan)
India uses a combination of population, density and employment thresholds for this
purpose. In India an area is classified as “urban” if it has a population of greater
than 5,000 people, a density exceeding 400 persons per square kilometer and more
than 75% of its male workers engaged in non-agricultural professions. Of course, the
State governments have the flexibility to declare an area urban based on their own
State rules.
2) Rapid Urbanisation in Developing Countries - For the first time in history, the majority
of people live now in urban areas. The proportion of the world’s population which
is urban has been growing rapidly and a larger fraction of the total population lives
within cities now that at any previous period in history. Over the past two or three
decades this Urbanisation trend has been fastest in developing countries and, as a
broad generalisation, the faster the rate of economic growth, the more rapid has
been the Urbanisation of the population.
3) Measuring Urban Development on the basis of Economic Activity - Defining what is
urban has been a difficult task and there is no commonly agreed definition. Each
country defines the term ‘urban’ in its own way, and they can refer to cities, towns,
villages, conurbations or localities.
A number of approaches have been formulated to determine what an urban area is.
An economic approach would be based on administrative units and would define
urban areas using a threshold for labour force (economically active population
rates) in agriculture (United Nations, 1974). A geographic approach would consider
that density is the main indicator of urbanity. In general, this kind of analysis takes
population or houses in a territory (not necessarily an administrative unit) as a unit
of analysis. Unless definitions of ‘urban’ are comparable, international comparisons
of levels or rates of urbanisation can be difficult. For instance, using data from the
1991 Census of Population and the only then valid administrative definition of London-
the City of London - London’s population was 4.5 million, but if London was defined
as the statistical unit used as a ‘region’ by Eurostat - Greater London - then its
population was 6.89 million. In the same vein, the population of the administrative
city of Paris-City of Paris de Paris - at the same date was 2.152 million. Was Paris,
here, the bigger or smaller city? If both were defined in terms of functional criteria-
their ‘economic spheres of influence’, then London’s population in 1991 was 12.5
million compared to Paris with 11.4 million.

As discussed in previous units, there are three major different criteria whereby
cities can be defined
Understanding the Urban Society 51

a) Administrative ‘competence’ - is the place classified as a city for administrative

purposes
b) Physical indicators - the density of buildings, of people or of other indicators such as
the proportion of any unit of area covered by hard surfaces (such as concrete or
asphalt) and the intensity of night-light emissions.
c) Functional definitions relating to the behaviour of households and firms to reveal
the boundaries of what is ‘urban’ territory.
Each of these methods has its own strengths and weaknesses. However, none of
these methods are accepted uniformly or globally. However, it is believed that an
ideal universal description of what is urban should ideally be created on an
administrative basis. For example, the advantage of using administrative definitions
of ‘city’ is that it is easy - in terms of gathering statistics as well as politically, owing
to the fact that policy and funding for data gathering is ultimately dependent on
governments that administer these areas. So, if the interest is in urban policy, these
administrative units take centre-stage in research, for they are frequently those
areas for which this policy is implemented. The most obvious disadvantage of using
administrative and political boundaries is that they are often arbitrary and reflect
often ancient patterns of life. The basis on which they are defined and the frequency
with which they are redefined vary widely, not only between, but also within,
countries.
Hence, it is understood that degree of Urbanisation should be measured not by
administrative, physical or functional definitions but by their economic character.
Under this approach, if the basic nature of economy of the region is primarily
commercial and non-agrarian, it is more often than not characterised as an urban
area.
4) Demographic Change and increased Migration to Urban Areas - Throughout much of
the nineteenth century, the premier city of the world, in terms of its population,
was London. It was the first to reach the magic figure of one million, a population
not attained by Paris until the mid-nineteenth century, New York until 1871, Berlin
until 1880, and Vienna until 1885. (Jones, 1988 97). Outside Europe the largest cities
were Tokyo and Beijing. Today, the distribution of the world’s largest cites is markedly
different.
London, despite its population of 7.7 million in 1980 was only the sixteenth largest
urban agglomeration, behind modem giants such as Tokyo (16.9 million), Shanghai
(1 1.7 million) and Calcutta (9.0 million).
In 1990, London did not even make the world’s ‘top twenty’. In 2000, the top twenty
group included only three cities from the First World Tokyo (19.0 million), New York
(16.8 million) and Los Angeles (13.9 million).
Urban growth is fuelled in two principal ways: demographic change and migration.
Demographic trends in recent times are well-known-declining mortality rates in
most developing countries have not been matched by a corresponding decline in
52 Introduction to Urban Governance - Concepts and Practices

fertility. Rural areas often cannot accommodate the increasing population and
many,(especially young single people) migrate to urban areas in the hope of work,
housing and an income, part of which may be intended as support for family members
left behind in the rural areas. Young migrants, in turn, will form their own families
in their new urban location, further increasing the urban population.

Source: Engineering and Technology Magazine

5) Interdependence between Urban and Rural Populations - Rapid Urbanisation, the

concentration of the urban population in large cities, the sprawl of cities into wider
geographical areas and the rapid growth of mega-cities are among the most significant
transformations of human settlements in recent times. Urban areas strongly influence
the world of the twenty-first century, and urban and rural populations are increasingly
dependent on each other for their economic, environmental and social wellbeing.
Among the economic and social factors influencing this process are population growth
and voluntary and involuntary migration, real and perceived employment
opportunities, cultural expectations, changing consumption and production patterns
and disparities among regions.
Understanding the Urban Society 53

It is a general trend that rural areas in many parts of the world have lagged
economically as compared to the urban centers. The relative vitality of urban
centers has led some to suggest that rural areas and rural policy ought to pursue a
strategy of strengthening rural-urban economic linkages. A better understanding of
the linkages between rural and urban economies would aid policymakers in addressing
interrelated problems such as declining economic opportunity in rural regions which
is often followed by losses in quality of life in urban areas experiencing high rates of
population growth. Rural and urban legislators, thus, might better understand how
the economic fortunes of rural and urban areas are interrelated and how certain
policy proposals directed to the rural economy have feedback effects on the urban
economy.
6) Positive Steps in Urban Governance – As stated earlier, managing urban growth has
become one of the most important challenges of the 21st Century. At the same time,
the concept of urban governance has itself undergone a major transformation o.
Governance of cities throughout the developing world has been affected by
movements towards democratisation and political pluralism, an emphasis on
decentralisation, and the rise of civil society.
Numerous legal and institutional reforms in many countries have given shape to
institutional reforms at the local and municipal levels. Consequently, solutions to
urban problems are increasingly being brought out at the local rather than the state
or national level. These trends underscore the urgent need to build and support the
capacity of local governments to manage the environmental and social service
issues that accompany rapid urban growth.
Urbanisation is here to stay for a long time. It may slow down but surely doesn’t
show any signs of stopping. The main goal of urban planning is to make all amenities
and comforts available to the public without imposing a large number of negative
effects on society and environment, aptly referred to as “Sustainable growth”. The
cardinal rule is to plan cities beforehand, rather than let them grow spontaneously
and haphazardly. During city planning, it should be ensured that adequate
infrastructure is available to support the population. Residences should be
conveniently located near the civic bodies. This could improve the provision of the
necessary services. Opportunities can be created within rural areas to reduce stress
on cities. This will result in a higher standard of living for the people of the country
as a whole.
Some of the villages in South Kannada district of Karnataka have set a good example
in this area. These villages have established efficient transport, electricity and
communication system. Co-operatives have been set up to provide financial aid to
peasants. The rural people have been encouraged to engage in cottage industries
and commercial activities such as making pickles, handicrafts, sweets and savouries.
Through cooperative agencies, marketing of these goods also has become easy. This
is an efficient method of making rural areas self-sufficient and curbing migration
trends by creating opportunities for people in villages.
54 Introduction to Urban Governance - Concepts and Practices

Currently, planning cities for sustainable growth, mainly in the developing countries, is
a major challenge for humanity. Restricting the population boom is another major issue.
All these vital factors would decide what our planet’s future would look like. Although it
is impossible to restrict Urbanisation, planning and development can move it in the right
path.

3.3 Trends in Urbanisation: lndian

India is fast becoming one of the world’s largest urban nations today. According to the
2011 Census, the urban population grew to 377.1 million as compared to 286.1 million in
2001 census showing a growth of 2.76% per annum during 2001-20113. The Handbook of
Statistics touts the percentage of urban population in India in 2018 to be 34.03%, while
it places the rate of growth of the country to be at 2.73%4.
The genesis of the hierarchy of urban settlements and spatial structure in contemporary
India can be traced to the development dynamics of the colonial period, essentially in
response to the requirements of an imperialist regime. The colonial economy, through
the establishment of few port and administrative towns, generated strong centrifugal
pulls that brought commodity and population flows towards them. This had the inevitable
consequence of weakening the centripetal forces exerted by the inter-settlement linkages.
The four urban agglomerations (UAs) namely, Calcutta (now Kolkata), Madras (now
Chennai), Bombay (now Mumbai) and Karachi (presently in Pakistan) served, un-like
their Western counterparts in the medieval period, as focal points of a mechanism for
generating economic surplus. The pre-existing rural-urban interactions were gradually
replaced by export-import oriented commodity flows. Movement of population that
became necessary to sustain the new urban centers (and the plantation fields) further
disrupted the core-periphery relationship and strengthened the centrifugal forces. These
cities, unlike their counterpart in the developed countries of the world, were also not a
product of economic development.
Unlike many countries that are grappling with aging populations and raising dependency
ratios, India has a young and rapidly growing population. More than 12 million youth
between 15 and 29 years of age are expected to enter India’s working age population
every year for the next two decades, which sets the base for a potential demographic
dividend5.What India needs is thriving cities capable of fully utilising this potential to
the optimum.
Some Facts:
1) In India, Towns are described as places with municipal corporation, municipal area
committee, town committee, notified area committee or cantonment board; also,
all places having 5,000 or more inhabitants, a density of not less than 1,000 persons
3
Census of India 2011, Ministry of Home Affairs, Rural Urban Distribution of Population (Provisional
Population Totals), 2011.
4
Ibid
5
World Bank Group, Skilling India, June 23 2017, https://www.worldbank.org/en/news/feature/2017/
06/23/skilling-india.
Understanding the Urban Society 55

per square mile or 400 per square kilometer, pronounced urban characteristics and
at least three fourths of the adult male population employed in pursuits other than
agriculture.

2) There is wide inter-State disparity in urbanisation levels. In terms of overall urban

population, Maharashtra had the largest urban population of 50.8 million followed
by Uttar Pradesh, which had an urban population of 44.5 million in 2011.

3) If we look at the level of urbanisation, defined as urban population as a proportion

of total population, Goa was the most urbanised state with 62.17% urbanisation in
2011 followed by Mizoram at 52.11% urban population. Among the Union Territories,

4) Delhi had urbanization level of 97.50% followed by Chandigarh with an urbanisation

level of 97.25% in 2011. Himachal Pradesh had the lowest urbanisation with only
10.03% population living in urban areas in 2011, followed by Bihar (11.29%).

5) According to Census 2011, the number of urban agglomeration (1 lakh and above
population) in India stood at 474. Uttar Pradesh had the largest number of urban
agglomerations (67) followed by Andhra Pradesh (58).

6) Birth rate and death rate decreased to 17.60 and 5.70 respectively in 2011. Birth
rate was highest in Uttar Pradesh (23.70) and least in Tripura (11). Arunachal Pradesh
recorded the lowest death rate (2.50), whereas Puducherry registered the highest
death rate at 6.806.

7) According to the estimates of UNESCAP, 29.4% of India’s urban population lived in

slums 96% urban population in India was estimated to have access to improved
water sources in 2010 and 59% urban population had access to improved sanitation
in 2010.

8) Out of 4,041 statutory towns, 2,613 are towns which reported slums with an estimated
population of over 6.5 crore living in slums. If we look at State share of slum population
to total slum population of India (Table 1.10), Maharashtra followed by Andhra
Pradesh reported highest share of slum population in 2001-117.

Challenges faced by urban lndian policy makers

What India lacks is effective policies to manage its rapid and large-scale Urbanisation.
Such a shortcoming could jeopardise the nation’s growth trajectory. If India, however,
pursues a new operating model for its cities, it could add as much as 1 to 1.5% to annual
GDP growth, bringing the economy near to the double-digit growth to which the
government aspires.
Large sections of planners and policy makers in the country have argued that there
exists no serious problem of infrastructural deficiency that cannot be tackled through

6
Census of India, 2011
7
Ibid
56 Introduction to Urban Governance - Concepts and Practices

management solutions. All that is needed is to restructure the system of governance as

well as legal and administrative framework in a manner that the standard reform measures
can be implemented. Reduction of public sector intervention, ensuring appropriate prices
for infrastructure and civic amenities through elimination or reduction of subsidies,
development of capital market for resource mobilisation, facilitating private and joint
sector projects, simplification of legislative system to bring about appropriate land-use
changes and location of economic activities etc. are being advocated as the remedial
package.

The public sector and other para-state agencies that had been assigned the responsibility
of producing and distributing infrastructural facilities have come in for sharp criticism
on grounds of inefficiency and lack of cost effectiveness, resulting in continued
dependence on grants for sustenance. Some kind of “financial discipline” has already
been imposed by the government and Reserve Bank of India, forcing these agencies to
generate resources internally and borrow from development-cum-banking institutions,
and, in a few cases, from capital market at a fairly high interest rate. This has restricted
their areas of functioning and brought about a change in the thrust of their activities.

Solutions are also being found adopting efficient, transparent and decentralised
management of the facilities. With the passing of the 74th Amendment to Indian
Constitution and corresponding legislations, amendments, ordinances etc. at the state
level, decentralisation has become the keyword in governance. The vacuum created by
the limited withdrawal of the state in the provision of infrastructure is sought to be
filled up also through non-governmental organisations (NGOs) and community-based
organisations (CBOs), apart from the local authorities.

The enthusiasm for the above package of “management solutions”, both among the
international and national organisations, is mainly due to the issues concerning their
impact on settlement structure and poor people’s access to the infrastructural amenities
not receiving adequate attention among researchers. However, given the disparity in
economic strength of the towns and cities and their unequal access to capital market
and public institutions, this perspective would enable the larger cities to take up much
of the advantage from the system. Also, large sections of urban poor are likely to be
priced out of the formal systems of service delivery. A few researchers have pointed out
that the indifference on the part of policy makers on these issues would institutionalise
inequality in infrastructural facilities and accentuate disparity in the levels of economic
development.

In the wake of the strategy of economic liberalisation and the changes in urban governance
brought about by the 74th Constitutional Amendment, there has been a shift from
budgetary support to institutional financing for urban infrastructure development. There
exist new arrangements for mobilising resources, such as assigning contracts to private
agencies for providing infrastructural services (Eg public-private partnerships in DMRC
project). Furthermore, some infrastructure development/improvement projects are being
implemented by NGOs and local communities within a participatory framework. It is
also estimated that new public-private partnership scenarios of infrastructure financing
Understanding the Urban Society 57

are likely to emerge in the next couple of decades that would have a tremendous positive
impact on the deficiency of amenities across states and size classes.
The biggest strength of India lies in the fact that lndia’s urban policies are not be anti-
rural.
Indian cities and villages are interdependent and symbiotic. This feature is very rare in
other economies of the world. India’s cities are home to a vast population, owing to the
fact that it has 5 megacities and is supposed to have added Ahmedabad and Hyderabad
in the list by 2030.
On the face of it, we may term it as Urban sprawl. But in reality, the population today
in Indian cities are a microcosm of the nation as a whole - having a rich mix of communities,
cultures, professions and income classes-from having most deprived sections to middle
class to most affluent section- within the same demographic area.

3.4 Counter-Urbanisation
Until the mid-1950s Britain’s wildlife habitats were being destroyed for housing and
more roads at a rate of 200 to 300 sites a year. The same is true for Australia. Over the
past 40,000 years Australia has been home to about 1200 generations. The past five
generations, however, have changed the face of Australia more dramatically than all
preceding generations combined. Although Australia is a vast continent, approximately
70% of Australians live in cities.

Urbanisation usually occurs when people move from villages to settle in cities, in hope
of a higher standard of living. This usually takes place in developing countries. In rural
areas, people become victims of unpredictable weather conditions such as drought and
floods, which can adversely affect their livelihood. Consequently, many farmers move
to cities in search of a better life. This has been seen in Karnataka as well, where
farmers from Raichur and Gulbarga districts which are drought-stricken areas, migrate
to Bangalore to escape poverty.

Cities in contrast, offer opportunities of high living and are known to be places where
wealth and money are centralised. Most industries and educational institutions are
located in cities whereas there are limited opportunities within rural areas. This further
contributes to migration to cities.

Urbanisation brings with it several consequences - both adverse and beneficial which
have both social and environmental impacts. One of the adverse effects of urbanisation
is that there is increasing competition for facilities due to the high standard of living in
urban areas, which has triggered several negative effects. Many people including farmers
who move to cities in search of a better life end up as casual labourers as they lack
adequate education. This leads to one of the worst problems of urbanisation - the growth
of slums. Slums are urban areas that are heavily populated with substandard housing
and very poor living conditions. As a result, several problems such as land insecurity,
poor living conditions, unemployment, crime, etc. arise in the cities. This results in a
58 Introduction to Urban Governance - Concepts and Practices

reverse process to urbanisation wherein people start moving out of the cities. This
process is known as Counter-Urbanisation.
Counter-urbanisation is a demographic and social process whereby people move from
urban areas to rural areas. It first took place as a reaction to inner-city deprivation and
overcrowding. It is the movement of population and economic activity away from urban
areas.
As discussed before, many factors can come in to account when one decides to move
from an urban area to a rural area including: housing density, housing prices, pollution
levels (health afflictions), crime levels, decision of peaceful retirement, and a wish to
improve quality of life. Developments in rural electrification and rural communication
networks such as telephone, television, newspapers and internet bring to rural areas
some of the amenities of urbanity; thus, eliminating one of the obstacles which prevented
people from moving to a more rural setting.
The push factors of cities include high land values, restricted sites for all types of
development, high local taxes, congestion, and pollution. There are four main reasons
for counter-urbanisation:
1) The increase in car ownership over the last 40 years means people are more mobile.
This has led to an increase of the will and ability to commute. Also, the growth in
information technology (E-mail, faxes and video conferencing) means more people
can work from home.
2) Urban areas are becoming increasingly unpleasant places to live in due to pollution,
crime and traffic congestion.
3) More people tend to move when they retire.
4) New business/techno parks on the edge of cities mean people no longer have to
travel to the city center. People now prefer to live on the outskirts of the city to be
near where they work.
The pull factors offered by small towns are just the reverse of push factors present in
cities: cheap and available land, clean and quiet surroundings as well a high level of
amenity. Improvements in transport and communications have also lessened the
attractiveness of urban centers, and commuters are often willing to trade off increased
travel times for improved amenity.

Dozens of developing countries are still industrialising. Due to corruption, poor legislation
and tax policing of the legislation in these countries, pollution is many times higher than
is considered safe for human health. In the United States, Britain and many other Western
countries between 1985 and 1990 there was massive growth in out-of-town shopping
centres. Until 1985 most people did their shopping close to their place of residence at
small grocery stores. With the growth of large out-of-town shopping centres, towns-
based commerce decimated and car travel increased. Scenarios like this have only
promoted the process of counter-Urbanisation.
Understanding the Urban Society 59

Commercial Counter-Urbanisation - Much has been written about the residential patterns
of counter-Urbanisation, but the associated growth of rural business has attracted less
attention. The most successful and sustainable model of counter-urbanisation is
undoubtedly commercial counter-Urbanisation. It is the growth of rural economies
stimulated by inward migration. It is more than just a spatial decentralisation of business
activity. There are several social as well as the economic motivations of ‘counter-
urbanising’ business owners that are sustainable.
Commercial counter-Urbanisation can be a two-stage process, as the decision to work in
a rural area or run a rural business may occur several years after a residential shift.
Where this time lag exists, in-migrant business owners will be influenced by different
factors in different locations. In the context of neo-endogenous development, the balance
of local and extra-local forces is particularly significant. This leads to the conclusion
that in-migrant business owners need to become embedded into the rural community for
the wider rural economy to realise the maximum benefits from commercial counter-
Urbanisation.

3.5 Environmental Challenges in Urban Society: Local vs.

Global
Along with the numerous social and economic benefits of Urbanisation comes a plethora
of environmental ills, some of staggering proportion. Cities span less than three per cent
of the world’s land area, but the intense concentration of population, industry and
energy use can lead to severe pollution and environmental degradation. Furthermore,
a city’s ecological footprint extends far beyond its urban boundaries to the forests,
croplands, coal mines and watersheds that sustain its inhabitants.
In the cities of the developing world, where population growth has outpaced the ability
to provide vital infrastructure and services, the worst environmental problems are
experienced close to houses, with severe economic and social impacts for urban residents.
Inadequate household water supplies, waste accumulation, and unsanitary conditions
exact an enormous toll on the world’s one billion slum dwellers in terms of unnecessary
deaths and diseases. Developing country-cities also experience the world’s worst urban
air pollution as a result of rapid industrialisation and increased motorised transport.
Worldwide, urban air pollution is estimated to cause 4.2 million premature deaths each
year mainly from heart disease, stroke, chronic obstructive pulmonary disease, lung
cancer, and acute respiratory infections in children8.

While cities in wealthier countries have already adopted policies and technologies to
rectify many of their local environmental problems, the damage by such so-called
developed countries has already been done. However, there is a growing realisation
today that human activities in urban areas can have significant impacts on a global level
as well. The most prominent of these include their energy consumption and green-house
gas emissions, which has a significant effect on the global warming and climate change.

8
WHO- https://www.who.int/airpollution/ambient/health-impacts/en/
60 Introduction to Urban Governance - Concepts and Practices

This is especially true of the city dwellers in developed countries, characterised by some
of the highest per capita levels of consumption in the world, and who are thus largely
responsible for these environmentally damaging trends.

As developing countries are becoming wealthier and more urban, bringing their
consumption levels closer to those of the developed world, they are also fast becoming
significant contributors to the global problems of resource depletion and climate change.
Their adverse contributions cannot be curbed beyond a specific level as they need to
urbanise and develop for their economic growth. The real need, therefore, is to make
cities more efficient and less polluting rather than curbing Urbanisation trends. Sustainable
development of urban areas can play a great role in solving this problem.

3.6 References and Recommended Readings

Census of India (1991): Provisional population totals and Rural / Urban distribution,
paper 2 of 1991, Registrar General of India, New Delhi.
Census of India (1991) Final population tables, Paper 2 of 1992. Registrar General of
India, New Delhi.
Compendium of Environment Statistics (1999) Central Statistical Organisation, Ministry
of Statistics and Programme Implementation, Government of India.
United Nations (1992) Report of the United Nations Conference on Environment and
Development, Rio-de Janeiro, June 3-14, Vol. I & II, United Nations, New York.
World Commission on Environment and Development (1987) Our Common Future, Oxford
University Press, New York.
UN HABITAT Report Global Report on Human Settlements, 2007 - Enhancing Urban Safety
and Security.
Trends in Urbanisation 61

UNIT 4
MULTI-FACETED RAMIFICATIONS
OF URBANISATION
Contents
4.1 Introduction 61
4.2 Current Urbanisation Scenario 62
4.3 Global Trends 79
4.4 Multifaceted Ramifications of Urbanisation from the Indian Perspective 80
4.5 References and Recommended Readings 83

4.1 Introduction
The year of 2005 saw the enactment of the United Nation’s Millennium Development
Goals (MDGs), the international community’s unprecedented agreement on targets
towards the eradication of extreme poverty and hunger, which are extremely relevant
to the path of development any country would take in the coming years. Proceeding to
the year of 2015, the United Nations members agreed on the Sustainable Development
Goals, a collection of 17 targets to put the world on the path of sustainable development
and see its effects by 2030. The 11th SDG, specifically, is concerned with making cities
and human settlements inclusive, safe and resilient. Today, cities are home to nearly
half of the world’s population and over the next 30 years most of the two-billion-plus
person increase in global population is expected to occur in urban areas in the developing
world. Thus, the achievement of these goals will, to a large extent, depends on these
cities and on how well the country governments manage their cities.
In the year 2018, around 55% of the world’s population lived in urban areas1. In 1950,
almost 750 million people in the world lived in urban areas (which amounted to 30% of
the world’s population), and the figure is expected to increase to about 68% in 20502. The
ever-increasing urbanisation rates have manifold effects on ecosystems in and around
city centers as well as on human life and well-being, all of which are interrelated with
socio-economic aspects in various ways. The major problems of urban systems are
unhealthy and unpleasant living environments for humans and other living beings,
deteriorating relations with adjoining ecosystems as well as excessive ecological footprints

1
UN WUP Report 2018, p.7.
2
UN WUP Report 2018, p.7.
62 Introduction to Urban Governance - Concepts and Practices

of urban ecosystems. Although these problems can be correlated and mostly coexist in
particular urban settlements, a general trend can be made out. As a city’s economy
develops, there seems to be a shift from issues involving the provisioning of private
goods such as water for household consumption to the provision of public goods such as
global climate stability. The environmental burden shifts from the local to a more global
scale, traditional risks such as contaminated water give space to modern risks such as
industrial pollution. The city’s problems evolve from ones which are connected to poverty
to issues related to production and consumption patterns3.
As per the 2011 census, 31.14% of the Indian population (which was then equivalent to
377.1 million people) lived in urban areas, growing at rate of 2.37% currently4.
However, estimates of high productivity from these areas depend upon the availability
and quality of infrastructure services available- infrastructural issues being one of the
major challenges that urban agglomerations in rapidly growing nations such as India
face5. Up to date, services such as energy, communication, roads, (mass) transportation
and water supply, coupled with civic infrastructure, such as sanitation and solid waste
management pose important concerns to governments and municipal authorities.

4.2 Current Urbanisation Scenario

I) Demographics
During the period of 1950 to 1975, global population growth was evenly divided between
the urban and rural areas of the world. However, the period since then has been
characterised by rates of urban growth exceeding the growth rates of rural population.
In 2008, for the first time in history, over half of the world’s population lived in urban
areas and by 2050 this will have risen to around 68%6. This is mostly due to the rapid
increase in urban population in many developing countries.
Whereas Latin American and Caribbean nations are conventionally treated as “developing
countries” along with nations of Asia and Africa, its level of urbanisation (81% of its
population) is comparable to that of Europe (74%) or Northern America (68%). While the
urban share of the population of African and Asian nations is below the worldwide average
of 55%, both these regions have some the highest urban population densities in the
world.
The proportion of people living in very large urban agglomerations or mega-cities is still
small. Almost 8% of urban dwellers live in large cities having 5 to 10 million inhabitants,
most of which are in Asia 7. By 2050, this number is expected to grow to 9% by
2050. Moreover, there are now 33 megacities in the world, containing 13% of the total
3
MEA Urban Systems, p.807.
4
Govt. of India, Census 2001 - available at http //www.censusindia.gov.in/Census_Data_2001.
5
PWC, Future of India, The winning Leap, 2014.
6
World Urbanization Prospects: The 2018 Revision
7
United Nations Department of Economic and Social Affairs, News published May 2018. https://
www.un.org/development/desa/en/news/population/2018-revision-of-world-urbanization-
prospects.html
Trends in Urbanisation 63

population8. Certain cities of the world have now crossed the 20 million inhabitants and
are thus called “meta” or “hyper” cities. Tokyo, Shanghai, Delhi, Sao Paolo and Mexico
City are examples of the same.

Most of the urban population of the world, however, lives in urban settlements with
fewer than 1 million inhabitants. In 2019, 1 billion people or close to one half of the
world’s urban population lived in settlements with less than 500,000 inhabitants; another
400 million or 10% lived in settlements between 500,000-1 million; summing up together
to form 58% of the urban population. By 2030, it is expected that almost 1 billion persons
will be added to the urban population; yet most of these people will still be living in
these small settlements whose population is expected to grow from 2.4 to 2.8 billion in
the same period9. It is predicted that the bulk of new urban growth will occur in smaller
settlements of population sizes between 100,000 to 250,000, most of which are to be
found in the developed and transitional regions of the world10. The trend towards
concentration of population in larger urban settlements will not result in a decline of
the proportion or the number of persons living in smaller urban settlements11.

Especially in successful economies with good transport and communication systems and
increasingly competent local authorities also outside the large cities, new investment is
often targeted outside these mega-agglomerations, so that most large cities become
more dispensed on the long run12. For example, 39 U.S.-American cities have faced
population loss between 1990 and 2000, as economical restructuring processes made
parts of the population move away from a historically dominant urban core13. In India,
the share of the urban in the total population has been continuously and rapidly growing
over the last century14. The level of urbanisation increased from 10.8% in 1901 to 18.2%
in 1971 and 34.03% in 2018. The number of Indian cities with more than one million
inhabitants has increased from 5 in 1951 to 23 in 1991 and finally to 53 in 201115.

Table 1: Share and Density of Urban Population, Continents and World, 200416

Africa Asia Latin Oceania Europe America World

America North
Urban population as share of 38.4 37.5 67.9 70.8 70.9 81.5 46.7
total population (per cent)

8
United Nations, The World’s Cities in 2018, Data Booklet. https://www.un.org/en/events/citiesday/
assets/pdf/the_worlds_cities_in_2018_data_booklet.pdf
9
Ibid
10
Kundu, Amitabh, p.1.
11
UN Report 2002, Key Finding No. 15, p.3.
12
MEA Urban Systems, p.804.
13
UN HABITAT Report 2009, p.8.
14
Census of India, Rural Urban Distribution of Population, provisional population totals, Ministry of
Home Affairs.
15
Ibid.
16
Centre for International Earth Science Information Network, Columbia University; Global Rural- Urban
Mapping Project, 2004, available at http //beta.sedac.ciesin.columbia.edu/gpw.
64 Introduction to Urban Governance - Concepts and Practices

Share of urban dwellers in 45.9 50.6 49.3 57.4 44.5 61.5 49.8
cities over 1 million (%)
Urban population density 1,278 1,272 656 427 588 289 770
(persons per square kilometer)
Average population density 27 120 26 4 32 17 46
(persons per square kilometer)

Driving Forces of Urbanisation

As discussed in the previous units, driving forces behind urbanisation are factors which
cause an increase in the proportion of a population living in urban areas. Apart from the
natural growth of urban populations, main reason for the growth of urban population is
the migration from rural to urban areas on the one side and - mostly in consequence of
this movement - the transformation of rural to urban areas on the other side.

Although high population growth is a serious problem in most developing countries, the
actual prominent factor leading to rapid urban growth is internal migration from rural
to urban areas. As there is an acute lack of data on migration in many developing
countries, the difference between the urban growth rate and the natural (total population)
growth rate is used as an approximate indicator of rural-urban migration17. Statistics
show that rural migration constitutes between 35 and 60% of urban population growth in
different developing countries worldwide. Migrants currently account for 50% of the
world’s urban population18.

a) Push and Pull Factors

The causes prompting such population resettlements can be divided into pulling and
pushing factors, the former generally acting as principal driving forces and the latter
merely facilitating the process. On the one side, rural dwellers are compelled to leave
their home due to chronic poverty, landlessness, depletion of natural resources or common
property resources, lack of year-round employment, debt, natural disasters and
unavailability of basic facilities and services such as electricity, hospitals or schools.19
On the other side, it is the supposedly better access to these public services and, first
and foremost, economic incentives which act as pulling factors and attract rural population
to move to urban agglomerations. It is primarily the difference in the average income or
wage levels between rural and urban areas which incites migration to urban centres. As
wages in cities are kept high by union pressure, (stricter) application of minimum wage
legislation or through the payment of relatively high wages by governments, bigger
companies and foreign corporations, the rural-urban wage gap in many developing
countries is enormous20. The prospect of improving income situation and living conditions
17
Wahba, p.3.
18
Kundu, Amitabh p.1.
19
CDRI, p.19.
20
Wahba, p.4.
Trends in Urbanisation 65

clearly acts as main cause of migrations. It is thus mostly young people, able and ready
to work hard, who constitute the masses of rural-urban migrants worldwide In all
developing countries, migration is concentrated in the 15-30 age group21. A survey carried
out amongst young Cambodian migrants revealed that 45% of those asked had come to
the urban centers in “search for work”, while 17% left their rural homes due to “lack of
food”. Only 4% of the migrants mentioned “natural disasters” as cause for their coming
to the city22. Urbanisation can hence be seen as a free market response to disequilibrium
in labour markets.

Economic growth, especially if taking place in urban centers without providing for
possibilities of participation to rural populations, can consequently be called the main
driver of urbanisation. Advancing economies, undergoing structural changes moving
away from agricultural to industrial or service related work, hence have the strongest
urbanisation rates23. This also becomes clear from the fact that the most urbanised
nations are those with the highest per capita income24. Most of the world’s largest and
most rapidly growing cities either have key roles for global or regional economies or are
centres linking large national economies with the global economy. The exceptions tend
to be (former) national capitals, such as Cairo or Delhi25.

b) Over-Urbanisation
The economic pressure on many rural dwellers is such that they move from rural to
urban areas with the prospect of better paid or more regular employment even at the
risk of ending up as an unemployed urban resident. As the difference between the
employment possibilities and average income between rural and urban areas is so
tremendous, people are still moving to already overcrowded cities, despite the huge
social costs of rural-urban migration and the uncertainties and risks involved. With the
cities’ labour markets being unable to accommodate the masses of mostly unskilled
workers, this so-called phenomenon of over-urbanisation results in a rapidly growing
labour force found in the unstable and unproductive informal sector, rather than leading
to reduction in unemployment and poverty26. As the Indian National Commission on
Urbanisation has described it, urbanisation becomes a catalyst for economic development,
if and as far as job opportunities for rural migrants are productive and they lead to
gainful employment. If, however, urbanisation is merely a process of transfer of rural
poverty to an urban environment, it results in a concentration of misery27.

A dysfunctional urbanisation with an increasing concentration of population in a few

large cities but without the corresponding increase in their economic base, hence, results

21
Wahba, p.6.
22
CDRI, Figure 2.6, p.20.
23
McGee, p.11.
24
McGee, p.49.
25
MEA Urban Systems, p.804.
26
Kundu, Amitabh p.45.
27
Govt. of India, Delhi Planning Department, Economic Survey of Delhi 1999-2000, Chapter 14; available
at http //delhiplanning.nic.in/Economic%20Survey/chapter_14.htm.
66 Introduction to Urban Governance - Concepts and Practices

in the coexistence of urban misery and rural poverty28. Over-urbanisation is posing

increasing problems in numerous developing countries worldwide. As the Director of UN
HABITAT put it, 95% of the urban expansion is taking place in those cities least equipped
to negotiate the urban transition ó the secondary cities of Africa and Asia. As a result we
are witnessing the urbanisation of poverty29. To avoid over-urbanisation, policies and
legislation regulating rural-urban migration need to be enacted which should be
accompanied by measures to strengthen the rural economy30, as unregulated markets as
well as market failures (such as disparities in average incomes between rural and urban
areas) promote and contribute to over-urbanisation31.

c) The Effect of Migration: Urban Multiculturalism

Due to rising levels of partly even international migration, urban areas in all parts of the
world are increasingly becoming multicultural. It has always been an important
characteristic of urban settlements that people from different ethnic, cultural and religious
backgrounds live on close quarters32. An ethnic group can be defined as a collectivity of
people sharing some patterns of normative behaviour, who form a distinct group within
a larger population but also interact with people from other collectivities within the
framework of a social system33. Ethnic groups are generally engaged in a constant struggle
for resources with other ethnic groups- more prominently, urban ethnic groups since
resources in urban centres often being scarce and expensive34. Ethnic solidarity as a
form of generalised moral obligation provides for a strong network within most urban
ethnic groups35. Especially within minorities a strong feeling of belonging can be made
out, as these ethnic collectives try to hold their ground against politically or economically
stronger ethnic groups.

In cities in both developed and developing countries, societal divisions have been
increasing, partly as a result of the growth of ethnic minority groups in cities and partly
because of growing income and employment inequalities between and within such groups36.
Such inequality often divides cities spatially, as ethnic or social-economic groups tend to
form ghetto-like enclaves37. In Toronto, for instance, Canada’s most important immigrant
reception center since the Second World War, many suburban ethnic enclaves have been
emerging since ever the beginning in the 1970s-the time when huge numbers of immigrants
from Asia, Africa, the Caribbean, and Central and South America arrived38. Economic

28
Datta, p.12.
29
Anna Tibaijuka, Executive Director of UN-HABITAT in her address at the FIG Working Week 2008.
30
Kundu, Amitabh p.21.
31
Wahba, p.10.
32
UN HABITAT Report 2009, p.27.
33
Cohen, p.ix.
34
Hannerz, p.37.
35
Hannerz, p.40.
36
UN HABITAT Report 2009, p.7.
37
UN HABITAT Report 2009, p.34.
38
Preston, p.72.
Trends in Urbanisation 67

and spatial separation can lead to massive tensions as well as to the formation and co-
existence of different urban societies with relatively little interactions. Peaceful co-
existence happens when even minority groups successfully claim their rights to occupy
space and gain access to employment opportunities as well as public services39.

II) Housing
Urbanisation has both positive and adverse effects on human living conditions in terms
of residential quality, health indicators and availability of services and amenities.40
While the affluent urban population benefits from the availability of public services
such as hospitals and schools, unhealthy and unpleasant living conditions primarily affect
the most vulnerable groups living in urban areas, i.e. those without financial or political
power to access local ecosystem services or to evade/combat the effects of environmental
degradation and natural disasters41.

a) Slum Development
As population growth in many rapidly expanding urban centres has outpaced the rate of
housing provisions and availability of space, the demand for land by different groups of
society creates a great pressure on scarce urban land and increases its commercial
value. Consequently, access to land becomes increasingly difficult, especially for those
with insufficient financial power. Access to land, however, is essential for poor households
to survive and lift themselves out of poverty. Apart from being a basis for shelter and
access to services, secure land rights provide financial security and protection in times
of acute hardship42. Lack of access to land, because of its high cost or inadequate property
rights and land tenure arrangements, causes the development and expansion of slum
and squatter areas within an urban settlement43.

Design of such buildings, narrowness or faulty arrangement of streets, lack of ventilation,

light or sanitation facilities, or any combination of these factors, are detrimental to
safety, health or morals.44

Increasingly, parts of urban populations now live in such poor housing and environmental
conditions that pose an affront to human dignity45. In the developing world, close to 37%
of the urban population currently live in slums. In 2009, the number of slum dwellers
worldwide amounted to 1 billion people as per estimates of the UN HABITAT46. In many
cities, slum settlements account for more than 60% of the urban total47. For instance,
the proportion of slum population in Greater Mumbai in 2010 was 53%, which amounts

39
Preston, p.72.
40
Bentinck, p.131.
41
MEA Urban Systems, p.806.
42
UN HABITAT Housing, p.5.
43
MEA Urban Systems, p.816.
44
The Slum Areas (Improvement and Clearance) Act, 1956 - section 3 (1).
45
Olotuah, p.2.
46
UN HABITAT Report 2009, p.5.
47
Wahba, p.6.
68 Introduction to Urban Governance - Concepts and Practices

to approximately 9 million people48, in comparison to 48.8% or 6.5 million slum dwellers

in 200149.

The living conditions in squatter settlements are primarily characterised by unavailability

of ecosystems services such as water or sanitation (see Unit 6) and a scarcity of space.
Though the quality of housing can vary substantially between different or even within
certain slums, living conditions are generally harmful to health. In a study carried out in
slums in Chennai in 2003, only 64% of the buildings were of permanent nature, the other
46% being semi-permanent or temporary housings50. Depending on the use of building
materials, slum dwellers are often compelled to live in hazardous circumstances. Leaky
houses produce dampness, especially in the rainy seasons, and consequently lead to a
variety of diseases such as fevers. The use of low-quality paint can increase exposure to
toxic substances; inflammable or weak building materials such as wood, plastic or
cardboard further increases risks of injuries. Moreover, substandard building designs
play an important role for human well-being. Inadequate ventilation can cause exposure
to different pollutants and pathogens, poor lighting or heating influences both physical
and mental health, apart from potentially decreasing participation in activities such as
education51.

Furthermore, slum areas are most likely to be directly affected by environmental forces
since informal settlements are often built in high-risk areas like steep hill slopes or
flood- prone areas that are particularly susceptible to extreme weather conditions52.
The combined effects of natural ageing of the buildings, lack of maintenance and neglect,
wrong use of the buildings, poor sanitation in disposal of sewage and solid waste, wrong
development of land and increasing deterioration of the natural landscape further lead
to a poor housing quality53. Light, air and privacy are grossly inadequate in these areas.
All these factors lead to several social problems, which finally cause insecurity of lives
and property as well as poor health and productivity of the urban dwellers54.

The exclusion of a significant portion of urban households from legal shelter tends to
reduce a city’s overall economic development. People living in fear of eviction are less
likely to realise their full potential as workers or citizens and are unlikely, and often
unable, to invest in improving their homes and neighbourhoods55.

Despite their weak economic situation and the fact that they are mostly ignored by
wealthy urbanites and neglected by urban planners, cities do need the poor to prosper.
Processes of industrialisation which contribute strongly to a country’s economic
development and wealth have historically been built on bases of huge, low-paid

48
Jain, Bhavika “Mumbai’s slum population up by 29% Census” Hindustan Times 17/10/2010.
49
Govt. of India, Census 2001 “Metadata and Brief Highlights on Slum Population”, p.2.
50
Chandramouli, p.84.
51
WHO Report 2002, p.70.
52
UN HABITAT Report 2009, p.8.
53
Olotuah, p.4.
54
Olotuah, p.7.
55
UN HABITAT Land, p.7.
Trends in Urbanisation 69

workforces. The large supply of cheap labour, which is typically provided by slum dwellers,
allows for the development of a city’s economic activities in many different sectors such
as the industrial or construction labour market. The poor are equally important for the
service sectors of urban agglomerations, since it is their cheap work force in occupations
like domestic helps, cleaners, maintenance workers, cooks, waiters and rickshaw pullers
that keeps the city running56.

Low-quality housing can be often found adjacent to well-developed, wealthy residential

colonies, and has since become a characteristic feature of urban housing structures is
high patchiness. Accordingly, clusters with huge differences in the availability of ecosystem
services as well as quality of infrastructure and housing(depending upon their economic
activity) can be found in close vicinity. In the outskirts of many affluent cities, greenbelts
with high-quality housing can be found, where wealthy urbanites construct spacious
residences to evade urban pollution and congestion. In poorer urban settlements, on the
contrary, the land tends to be occupied by squatter and slum areas as the urban poor
decide to settle down in peri-urban zones where land is more easily available and where
they hope to escape the costs and threats of urban land regulations57.

An important feature of urban agglomerations, especially those which are growing rapidly,
is the co-existence of legal and illegal types of housing within the city boundaries.
Categories such as “regularised unauthorised settlements”, “planned colonies” or “urban
villages” are found here, indicating the simultaneity of a partly planned and organised;
and a partly unregulated expansion of the urban centre to formerly rural areas on the
city fringes58. Generally, the urban housing situation is in a constant process of
development since the land use patterns and legal status of different clusters undergo
regular changes. Illegal settlements being granted authorisation and slum dwellers being
evicted or resettled for the purpose of modernising/upgrading certain city parts are
some examples.

b) Resettlement and Eviction of Slums

In an attempt to combat uncontrolled urbanisation, governments in developing countries
often launch programmes aimed at improving infrastructural facilities and the level of
governance of urban areas, as well as to attract private investors from within and
outside the country for the same. Such programmes tend to push out squatter settlements,
informal sector businesses and polluting industries to a few pockets and peripheries of
the cities. As a result, the income level and quality of basic amenities in some favoured
parts of these cities go up. However, this is often associated with increased intra-city
disparity and the creation of degenerated periphery and city fringes59.
This shows how market forces are increasingly determining how space is used in cities.
Displacements are the direct or indirect consequence of a development aimed at making
56
UN HABITAT Eviction, p.10.
57
UN HABITAT Report 2009, p.9.
58
Hazards Centre, p.11.
59
Kundu, Amitabh p.46.
70 Introduction to Urban Governance - Concepts and Practices

the use of urban land more profitable. Not only do government agencies evict poor
people from large areas of cities to free up the land they demarcate for urban
infrastructure projects or to use the land for profitable rather than social purposes60, but
private landlords also engage in similar activities for the purpose of commercial
development of their properties61. For instance, the Los Angeles City Attorney has alleged
that Deutsche Bank(the world’s fourth-largest bank) has illegally evicted tenants from
the properties it owns62.
Evictions put additional burdens on the city’s poor and already marginalised residents.
They are further distanced from proper health care and educational facilities as well as
employment opportunities as they are often forced to shift to the outskirts of the urban
centres, where the competition and demand for land is comparatively lower. As slum
dwellers are unable to afford both time and transport expenses for commuting to more
central parts of the city, where most of their workplaces are located, eviction often
leads to even higher unemployment amongst them. Their social structures are disturbed
and broken up by forceful evictions, because of which these slum dwellers are also
exposed to alienation and conflict which has the potential to increase levels of crime
and violence. We need to understand that while eviction might contribute to the
modernisation and beautification of city, it does not alleviate housing shortage within
the urban center. The evicted slum dwellers either move into existing slum areas or new
squatter settlements developing on the periphery of the city63.
As defined by the UN, evictions are “a permanent or temporary removal against their
will of individuals, families and/or communities from the homes and/or land they occupy,
without the provision of, and access to, appropriate forms of legal or other protection64.”
Such expulsions clearly violate Art. 25 of the Universal Declaration of Human Rights,
which states that “Everyone has the right to a standard of living adequate for the health
and wellbeing of himself and of his household, including food, clothing and housing65.”
Another relevant international Human Rights Document is the International Covenant
on Economic, Social and Cultural Rights (CESCR), Art. 11 (1) of which recognises the right
to adequate housing. The UN High Commissioner for Human Rights’ General Comment
No. 7 on Art. 11, which illustrates and explains the Right to Housing, states that “the
State itself must refrain from forced evictions and ensure that the law is enforced
against its agents or third parties who carry out forced evictions66”. Thus, evictions that
are state-driven as well as those that are carried out by private landlords are illegal and
in violation of internationally recognised Human Rights. However, eviction programmes
can be carried out legally as well- if they provide for adequate resettlement options,
avoid rendering slum dwellers homeless and are consistent with other Human Rights.
60
UN HABITAT Eviction, p.7.
61
UN HABITAT Land, p.6.
62
Garrison, Jessica; Linthicum, Kate “L.A. suit calls Deutsche Bank a slumlord” Los Angeles Times 05/
05/2011
63
UN HABITAT Eviction, p.15.
64
UN High Commissioner for Human Rights; Comment 7 on Article 11.1 of the CESCR The Right to
Adequate Housing - Forced Evictions; 1997; para 3.
65
UN Universal Declaration of Human Rights 1948, Art. 25 (1).
66
UN High Commissioner for Human Rights; Comment 7 on Article 11.1 of the CESCR The Right to
Adequate Housing - Forced Evictions; 1997; para 8.
Trends in Urbanisation 71

III) Effects on Environment and Ecosystems

It is well-known that cities are the hub-house of economic and social activities and their
respective bio-chemical processes. Apart from this, others factors like intensified
consumption levels, increased levels of pollution and ignorance of the existence and
importance of naturally existing ecosystems are also present, which make cities and
urban agglomerations impose burdens on ecosystems within, surrounding and even at
great distance from urban areas67. Generally, the burdens that these urban activities
impose on other groups of the population- whether residing close to or distant from the
city, and even future generations by reducing their access to ecosystem services (either
because these services are diverted to urban uses or because the ecosystems themselves
are degraded)- raises issues of spatial and temporal justice68. Though most of these
negative relationships between urban and other ecosystems have little to do with urban
settlement patterns per se, some of them are directly caused by; and many of them are
aggravated and intensified by the spatial concentration of urban consumption and
production69.

a) Effects on Ecosystems within the Urban Settlement

Besides affecting human living conditions in the various ways depicted in the other sub-
chapters, urbanisation has a strong impact on ecosystem services such as water, air and
green spaces. These shall be analysed in detail in “Unit 6 - Urban Infrastructure, Basic
Services”.

Urbanisation also has grave effects on non-human living beings within the city boundaries.
By providing abundant food resources and possibilities for shelter, these urban areas
typically contain numerous opportunities for the persistence of native nonhuman species70.
For instance, an estimated number of 40,000 stray cattle lived in Delhi in 2004 and the
stray dog population in Moscow is said to be about 35,00071. Due to economic activities
and a higher share of built-up surface, the ambient temperature in cities is generally
2-3 degrees higher than in adjacent rural areas (so-called “urban heat island effect”)72.
The moderate climate created thereby is another favourable factor for the invasion/
introduction of exotic species - plants as well as animals - from warmer regions.

Urban areas tend to be rich in species because of the high habitat diversity they possess.
Urban ecosystems are highly patchy, and the spatial patch structure is characterised by
a high variation of species between different areas as well as a great degree of isolation
between different patches. The patchwork nature of urban ecosystems is accentuated
by the various individuals and businesses found in an urban area which carry out their
respective activities and managing their spaces as per their needs. Parcels of urban land

67
Grimm, p.264.
68
MEA Urban Systems, p.806.
69
MEA Urban Systems, p.815.
70
MEA Urban Systems, p.807.
71
Sternthal, Susanne, Moscow’s Stray Dogs “Financial Times”, 16/01/2010.
72
Nowak, p.18.
72 Introduction to Urban Governance - Concepts and Practices

range from municipal parks and private gardens over abandoned industrial areas to
railway corridors and metro tunnels, which renders the urban environment full of
ecological discontinuities73. In many studies, the quantity of different species of plants
and animals were found to be higher in urban agglomerations than in the surrounding
landscape74.

This fact reflects the ability of plants, animals, and microorganisms to survive and adapt
to the man-made changes connected to urbanisation75. However, the strength in the
number of exotics - invasive or accidentally introduced species - is not merely to be seen
as a positive increase in biodiversity. Rather, if the most aggressive and adaptable ones
amongst these non-native species replace native plants or animals, they reduce the
biological uniqueness of a local ecosystem76.

Notwithstanding the notable diversity of animals and plants found in urban areas, the
most important consequence of urbanisation is habitat loss due to habitat fragmentation
or habitat alteration77. Urban construction and production typically conflict with wildlife
and habitat conservation78. Studies carried out for recording the number and frequency
of occurrence of animals in cities show that the number of mammals and birds typically
declines with a higher degree of urbanisation; and the trend goes along a rural-urban
gradient79. High levels of pollution and noise create stress and other dangers for living
beings, which on the whole decrease the frequency of the occurrence as well as the
health and persistence of these beings. Likewise, the high human population density in
cities creates a high visitor pressure, which causes disturbance and stress to animals.
Furthermore, what can be called “planned disturbance” - maintenance of green spaces,
such as mowing of lawns and regular cuts of undergrowth in forests and along railway
tracks – is an additional source of stress for living beings80.

The aforementioned patchiness of urban habitats and the poor connectivity between
them (which may happen due to roads or built-up space creating barriers difficult to
overcome) leads to isolation and fragmentation of these habitats. This prevents or
complicates search for food, shelter and partners for reproduction.

b) Effects on Surrounding and Distant Ecosystems

Ecosystems directly adjoining urban settlements and even more distant urban and rural
areas can be affected by urban centres. Urban water demands often conflict with
agricultural demands. Structural modifications and pollution of streams and rivers can
affect hydro-ecology in ecosystems located downstream81. It is also possible for urban
73
MEA Urban Systems, p.808.
74
Altherr, p.3.
75
MEA Urban Systems, p.807.
76
Altherr, p.5.
77
Altherr, p.5.
78
MEA Urban Systems, p.808.
79
Altherr, p.7.
80
Altherr, p.6.
81
MEA Urban Systems, p.815.
Trends in Urbanisation 73

water pollution to damage downstream agriculture. Although institutions for monitoring

and reconciling such conflicts exist in many countries, they tend to work neither efficiently
nor equitably. This is primarily due to the fact that the social, economic and political
importance of cities ensures that their demands, and not ecology, are given priority. For
instance, inequity can be observed in interregional resource allocation in most countries.
Moreover, no system for economic compensation that caters towards ensuring that regions
which provide other (urban) areas with natural resources at their own cost are duly
compensated for such losses has yet been established. Instead, the distribution of water
between different regions is often simply carried out by administrative order82. In many
rural areas adjoining large urban centres, scarcity of water has consequently become
the limiting factor for agricultural productivity83.

Such shortage of agricultural water supply can, in some cases, even cause the illegal use
of untreated urban sewage, which carries great potential risks for human health84.

Similarly, urban demands for fuel wood and charcoal have an impact on surrounding
areas. “Rings of deforestation” are developing around many African and Asian cities
where charcoal is the major cooking fuel85. Agricultural activity close to urban centres
is further influenced by changing land use patterns. Here, urban dwellers and industries
on the one side and agriculturalists on the other compete for land in the process of urban
expansion, causing the land prices in adjacent rural areas to rise, which often renders
agricultural activity uneconomical. Moreover, the changing(and increasing) demand for
agricultural produce-for example the tendency of many urban markets to demand
standardised produce- favours monocultures, which poses a serious threat to biodiversity86.

Increased levels of pollution caused by urbanisation and the corresponding social and
economic activities of urban dwellers affect regional as well as global ecosystems87.
Urbanisation generates air pollution, the impact of which are felt near the emission
sources as well as hundreds to thousands of kilometers away because owing to long-
range transport and atmospheric chemistry. Such pollutants hence potentially affect
even distant ecosystems88. The phenomenon of climate change, which affects all
ecosystems worldwide in different ways, is to a large extent caused by industrialisation
processes closely linked to urbanisation. The most important anthropogenic activities
that impact climate are the increase of greenhouse gases and the changes in land use
which are both related to increasing urbanisation89. It is estimated that urban areas
account for approximately 80% of all greenhouse gas emissions worldwide, since per
82
Bai/Imura, p.32.
83
MEA Urban Systems, p. 815.
84
Bai/Imura, p.34.
85
MEA Urban Systems, p.815.
86
MEA Urban Systems, p.814.
87
Grimm, p.265.
88
Grimm, p.268.
89
Cai, p.1.
74 Introduction to Urban Governance - Concepts and Practices

capita emissions in urban areas are higher than those in rural areas due to differences
in the production and consumption behaviours of rural and urban populations. However,
in many high-income countries, large cities often have lower levels of average greenhouse
gas emissions as compared to rural areas. This mainly because urbanites tend to use
environmental-friendly public transport services more frequently and, more recently, a
significant share of energy is generated from renewable energy resources due to the
availability of advanced technologies90. Owing to differences in economic activities,
enactment and enforcement of environmental regulations and methodology used in
measuring urban greenhouse gas emissions, the data collected in this field varies
considerably for different cities 91 From more than 15 tonnes of carbon dioxide emissions
per capita and annum in Sydney or Washington to about 1 tonne in Kolkata and Sao
Paolo92.

Climate change, caused to a considerable extent by urbanisation, will in turn gravely

affect urban settlements. The coastal regions of the world are disproportionately more
urban than other regions such as dryland or mountain territories - with 10% of the
world’s seashore area being urban. The distribution is mainly because proximity to the
sea makes the sea’s ecosystem services (such as food provided by fishery products)
easily available and provides easy access to water transportation93. As these coastal
regions are ecologically more fragile and susceptible to changes in the ecosystem, they
are likely to be the most intensely affected by the expected rise in the global sea level
as well as natural disasters related to climate change such as hurricanes94. Globally
averaged air temperature at the earth’s surface has already increased between 0.3º and
0.6ºC since the late 1800s. The average surface air temperature is currently expected to
increase by 1º to 3.5ºC by 210095.

IV) Human Living Conditions and Health

Even though the urbanisation of a region generally leads to loss of the local ecosystem
services, the economic growth affording and/or accompanying such development processes
usually outweighs the health hazards created by it. Urbanisation is often accompanied
by major investments in public infrastructure like hospitals, due to which life in urban
habitats is on an average healthier than life in rural surroundings96. In many developing
countries, better accessibility and quality of public health services renders urban
surroundings more advantageous to people’s health97. Even where the quality of care
provided by government hospitals is low (as is often the case in developing nations),
private doctors, clinics and pharmacies can ensure relatively easy access to medicines,

90
Satterthwaite, p.2.
91
Hoornweg, Daniel et al. “Cities and greenhouse gas emissions” 2011, p.1.
92
Kennedy, C. et al. “Greenhouse Gas Emission Baselines for Global Cities and Metropolitan Regions”
p.33, Table 6.
93
MEA Urban Systems, p.801.
94
Grimm, p.265.
95
Nowak, p.6.
96
Montgomery, p.4.
97
Zimmer, p.3.
Trends in Urbanisation 75

basic care in case of emergencies, and the distribution of information on diseases and
hygiene98. Apart from the relatively better access to health-care facilities, the rising
economic standard in urban centres is one of the main factors behind the higher average
life expectancy in urban and peri-urban areas as compared to rural areas99. A study
showed mortality of adult Chinese in rural areas to be 30% higher than in urban centres100.
In 2006, the mortality rate in India was 6.0 in urban centres, in comparison to 8.1 in rural
areas101 - which means, that out of a sample populations of 1,000,000 people each,
approximately 6000 persons in urban and 8100 persons in rural settlements died within
one year. In 2009, the infant mortality was 55 deaths on every 1000 live-births in rural
areas as compared to 34 deaths/1000 live-births in urban settlements102.

However, the health services offered in cities are not available for everyone. Poor
rural-urban migrants often find themselves living in suburbs; without even the most
basic facilities such as supply of drinking water or sanitation and accompanied by high
unemployment rates. Moreover, a range of urban health hazards and health risks associated
with urban living conditions such as substandard housing, air pollution, contaminated
drinking water, inadequate sanitation and solid waste disposal services pose additional
risks to the health and well-being of the urban poor. Consequently, especially amongst
high-poverty groups, mortality in urban areas can be the same as or even higher than in
rural areas. For instance, a study conducted in 2014 found that African- Americans living
in poor rural areas tend to have better life-expectancy than African- Americans living in
inner-city urban areas103.

The probability of black men from high- poverty areas to survive to the age of 65 was 60%
in rural and only 37% in urban areas, despite same poverty rates in the respective
neighbourhoods. The mortality ratio was 4.1% in urban and 1.9% in rural areas104. This
difference in life expectancy can be attributed to the extremely unhealthy living
conditions in poor urban areas. Increased population density in urban areas, as compared
to their rural counterparts, increases the risk of infectious diseases. Environmental
toxins are more likely to be concentrated in urban areas than the rural ones and, therefore,
may contribute to cancer death rates in urban areas105.

Because of the huge discrepancy in availability and access to public health services,
many cities- especially in developing countries- show substantial intra-urban variations
in health due to urban inequalities106.

98
Bentinck, p.133.
99
Bentinck, p.133.
100
Zimmer, p.2.
101
United Nations Statistics Division, Mortality, Table 16 Infant deaths and infant mortality rates by age
and sex; 2008 - available at http //unstats.un.org/unsd/demographic/concerns/mortality/.
102
Registrar General, India - Sample Registration System - Bulletin January 2011; Table 1, p.1.
103
Geronimus, p.3.
104
Geronimus, Table 1, p.4.
105
Geronimus, p.20.
106
Zimmer, p.3.
76 Introduction to Urban Governance - Concepts and Practices

a) Spread of infectious Diseases

Human settlements are host to a variety of microorganisms, some of which can cause
human diseases. Changing settlement patterns influence health conditions as they alter
the relations between humans and these microorganisms107. The living conditions in
urban centers affect the availability and quality of ecosystem services such as water,
and hence also affect human health.

The issue of unhealthy and unpleasant living conditions, especially in low-income cities
and neighbourhoods is caused primarily by inadequate access to safe water as well as
lack of hygienic sanitation. These insufficiencies contribute significantly to the spread
of infectious diseases and consequently lead to a loss of human well-being and dignity108.

Historically, cities have played an important role in spreading infectious diseases. Without
large urban settlements, a number of diseases, including measles and smallpox, would
not have been able to maintain themselves in human populations109. In a study carried
out by the World Health Organisation and published in the year 2002, unsafe water,
sanitation and hygiene, typically found in urban low-income settlements, ranked sixth
amongst the main risk factors for the spread of infectious diseases110, with more than 80%
of all cases of diarrhoeal disease worldwide attributable to them111. According to WHO
World Water Day Report, every year about 2.2 million people die from diarrhoea; 90% of
these deaths are among children, mostly in developing countries112.

Hence, the improvement of water supply and sanitary conditions was one of the targets
of the United Nations Millennium Development Goals. Target 7.C stated the goal to
“Halve, by 2015, the proportion of the population without sustainable access to safe
drinking water and basic sanitation13.”

In slum settlements especially, the water available to resident stems many a times from
hand-pumps and bore-wells that directly yield unprocessed groundwater which is often
non-potable and unfit for household purposes such as cooking. It is also true that the
concentration bacteria or chemical particles in the water beyond a desirable limit render
the water harmful to health. In a survey in different Delhi slums, faecal coliform bacteria,
which can cause waterborne diseases such as jaundice and cholera, were found present
in 3 out of 5 water sources114. In other cases, water was rendered non-potable by high
levels of chlorine, fluoride and other salts. The high incidence of gastro-intestinal diseases
in areas of low-income urban settlements can, to a large extent, be traced to inadequate
chlorination, contamination due to improper storage as well as contamination of drinking
water sources that happens mostly because of garbage accumulation and open

107
MEA Urban Systems, p.799. 108 MEA Urban Systems, p.806. 109 MEA Urban Systems, p.811.
110
WHO Report 2002, p.68.
111
WHO Report 2002, p.24.
112
WHO Report 2019, https://www.who.int/news-room/fact-sheets/detail/drinking-water
113
United Nations Millennium Development Goals, Goal 7 C; available at http //www.un.org/
millenniumgoals/environ.shtml.
114
Hazards Centre, p.30.
Trends in Urbanisation 77

defecation115. In 63% of the households participating in a survey carried out in a slum in

Khulna in Bangladesh, at least one family member had been seriously ill during the past
3 months, with water borne diseases being most prevalent116.

Toilet and sanitation conditions in squatter settlements are also often inadequate. In
2000, almost 35% of all households situated in slums in Chennai, had no access to any
latrine117. As per a study of the Indian National Sample Survey Organisation carried out
in 2002, as many as 51% of the non-notified slums in India had no latrine within their
premises118. Besides these extreme cases, latrines are often situated far from the dwellers’
places of residence; and are over-crowded and badly maintained because of which they
are mostly found in unhygienic conditions. Consequently, many slum dwellers have no
option but to use open spaces to defecate, a compulsion which is clearly an affront to
human dignity119. This infringement of private sphere is problematic especially for women,
who have to wait for the dark to avail some privacy. However, due to the absence of
streetlights, such ventures can also be dangerous since slum surroundings are generally
unsafe in the dark.

Other factors that pose risks to the health and lives of slum dwellers are the absence of
proper drainage systems and provisions for waste collection. For instance, in the year
2002, only 56% of the households in Chennai slums disposed of closed drainage facility.
30% had no drainage system whatsoever, 14% used open drainage facilities120. This leads
to collection of water that is polluted and stagnant, which in turn breeds mosquitoes and
insects that can cause various kinds of illnesses such as malaria and dengue. Even the
open containers in which the slum dwellers store drinking water they have carried home
from pumps and wells can act as breeding grounds for these disease vectors121.

As has been established, many of the environmental conditions that facilitate the
transmission of infectious diseases in low-income urban areas lie in the public domain.
They create health risks of the extent that private actions cannot address effectively,
especially since those who are most affected tend to have very little financial as well as
political power to influence government agencies122.

b) Adverse Effects of Environmental Stress - Congestion, Pollution

Apart from contaminated water, it is mainly air pollution and solid waste mismanagement
that pose significant risks to health and well-being of urban dwellers, with noise and
odour - though less noxious - completing the picture.

115
Chandramouli, p.87.
116
Rana, p.6.
117
Chandramouli, p.88.
118
Govt. of India, National Sample Survey Organisation “Condition of Urban Slums 2002” 2003; p.28.
119
Hazards Centre, p.31.
120
Chandramouli, p.89.
121
Chandramouli, p.87.
122
MEA Urban Systems, p. 812.
78 Introduction to Urban Governance - Concepts and Practices

Air pollution as defined by the Indian Air (Prevention and Control of Pollution) Act, 1981
means the presence of air pollutants in the atmosphere, viz. any solid, liquid or gaseous
substance (including noise), in a concentration which may be injurious to human or
other living beings123. Such particles can be of either natural or man-made origin; can be
chemical, physical or biological; and can range from vehicle emissions to dust from
construction sites to pollen. Carbon monoxide, carbon dioxide, ozone and particulate
matter are some pollutants of major public health concern.
Pollution in outside or ambient air as well as indoor air pollution places grave risks to
human health as well as to that of other living beings in the environment. The occurrence
of air pollutants increases with human economic activities such as construction work
and transport. Hence, due to their high population density, urban agglomerations are
prone to be more intensely affected by ambient air pollution. Populations in rapidly
expanding megacities of Asia, Africa and Latin America, especially, are increasingly
exposed to levels of ambient air pollution comparable to those experienced by
industrialised countries of the first half of the 20th century124. According to WHO estimates,
in 2016 itself, urban ambient air pollution causes about 29% of all cases of lung cancer
worldwide. As it is furthermore a major factor in the incidence of other respiratory
infections, about 4.2 million per annum of all deaths worldwide can be attributed solely
to air pollution125. Ambient air pollution, hence, has a serious impact on human health.
However, it poses a relatively smaller risk to human health than water and sanitation
problems.
Illness due to indoor air pollution, on the contrary, is as widespread as water borne
diseases126. Indoor air pollution is caused by the use of traditional energy sources such as
coal and biomass (wood, dung, crop residues) for cooking and home heating. Bio-mass is
still the main source of energy for about 2.5 billion, people worldwide127; which is almost
one-third of the entire world population. Exposure to pollutants from burning these fuels
is particularly higher for women and young children, for they spend much of their time
indoors and near the fire128. The amount of pollutants they inhale on a daily basis has
often been compared to that of an active cigarette smoker129.
The effects of air pollution on human health are especially grave when combined with
the burden of heat stress, like in the abovementioned “Urban Heat Island Phenomenon”.
Heat stress can cause discomfort and even health risks, especially to very young or
elderly urban residents, and in locations which are already excessively warm130. The
combined impact of the two factors- air pollution and heat stress- is presumed to be
more intense than the simple additive effects of the two stresses131.
123
The Air (Prevention and Control of Pollution) Act, 1981, Section 2 (a) and (b).
124
WHO Report 2002, p.68.
125
WHO Report 2002, p.69.
126
WHO Report 2002, p.70.
127
World Bank on Public Health Issues, Indoor Air Pollution; available at http://web.worldbank.org.
128
MEA Urban Systems, p.813.
129
Bruce, p.798.
130
Nowak, p.12.
131
Satterthwaite, p.7.
Trends in Urbanisation 79

Solid waste pollution further deteriorates the quality of urban living conditions. Due to
changing patterns of production and consumption, urban development is often
accompanied by an increasing generation of waste. Urban surroundings tend to bring
people into closer contact with waste products, which can partly be chemically harmful,
because of general lack of space and more crowded living conditions, thereby posing
serious threats to human health132.
Congestion and over-crowdedness are two other factors which pose a burden on human
health in urban centers. Despite being having a lot of urban characteristic, it is the
residents of low-income settlements who have to particularly suffer from congestion
and the associated impacts, since slum dwellers normally live under the most crowded
conditions. Since they lack access to land, the urban poor depend on rented
accommodation, which they also often share with many others to save money133 as well
as to avoid the dangerous health impacts of a complete lack of housing, which affects
millions of people worldwide134. Overcrowding, especially in combination with inadequate
ventilation, causes and increases exposure to different pollutants and pathogens and
thus facilitates the spread of infectious diseases. The lack of privacy in these settlements
can also cause a high level of stress, which have time and again proved to be detrimental
to the mental as well as physical health of people.
Apart from household crowding, the stress experience related to intra-urban travel has
also been found to have a substantial negative effect on mental health135. Traffic jams,
for instance, apart from wasting time and fuel and thus being detrimental to a city’s
economy, also augment the levels of vehicle emissions and motor vehicle injuries136.
Public transport systems such as buses, metros or trains are also sometimes severely
over-crowded. Such transport systems form a major interface between the location of
activities and the general movement of people in an urban system, and hence can
potentially influence the well-being and mental condition of a large share of urban
populations137. This causing stress and frustration, especially to those who depend on
these services on a day- to-day basis. Moreover, the fact that people have to travel in
close quarters also aids in the transmission of diseases.

4.3 Global Trends

The United Nations World Urbanisation Prospects Report 2018 estimates that the world
is set to add another 2.5 billion people by 2050, with almost 90% of this growth happening
in Asia and Africa- two continents that make up most of the developing regions of the
world. China, India and Nigeria are together expected to account for just over one-third
of this growth138.
132
MEA Urban Systems, p.811.
133
Bentinck, p.135.
134
WHO Report 2002, p.70.
135
Asiyanbola, p.2.
136
Levy, p.2.
137
Levy, p.3.
138
United Nations, 2018 Revision of World Urbanization Prospects, Publications ( May 16, 2018) https://
www.un.org/development/desa/publications/2018-revision-of-world-urbanization-prospects.html#:~:
text=Projections%20show%20that%20urbanization%2C%20the,and%20Africa%2C%20 according%20to% 20a
80 Introduction to Urban Governance - Concepts and Practices

Rural-urban migration in combination with the universal reduction of fertility levels are
expected to occur at a greater rate in the future. These changes will lead to the eventual
reduction of the rural population of the less developed regions. According to the UN
World Urbanisations Prospects Highlights 2018, the global rural population is now close
to 3.4 billion. It is expected to rise slightly and then decline to 3.1 billion in 2050139.
Furthermore, it is interesting note that currently India has the largest rural population
of the world- of around 893 million140. Simultaneous to this, India also houses the second
largest urban population of the world of around 461 million. The country is also expected
to add 416 million people to its urban population by 2050; and thus lead the world in this
regard.
To transform urban India into an entirety of “community-driven, totally sanitised, healthy
and liveable cities and towns,”141 a goal stated by the Indian Ministry of Urban Development
in the National Urban Sanitation policy, 2007142; and which continues in the urban
development policies of the Central government to date; it is of central importance to
improve urban infrastructure systems nationwide. This would require financing on a
major scale. However, since it is estimated that the Indian Government will not be able
to finance these projects from within its budgets, a compulsion has arisen to access
financial resources from the market and to induce the private sector to participate in
urban development programmes143.
Furthermore, it is imperative for many rapidly growing megacities, in India and elsewhere,
to decelerate the process of urbanisation; because the infrastructure in many of these
urban agglomerations is already heavily burdened with the number of people it has to
accommodate. This can only happen if migration is controlled effectively - through
regulations imposed on rural-urban movements by the legislature of the respective
countries and, more importantly, by integrated rural development policies. Such an
approach would have to include educational and health institutions and other
infrastructural facilities, as well as development of rural housing in a way that will serve
to improve the general living conditions of rural dwellers. Only through an enhancement
of rural living conditions will it be possible to slow down the process of accelerated
urbanisation, accompanied by an alarming deterioration of urban living conditions144.

4.4 Multifaceted Ramifications of Urbanisation from the Indian

Perspective
In India, the share of the urban in the total population has been continuously and rapidly
growing over the last century the level of urbanisation increased from 10.8% in 1901 to
139
United Nations, Department of Economic and Social Affairs, Population Division (2019). World
Urbanization Prospects 2018: Highlights (ST/ESA/SER.A/421).
140
Outlook magazine, June 2019, https://www.outlookindia.com/magazine/story/urbanisation/
301783#:~:text=The%20global%20rural% 20population%20is,by%20China%20 (578%20million).
141
Govt. of India, Ministry of Urban Development, National Urban Sanitation Policy” 2006; p.7.
142
Ministry of Urban Development, Urban Sanitation Policy 2007, http://www.indiaenvironmentportal.
org.in/files/nusb.pdf
143
Govt. of India, Ministry of Urban Development on “Urban Infrastructure”, available at http //
www.urbanindia.nic.in/urbanscene/urbaninfra/urbaninfra.htm.
144
Olotuah, p.8.
Trends in Urbanisation 81

31.14% in 2011. Due to the enormous population growth, the importance of natural
growth with respect to the increase of urban population is comparatively high in India,
a fact that has been proven throughout history. During 1971-81, about 41% of India’s
urban growth could be attributed to natural increase which reflects the then role of
demographic momentum. Out of this, 36% of the increase in urban population was due to
rural-urban migration and municipal boundary changes and 19% due to transformation of
rural into urban area. Urban growth due to natural increase has increased from 42% in
1971-81 to about 60% during 1981-91145. Even during 1991-2001, natural growth played a
major role in stepping up the urban growth146, with only 21% of the growth of urban
population being accounted for by migration147. Most migrants moving to be urban centres
originated from surrounding rural districts with 82.1% of the rural-urban migration in the
1990s being intra-state migration148.
Table 2: Decomposition of Urban Growth in India149

Components of Urban Growth 1961-1971 1971-1981 1981-1991 1991-2001

Natural increase 64.6 51.3 61.3 59.4
Transformation of rural into urban areas 16.7 29.1 17.0 19.2
Migration 18.7 19.6 21.7 21.0

As per a 1981 survey, “employment” was the most cited reason for rural-urban migration
with 47.5% of the male migrants citing it as their main incentive, followed by reasons
such as re-unification of families (23.5%) and education (8.1%)150.
The majority of these migrants, however, fail to attain their main objectives of improving
their employment and income situation after migrating to urban agglomeration. In most
Indian cities, urbanisation occurs without a corresponding pace of industrialisation or
development of a strong demand for unskilled labour force. Urbanisation is mainly a
product of poverty-induced migration occurring more due to the rural push than urban
pull factors. This so-called “distress migration” leads to massive growth of slum
settlements, unemployment rates, inequalities and causes an overall degradation in the
quality of urban life151.
An example for vast dimensions of over-urbanisation is Kolkata. In a survey conducted
in 2003, it was found that the city has more than 30% of its population living in slums.
Many slums emerged in the 1940s and 1950s, as an outcome of industrialisation-based
rural-urban migration, locating themselves around industrial sites and near infra-structural
arteries152. Today, more than 40% of Kolkata’s slum dwellers have been living in squatter

145
Datta, p.12.
146
Mitra/Murayama, p.4.
147
Kundu, Amitabh p.16.
148
Mitra/Murayama, p.8.
149
Mitra/Murayama, Table 1, p.4.
150
Mitra/Murayama, p.15.
151
Datta, p.12.
152
Kundu, Nitai p.299.
82 Introduction to Urban Governance - Concepts and Practices

settlements for two generations or longer, and more than half originate from the Kolkata
hinterland. With the majority engaged in the informal sector, with average monthly
earnings of between 500 and 1700 rupees and a household size of five to six persons,
approximately three-quarters of the Kolkata slum population are below the poverty
line. The Environmental Improvement of Urban Slums (EIUS) scheme, in operation since
1974, which aims at improving living conditions in slum areas by providing basic civic
amenities along with physical and social infrastructure, has been partially successful.
Some public services and basic amenities in many slum areas have been considerably
improved, for instance through the construction of 159 km of drainage and sewerage
network between 2005 and 2008, the provision of solid waste containers and the
installation of electric lighting in public spaces153. 60 slums have been provided with
improved toilets, urinals and internal pathways154. However, no programme has been
efficient in decreasing the number of Kolkata’s slum population or in preventing the
growth of new slums through migration or natural increase.
Another Indian city facing massive problems due to rapid growth of their population and
squatter settlements in specific is Mumbai. The city’s rapid economic development,
especially the opening of oil and dying mills in the early 20th century, have been resulting
in the creation of employment opportunities which in turn attract a heavy influx of
migrants155. During the initial period after independence, in the 1950s and early 60s,
migrants constituted about 50% of the total growth of population in Mumbai. Subsequently,
the rates have declined, yet as per the 2001 census, migrants accounted for about 37%
of the decadal growth of population of Mumbai156.
Rural residents from less developed areas are especially driven to Mumbai in search of
employment which can enable them to improve the living conditions of their families.
Around 9 of every 10 migrants had a rural background and most of them came for
economic reasons More than two third of the rural migrants and around 50% of the urban
migrants moved to Mumbai searching for employment opportunities157. About 40% of
these rural-urban migrants stem from rural Maharashtra158. Rural residents from very
poor states such as Bihar and Uttar Pradesh contribute significantly to the total of
migrants, with the share of migrants from Uttar Pradesh continuously increasing to 24%
in 2001(Census 2001). International migrants, in the contrary, constitute only about 1% of
the total migrants159. Over the last few years, there has been an increase in female
migration, with female migrants now accounting for about 34% of the total migrants160.
60% of the migrants are aged between 15 and 24 years161. Three fourth of all migrants
were Hindus and one of every 5 migrants was from a backward caste162.
153
Kundu, Nitai et al. p.2.
154
Kundu, Nitai et al. p.9.
155
Prasad, p.1.
156
Singh, p.1.
157
Prasad, p.1.
158
Deshmukh, Smita “Migration into city rising? Not quite, says census” in Times of India, 05/05/ 2003.
159
Singh, p.3.
160
Singh, p.3.
161
Prasad, Table 1, p.2.
162
Prasad, p.3.
Trends in Urbanisation 83

Due to a lack of integrated development policies, the rapid expansion and rising population
density of Mumbai creates more problems for human well-being and livelihood. It does
so by posing a heavy burden on public services and infrastructure163. In the recent years,
these problems have created an increasingly xenophobic atmosphere and hostile attitude
towards migrants. As many immigrants from poor areas such as Bihar and U.P. are willing
to work for very low wages, many people fear that the “native” population of Mumbai
could soon be deprived of access to job opportunities and other related amenities164.

Table 3: Distribution of Migrants from U.P. to Mumbai (per age, gender etc.)165

Characteristic Percentage
AgeLess than 15 20.3
Between 15 and 24 60.7
Above 24 17
Gender Male 63.7
Female 36.3
Religion Hindu 74.9
Muslim 14.4
Other 10.7
Education Illiterate 27.1
Up to Primary School 20.8
Up to Middle School 19.1
Up to High School and Above 33.0
Employment Status when coming to Mumbai Employer 0.2
Paid Employee 19.3
Self-Employed 11.1
Non-Worker 33.0

4.5 References and Recommended Readings

Altherr, Gwendoline “From genes to habitats - effects of urbanisation and urban areas on
biodiversity” Basel 2007.
Asiyanbola, Abidemi “Chronic stressor in cities in Africa - Nigeria”.
Bai, Xuemei; Imura, Hidefumi “Towards sustainable urban water resource management
a case study in Tianjin, China” Kanagawa 2001.
163
Singh, p.3.
164
Singh, p.1.
165
Prasad, p.2.
84 Introduction to Urban Governance - Concepts and Practices

Bentinck, J. “Unruly urbanisation on Delhi’s fringe - changing patterns of land use and
livelihood”, Groningen 2000.
Bruce, Nigel et al. “Indoor Air Pollution” in “Disease Control Priorities in Developing
Countries” 2006; p.795.
Cai, M. et al. “Impact of Land Use Change and Urbanisation on Climate” 2004.
Cambodia Development Research Institute (CDRI) “Youth Migration and Urbanisation in
Cambodia”, Phnom Penh 2007.
Chandramouli, C. “Slums in Chennai a Profile” in Bunch, Martin “Proceedings of the
Third International Conference on Environment and Health, Chennai, 15-17 December,
2003” Chennai 2004.
Central Public Health and Environmental Engineering Organisation (CPHEEO) “Status of
water supply, sanitation and solid waste management in urban areas” Delhi 2005.
Cohen, Abner “Urban Ethnicity”, London 1974. Datta, Pranati “Urbanisation in India”
Kolkata 2006.
Deshmukh, Smita “Migration into city rising? Not quite, says census” in Times of India,
05/ 05/2003.
Garrison, Jessica Linthicum, Kate “L.A. suit calls Deutsche Bank a slumlord” Los Angeles
Times 05/05/2011.
Geronimus, Arline “Urban/Rural Differences in Excess Mortality Among High Poverty”.
Populations Evidence from the Harlem Health Survey and Pitt County Hypertension Study
Ann Arbor 2004.
Govt. of India, National Sample Survey Organisation “Condition of Urban Slums 2002”
2003.
Grimm, Nancy et al. “The changing landscape ecosystem responses to urbanization and
pollution across climatic and societal gradients” in “Frontiers in Ecology and the
Environment” 6/2008, p. 264-272.
Hannerz, Ulf “Ethnicity and Opportunity in Urban America” in Cohen, Abner “Urban
Ethnicity” London 1974.
Hazards Centre (Delhi-based NGO) “The eviction and resettlement process in Delhi”,
Delhi 2007.
Jain, Bhavika “Mumbai’s slum population up by 29% Census” Hindustan Times 17/10/
2010.
Kundu, Amitabh “Urbanisation and Migration An Analysis of Trends, Patterns and Policies
in Asia” UNDP Research Paper, 2007.
Kundu, Nitai “Understanding Slums Case Studies for the Global Report 2003 - Kolkata,
India” in UN-Habitat “Global Report on Human Settlements 2003, The Challenge of Slums”
London 2003, p. 195-228.
Kundu, Nitai et al. “Improvement of Livelihood and Environment Through Kolkata
Environmental Improvement Project (KEIP), Kolkata, West Bengal” Kolkata 2006.
Trends in Urbanisation 85

Levy, Jonathan et al. “The Public Health Costs of Traffic Congestion - A Health Risk
Assessment” Boston 2010.
McGee, T.G; Robinson, Ira “The Mega-Urban Regions of Southeast Asia” Vancouver, 1995.
MEA Urban Systems-McGranahan, Gordon et al. “Urban Systems (Chapter 27)” in United
Nations Environment Programme (UNEP) “The Millennium Ecosystem Assessment” 2006;
pp.796-825.
Mitra, Arup; Murayama, Mayumi “Rural to Urban Migration A District Level Analysis for
India” Chiba 2008.
Montgomery, Mark “Cities Transformed Demographic Change and Its Implications in the
Developing World” Washington 2003.
Nowak, D. et al. (U.S. Department of Agriculture, Forest) “Brooklyn’s Urban Forest”
2002. Olotuah, Abiodun; Adesiji, Olutunde “Housing poverty, slum formation and deviant
behaviour”, 2005.
Prasad, Rajiva “U.P.Migrants to Mumbai Mainly for Economic Reasons” Princeton 2010.
Preston, Valerie; Lo, Lucia “Ethnic Enclaves in Multicultural Cities New Retailing Patterns
and New Planning Dilemmas” in “Plan Canada” 2/2009, p. 72-75.
Rana, Sohel “Status of water use sanitation and hygienic condition of urban slums A
study on Rupsha Ferighat slum, Khulna” Meherpur 2008.
Satterthwaite, David “The implications of population growth and urbanization for climate
change” 2009.
Singh, D. P. “Migration and Occupation in Mumbai - Issues and Implications” Mumbai
2001. Sternthal, Susanne “Moscow’s Stray Dogs” Financial Times, 16/01/2010.
UN Report 2002 - United Nations Report “World Urbanization Prospects”.
UN HABITAT Eviction - United Nations HABITAT “Quick Guide 4 Eviction, Alternatives to
the destruction of urban poor communities” 2011.
UN HABITAT Housing - United Nations HABITAT “Housing the Poor in African Cities - Land,
A Crucial Element in Housing the Poor” Nairobi 2011.
UN HABITAT Land - United Nations HABITAT “Quick Guide 3 Land, A crucial element in
housing the poor” 2011.
UN HABITAT Report 2009 - United Nations HABITAT “Planning Sustainable Cities Global
Report on Human Settlements 2009”.
Wahba, Jackie “Urbanisation and Migration in the Third World” in “Economic Review”
11/ 1996.
WHO Report 2002- World Health Organisation (WHO) “The World Health Report 2002
Reducing Risks, Promoting Healthy Life” Geneva 2002.
World Urbanization Prospects: The 2018 Revision
Zimmer, Zachary et al. “Urban Versus Rural Mortality Among Older Adults in China” 2006.
86 Introduction to Urban Governance - Concepts and Practices

UNIT 5
MULTICULTURALISM IN
URBAN SOCIETY
Contents
5.1 Introduction 86
5.2 History of Multiculturalism 88
5.3 Multiculturalism in the West and the East 89
5.4 Advantages and Disadvantages of Multiculturalism 94
5.5 Conclusion 98
5.6 References and Recommended Readings 98

5.1 Introduction
In today’s world, there is no sphere or corner of human inhabitation that does not have
an intermingling cultural aspect. Human societies are increasingly taking in more and
more culturally diverse populations and the trend is just catching up. Because of
improvement in communication and transportation, there has been a constant rise in
the cultural mixing of different places. This pattern of migration and inter-mixture has
also come up because of the human beings’ need to socialise and acquire essential
necessities. During the ancient times, the main reason for travel was the exchange of
goods essential to a civilisation and therefore people from different regions and
backgrounds used to travel to newer areas to and often end up staying there. With this,
their cultures started to mix. The end mixture does not only contain a mix of various
international religious groups but also the regional groups, all of which make up the rich
and improved cultural pool in these areas.
Multiculturalism can be defined as the appreciation, acceptance or promotion of multiple
cultures applied to the demographic make-up of a specific place, usually at the
organisational level. However, it is not only restricted to the social sphere and can be
applied to wider areas such as political; which also includes a mixture of different ethnic
and religious groups but may not provide all of them any particular favours and advantages.
According to the Stanford Encyclopaedia of Philosophy Multiculturalism can be defined
as “a body of thought in political philosophy about the proper way to respond to cultural
and religious diversity1.”
1
Stanford Encyclopaedia of Philosophy, Multiculturalism, http//plato.stanford.edu/entries/
multiculturalism/.
Trends in Urbanisation 87

On the other hand, according to dictionary.com multiculturalism means “The state or,
the condition of being multicultural, or the preservation of different cultures or cultural
identities within a unified society, as a state or nation2. The Oxford Dictionary defines
Multiculturalism as “the practice of giving importance to all cultures in a society”3,
which helps in avoiding racism and prejudice towards any one race or religion; and to
treat all beliefs and traditions of different cultures with equal respect. According to
Collins English Dictionary Multiculturalism can be defined as “A situation in which all the
different cultural or racial groups in a society have equal rights and opportunities, and
none is ignored or regarded as unimportant4.”

The definition of Multiculturalism may also vary from one place to another. For example,
in Canada it can be defined as “the presence and persistence of diverse racial and ethnic
minorities who define themselves as different and who wish to remain so5.” In Australia
it can be said to be a term which recognises and celebrates Australia’s cultural diversity.
It accepts and respects the right of all Australians to express and share their individual
cultural heritage within an overriding commitment to Australia and the basic structures
and values of Australian democracy. It also refers to the strategies, policies and
programmes that are designed to :
♦ make the administrative, social and economic infrastructure more responsive to
the rights, obligations and needs of their culturally diverse population.
♦ promote social harmony among the different cultural groups in the society.
♦ optimise the benefits of the cultural diversity for all Australians.
While Australian multiculturalism values and celebrates diversity, it is not an ‘anything
goes’ concept since it is built on core societal values of mutual respect, tolerance and
harmony, the rule of law and their democratic principles and institutions6.
Although on one hand multiculturalism means that no religion can be ignored or biased
against, on the other hand it does not give any practice or tradition an unrestricted right
to be performed; and it is limited to the legal and the moral aspect of a region. For
example, something in any culture that might be morally unacceptable to the majority
of the population can be termed as wrong and may be banned or rules can be made
against it. The usage of Section 125 of the CrPC to provide maintenance to Muslim
women and making laws against Sati which had become a custom overtime in some
Hindu societies are a few examples.

2
Dictionary.com, Definition: Multiculturalism. http//dictionary.reference.com/browse/multiculturalism.
3
Oxford Learner’s Dictionaries, Definition: Multiculturalism. http//www.oxfordadvancedlearners
dictionary.com/dictionary/multiculturalism.
4
Collin’s English Dictionary, Definition: Multiculturalism http //dictionary.reverso.net/english-cobuild/
multiculturalism.
5
Dewing, M., & Leman M. (2006) Canadian Multiculturalism. Library of Parliament, Canada available at
http //www.parl.gc.ca/Content/LOP/researchpublications/936-e.htm.
6
Australian Government, A New Agenda for Multicultural Australia, Canberra, December 1999, p. 3,
viewed 18 August 2010,www.immi.gov.au/media/publications/multicultural/nmac/chapt_2a.htm.
88 Introduction to Urban Governance - Concepts and Practices

5.2 History of Multiculturalism

In the ancient times, human societies were generally separate and societies of various
lands existed together. These had no contact with each other and lived according to
their own ways which were uniform in practice. With increase in the curiosity of humans
and improvement in the ways of transportation, various people from the European
Continent and the Asian continent set out on voyages to find out whether civilisations
similar to them existed. This curiosity led people from the European continent and the
Asian continent to end up in different lands like the American continent, the Indian Sub-
Continent, the African Continent etc. The presence of goods and materials that were
unique to these regions and their use soon spread throughout the world. This made
people from various backgrounds come and settle in these zones so that they could
harvest and secure these goods for their own use. The British, the Dutch, the Aryans, the
Portuguese, The French etc. all made voyages and established their own consulates in
these various lands. They brought with them their own distinct culture; and as they
settled in the new lands.

They began spread their original cultures. This stated the intermingling of the cultural
pool of the civilisations. With time within these populations newer cultures evolved
leading to a much more complex cultural pool. These cultural pools were further increased
by the influx of globalisation which opened the road for people from various backgrounds
and cultures to get acquired to each other at an international level leading to increasing
the flow of knowledge of the cultural uniqueness. In today’s scenario there are Indians
that are teaching the people in the United States of India English, there are people from
the United States that are spreading the message of Yoga which is an Indian concept,
people from different areas working together in harmony putting aside their ethnic
differences and any issues that may have arisen in the past.

Historical Development in lndia

The roots of India’s multiculturalism can be traced back to over three thousand years
ago. While there were various conflicting theories in this regard, some scholars say that
the Vedic Aryans- one of the earliest civilisations in the subcontinent - had descended
from the easternmost wing of an Indo-European dispersion originating in the Caucasus,
passing over the Khyber, Bolan, and other passes of the Hindu Kush mountains7.

In Rig-Vedic times, people lived in a mixed Aryan-Dravidian society. They possessed

knowledge of goods and had an organised system of living; with sewages and other
facilities ensuring that people did not suffer from rampant diseases. They appeared to
have worshipped a phallic yogic fertility deity i.e. Lord Shiva and the Mother Goddess,
whose fecundity and “power” were required to animate every male Hindu deity. The
great cultural synthesis of Rig Vedic Society was designed to be flexible enough (aimed
at through the caste system) to incorporate the most diverse range of people under the
protection of Hinduism’s white umbrella. Buddhism and Jainism were, never religions.
7
Stanley Wolpert, India, the Multicultural Paradigm, Foreign Policy Research Institute, (2009).
Trends in Urbanisation 89

Before the end of the classical age of Guptan imperial unification, both doctrines were
reclaimed by Hinduism.

With time, newer races started entering the Indian Sub-Continent. These included the
Mughals, who were the descendants of the Timurids and followed the Islamic Culture.
They invaded and subsequently took over the Indian sub-continent around the year 1526
and continued their reign the 18th century. During their reign, most of the Indian Continent
was united under one power- that is the Mughals. With passage of time the Mughal rule
began to weaken, and their power began to decrease due to the increasing resistance of
the Sikh Misl and the Hindu Maratha Empire; brought about mainly by the strict
implementation of Islamic Laws by Emperor Aurangzeb. The Mughal culture did not only
bring into India a new culture or religion but also many monuments that we now admire
like the Red Fort, The Taj Mahal, Jama Masjid, etc. The Mughals were overtaken by the
European Powers which further increased the cultural mix. The Various European powers
established their factories and constructed their places of worship and hence introduced
another religion into the sub-continent. The British were the most instrumental of the
European Powers in developing the Indian Society as they established various factories
in places like India, Africa, America and hence spread their religion throughout. In 1947
after the British left India, the Constitution was established to make sure that there
shall be equal importance given to all the religions existing in the country and therefore
to provide the proper and fair propagation of all religions and not doing any bias. Today
India has become a melange of various cultures from all over the world with almost all
kind of various religion and beliefs existing here. The people of the country have developed
a good understanding of these religions and beliefs and have created a society of trust,
peace and harmony.

5.3 Multiculturalism in the West and the East

Multiculturalism has been the official policy of several Western nations since the 1970s,
for reasons that varied from country to country but including the fact that many of the
great cities of these nations are increasingly made of a mosaic of cultures.
In the Western English-speaking countries, multiculturalism was adopted as an official
national policy for the first time in Canada in 1971, and then by Australia. It was quickly
adopted as official policy by most member-states of the European Union. In recent
times, many of these nations are leaving the idea of multiculturalism and are moving
towards a mono-cultural society. This is due to the thought that the extensive cultural
influx is not able to adapt to the original and the existing cultural standing of the
nations. For example, the exit of United Kingdom from the European Union, Netherlands
and Denmark were also engaged in debate whether to follow its footsteps or not. Many
western nations are in their descriptive sense multicultural and others are communal
and try and establish a regime of only one of the religions or traditions. The policies that
these states adopt often have parallels with multiculturalist policies in the Western
world, but their historical background being different, the goal may be a mono-cultural
or mono- ethnic nation-building. For Example, in the Malaysian government’s attempt is
to create a ‘Malaysian race’ by the year 2020.
90 Introduction to Urban Governance - Concepts and Practices

Multiculturalism in America
Multiculturalism in America originated in the 1950s during the civil rights movement,
which brought issues like discrimination, inequality and oppression to public attention.
In the 19th century, America experienced massive immigration and people started placing
demands on political and social institutions for their social recognition. Immigration for
jobs as well as to earn money to provide for the families increased, laying the base for
the present multiculturalism in the United States of America. The theory of
multiculturalism is still not a prominent policy, and has been established only at the
federal level. In the last few years, influx of South Americans and Asians into USA has
rapidly increased. To deal with this, people should accept the American history on racism
and move on to create a multicultural society based on equality.
The option of mono-culturalism is not sustainable for the United States of America, since
at every aspect of essential services, you find immigrants from all over the world with
various distinct cultures. The radical views on multiculturalism education system have
been instrumental in bringing about this change in the views of the people of the United
States by introducing a much more cultural perspective in them and teaching the
development and the history of different cultures and hence spreading the traditional
following of different cultures throughout the country. This is also important to ensure
that the immigrant population which is involved in doing work and which forms the
backbone of the American industry, do not get hurt and hence prevent loss of industry.
Multiculturalism in United Kingdom
The UK government believes that each UK citizen should enjoy basic human rights. The
Human Rights Act, 1998 sets out people’s social and economic rights. There are nearly 61
million people living in multicultural Britain and about 5% are from a minority ethnic
group. Different communities have settled in the UK and, for centuries, have left their
own legacies. Today, approximately 4.6 million people - or 7.9% of the population - are
from a minority ethnic group according to the 2001 Census. Some groups who have
settled in the UK since the first millennium include:
♦ The Celts - they lived in Britain from the first millennium BC but were pushed into
Scotland, Wales and Cornwall after the Roman invasion
♦ The Romans - they settled in the UK after the successful Roman invasions. They also
brought the first black people to Britain.
♦ Settlers from Northern Europe- these include the Danes, Angles and Saxons who
came to the UK as Roman authority was collapsing
♦ Jewish settlers – they started to arrive after 1066, while gypsies came in the 16th
century, and Muslims from the 18th century onwards
♦ Developing nation’s migrants- After the collapse of the British Empire, UK attracted
immigrants from India, Pakistan, Bangladesh in the 1960s-1970s and from the Caribbean
in 1940s and 50s
♦ Political and religious refugees and asylum seekers are frequently granted refuge in
the UK today
Trends in Urbanisation 91

♦ Eastern Europeans - the expansion of the European Union has seen a number of
migrants from East Europe come to the UK in recent years.
Britain is a multi-faith society where everyone has the freedom to practice their own
religion. According to the 2001 Census, the main faiths in the UK are:
♦ Christianity - 71.6%
♦ Islam - 2.7%
♦ Hinduism - 1.5%
♦ Sikhism - 0.6%
♦ Judaism - 0.5%
♦ Buddhism - 0.3%
Religious diversity can be found in many different areas of life in the UK8.
We can see this diversity at various levels: from schools to television broadcasting
channels and from shops to the companies in the market. Many laws have been formed
to provide protection from the evils like racism and discrimination that plague the
society. Although there exist certain groups that still discriminate against people belonging
to other countries by treating them as inferiors; the culture, the cuisines, the music and
the fashion of Britain has been touched by the intermingling of the diverse cultures and
traditions that have arrived on its soil, and which have also added to its vibrancy . Many
people from the minority sections of the society have helped the country achieve great
heights in Sports, Music, Television, Science etc.

Multiculturalism in the European Union

Historically, Europe has always been poly-cultural by nurturing within itself a mixture of
Latin, Slavic, Germanic and Celtic cultures influenced by the importation of Hebraic,
Hellenic and even Muslim belief systems. While the continent was supposedly unified by
the super-position of Roman Catholic Christianity, it is still accepted that the geographic
and cultural differences between its population continued from antiquity into the modern
age. The countries that form the European Union are themselves very distinct in their
culture, language, and traditions. There has been constant, friction between these
countries throughout history and this regular conflict has prevented them from uniting
and therefore, precluded the extreme mixture of the cultural bowls. With the formation
of the European Union and the subsequent unification of currency along with several
other things, the countries have become much more culturally entwined. While certain
EU states still think that unification of the cultures and traditions is not a good idea and
that such unification will lead to loss of cultural integrity, yet the unifications are accepted
at one level well. Some of the European countries have introduced policies that they
term as policies for “social cohesion”, “integration”, and “assimilation”. The policies
include:

8
UK in Norway, Multicultural Britain, http //ukinnorway.fco.gov.uk/en/visiting-uk/about-uk/people-
politics/multicultural-britain,
92 Introduction to Urban Governance - Concepts and Practices

♦ Compulsory courses on national history, on the Constitution and the legal system.
♦ Introduction of an official national history and promotion of that history by exhibitions
about national heroes, monuments and events.
♦ Tests designed to elicit “unacceptable” values in order to bring about change. An
example is the Baden-Wurttemberg test in which immigrants are asked what they
will do if their son says he is a homosexual and the answers are seen. In this case the
acceptable answer is generally that we will accept such a confession.
♦ prohibitions on Islamic dress - especially the niqab.
Multiculturalism in Malaysia
Malaysia is a multi-ethnic country. Here, Malays making up the majority by occupying
close to 52% of the population. About 30% of the population is Malaysians of Chinese
descent. Malaysians of Indian descent comprise about 8% of the population. The remaining
10% comprises:
♦ Native East Malaysians, namely Bajau, Bidayuh, Dusun, etc.
♦ Other native tribes of Peninsular Malaysia, such as the Orang Asli and Siamese
people, and
♦ Non-native tribes of Peninsular Malaysia such as the Chettiars, the Peranakan and
the Portuguese.
The Malaysian New Economic Policy promotes structural changes in various aspects of
life from education to economic to social integration. Established after the May 13
racial riots of 1969, it sought to address the significant imbalance in the economic
sphere where the minority Chinese population had substantial control over commercial
activity in the country.

The Malay Peninsula has a long history of international trade contacts which have
influenced its ethnic and religious composition. Comprising predominantly of Malays
before the 18th century, the ethnic composition changed dramatically when the British
introduced new industries during the imperialist rule and imported Chinese and Indian
labour. Several regions in the then British Malaya such as Penang, Malacca and Singapore
became Chinese-dominated. Despite the fact the immigration affected the demographic
and cultural position of the Malays, the three ethnicities largely co-existed peacefully.

Preceding independence of the Federation of Malaya, a social contract was negotiated

as the basis of a new society. The contract as reflected in the 1957 Malayan Constitution
and the 1963 Malaysian Constitution states that the immigrant groups are granted
citizenship, and Malays’ special rights are guaranteed. This is often referred to the
Bumiputra policy. These pluralist policies have come under pressure from racialist Malay
parties, who oppose perceived subversion of Malay rights. The issue is sometimes related
to the controversial status of religious freedom in Malaysia.
Trends in Urbanisation 93

Multiculturalism in India
The culture of India has been shaped by its long history, unique geography and diverse
demography. India’s languages, religions, dance, music, architecture and customs differ
from place to place within the country, but nevertheless possess a commonality. Indian
culture is an amalgamation of these diverse sub-cultures spread all over the Indian
subcontinent and traditions that are several millennia old9. The distinctive cast system
prevalent in India shows a clear social stratification and these stratus are divided into
well-demarcated groups called the Jatis or castes.

Religiously, the Orthodox Hindus form the majority, followed by the Muslims. The actual
statistics are Hindu (80.5%), Muslim (13.4%, including both Shia and Sunni), Christian
(2.3%), Sikh(1.9%), Buddhist(0.8%), Jain(0.4%), and others like the Baha’i, Ahmadi, Jew
and Parsi populations constitute (0.6%).10

Linguistically, the two main language families in India are Indo-Aryan and Dravidian.
India officially follows a three-language policy. Hindi is the federal official language;
English has the federal status of associate/subsidiary official language and each state
has its own state official language. Republic of India’s state boundaries are, to a great
extent, drawn on the basis of linguistic groups and this decision has helped in preserving
and continuing local ethno-linguistic sub-cultures. Thus, most states differ from one
another in language, culture, cuisine, clothing, literary style, architecture, music and
festivities; and yet they are a part of the nation that is India.

India has, however, occasionally encountered religiously motivated violence; as was

seen during the Moplah Riots, the Bombay riots, the 1984 anti-Sikh riots and 2002 Gujarat
riots. Constant terrorist attacks aimed at religious places and proceedings have also
taken place in the country. These attacks are a reflection of the sensitive religious issues
that India has faced since the time of its Independence and the religious riots that
followed right afterwards. However, it has been observed that the integrity of the
Indian culture is understood in such a way by all the cultures that of these acts, whose
objective is mainly to form rifts between different religious groups, generally fail and all
these religions come together to fight against terrorism. The people of India have often
acted as a solid unitary body whenever the country has required assistance in the case
of natural disasters, war or any terrorist insurgence. The respect for each other’s cultures
lies in the real spirit of the country. The Constitution of India also encourages governments
to not engage in the promotion of one religion as well as discrimination on the grounds
of such religion. The Constitution also underlines the concept of cultural diversity in the
fundamental rights section so as to provide protection to the various culturally diverse
groups that form our country. This signifies the country’s recognition of cultural diversity
being an essential element for successful development of not only the country but also

9
Mohammada, Malika. The foundations of the composite culture in India. Aakar Books, 2007.
10
Census of India 2011, Distribution of Population by Religions, Drop-in-Article on Census - No.4 http //
censusindia.gov.in/Ad_Campaign/drop_in_articles/04-Distribution_by_Religion.pdf
94 Introduction to Urban Governance - Concepts and Practices

its status in the international arena. The Articles 2511 , 2612 2713 and 2814 provide for
religious rights and place reasonable restrictions on them. Most importantly, they create
an obligation of the state to respect all religions in the country equally.

5.4 Advantages and Disadvantages of Multiculturalism

The essence of discussing the advantages that a nation can gain from multiculturalism
is to enable everyone to create an opinion on whether it is something that they should
adopt for their own countries. In today’s world, the essence of multiculturalism is very
much alive in most regions of the world; and is increasing with the increase in the need
of people to look for new lands and jobs for sustaining their existences and developing
themselves. The migration of people from one country or region to another also provides
people with a freedom that they never possessed earlier; it allows for one’s expertise to
become much finer and puts them on the track of economic growth. We can discuss the
advantages of multiculturalism in two ways: as Justifications and as plain and simple
advantages.
11
Freedom of conscience and free profession, practice and propagation of religion
1) Subject to public order, morality and health and to the other provisions of this Part, all persons are
equally entitled to freedom of conscience and the right freely to profess, practise and propagate
religion
2) Nothing in this article shall affect the operation of any existing law or prevent the State from
making any law
a) regulating or restricting any economic, financial, political or other secular activity which may
be associated with religious practice.
b) providing for social welfare and reform or the throwing open of Hindu religious institutions of
a public character to all classes and sections of Hindus Explanation I The wearing and carrying
of kirpans shall be deemed to be included in the profession of the Sikh religion Explanation II In
sub clause (b) of clause reference to Hindus shall be construed as including a reference to
persons professing the Sikh, Jaina or Buddhist religion, and the reference to Hindu religious
institutions shall be construed accordingly.
12
Freedom to manage religious affairs Subject to public order, morality and health, every religious
denomination or any section thereof shall have the right
a) to establish and maintain institutions for religious and charitable purposes.
b) to manage its own affairs in matters of religion.
c) to own and acquire movable and immovable property; and
d) to administer such property in accordance with law.
13
Freedom as to payment of taxes for promotion of any particular religion No person shall be compelled
to pay any taxes, the proceeds of which are specifically appropriated in payment of expenses for the
promotion or maintenance of any particular religion or religious denomination.
14
Freedom as to attendance at religious instruction or religious worship in certain educational institutions
1) No religion instruction shall be provided in any educational institution wholly maintained out of
State funds
2) Nothing in clause ( 1 ) shall apply to an educational institution which is administered by the State
but has been established under any endowment or trust which requires that religious instruction
shall be imparted in such institution
3) No person attending any educational institution recognised by the State or receiving aid out of
State funds shall be required to take part in any religious instruction that may be imparted in such
institution or to attend any religious worship that may be conducted in such institution or in any
premises attached thereto unless such person or, if such...
Trends in Urbanisation 95

In a way, multiculturalism arises from one of the critiques of liberalism. Liberals are
ethical individualists; they insist that individuals should be free to choose and pursue
their own conceptions of the good life. They give primacy to an individual’s rights and
liberties over their community life and collective goods. Atomists believe that you can
and should account for social actions and social goods in terms of properties of the
constituent individuals and individual goods. On the other hand, communitarians reject
the idea the claim that an individual comes before the community; and that the value
of social goods can be reduced to their contribution to individual well-being. The target
of the communitarian critique of liberalism is not so much liberal ethics as liberal social
ontology Hence, they embrace ontological holism; which views social goods as “irreducibly
social”. They believe that diverse cultural identities and languages are irreducibly social
goods, which should be presumed to be of equal worth. If we have to recognise of the
equal worth of diverse cultures requires replacing the traditional liberal regime of
identical liberties and opportunities for all citizens with a scheme of special rights for
minority cultural groups.

A second justification for multiculturalism comes from within liberalism. Culture is said
to be instrumentally valuable to individuals, for two reasons. First, it enables individual
autonomy. One important condition of autonomy is having an adequate range of options
from which to choose. Cultures provide contexts of choice, which provide and make
meaningful the social scripts and narratives from which people fashion their lives. Second,
culture is instrumentally valuable for individual self-respect.
The Advantages of Multiculturalism can be stated as:
1) Everything we see around us has been influenced in different ways by different
cultures and hence this intermixing of cultures provides for a culturally unique and
new style, fashion, food, art etc.
2) Through multiculturalism, we have opened minds and have had the opportunity to
learn about many different things and hence benefiting the country in an economic
way. Also, a society of intermixed cultural people makes the people much more
tolerant of each other’s cultures and increases harmony in the nation.
3) Immigration has highly advantaged nations and the individuals themselves and
hence this inter-mingling of culture acts as a benefiting factor for the nations as a
whole.
4) The concept of immigration of people from one place to another also provides for
increased labour force and hence provides the increased productivity to the nation.
Also, these poor immigrants occupy the cheaper and underdeveloped areas of the
city and hence provide for the development of these areas.
5) With the cultural intermixing the availability of various culturally unique objects
including food and other techniques like medical therapy etc are well available and
evolved. Today you can get Chinese, American, Italian etc. food in India and the
vice versa outside. Indians are learning the western arts with respect to medicine,
trade, industrial relations etc and implementing them for their own nation building.
96 Introduction to Urban Governance - Concepts and Practices

6) The availability of essentials such as Drugs and efficient technology have become
much more convenient due to the intermingling of the cultures and the immigration
of people from different regions to one another.
7) Also it is believed that the development of children in a multicultural society is
better than a secluded one as they are much more in interaction with kids from
other regions and cultures and hence develop easy understanding of their distinct
cultures and learn newer and more efficient ways which might not be there in the
families. For example, a young boy from India who starts to intermingle with a
society of boys from the United Kingdom will in time become more fluent in English
than he might learn at school.
8) Also, the multicultural aspect helps people acquire literature and taste of different
eras and histories of development. Also, it instills a concept of peace and brotherhood
among people and hence maintaining the harmony of the nations without which
they cannot progress.
Some may argue that multicultural aspect of nations may sometimes prove
disadvantageous to them. This may be caused due to high level of friction between two
communities or the non-acceptance of one’s practices by another, etc. It would be
immature to deny the fact that the lives of ethnic minorities aren’t always easy. These
people must try to adapt and it’s always hard to change many aspects of their daily life.
They are many times treated by the native population as these people were never the
citizens of the town and have just come in even though they might be living for a longer
period than the locals. Also, such indiscrimination and attitude towards them can cause
them to turn hostile and hence lead to acts of terrorism and indiscriminate violence that
may lead to damage to many innocent lives. Also, these minorities might get extra
importance and then there is a feeling of the native people that they are being ignored
and hence leads to further instability and friction.
The critique of the concept of Multiculturalism can be given as:
1) Cosmopolitan view of culture
Some critics contend that the multicultural argument for the preservation of cultures is
premised on a problematic view of culture and of the individual’s relationship to culture.
Cultures are not distinct, self-contained wholes; they have long interacted and influenced
one another through war, imperialism, trade, and migration. People in many parts of the
world live within cultures that are already cosmopolitan, characterised by cultural
hybridity. To aim at preserving or protecting a culture runs the risk of privileging one
allegedly pure version of that culture, thereby crippling its ability to adapt to changes
in circumstances.
2) Toleration requires indifference, not accommodation
A second major criticism of multiculturalism is based on the ideas of liberal toleration
and freedom of association and conscience. If we take these ideas seriously and accept
both ontological and ethical individualism, then we are led to defend the individual’s
right to form and leave associations and not any special protections for groups. By
granting cultural groups special protections and rights, the state oversteps its role,
Trends in Urbanisation 97
which is to secure civility, and risks undermining individual rights of association. States
should not pursue “cultural integration” or “cultural engineering” but rather a “politics
of indifference” toward minority groups. Also, the presence of internal discrimination
within the groups will hamper the concept and idea of providing protection as the state
will not be in a position to make any major differences.
3) Diversion from a politics of redistribution
A third line of critique contends that multiculturalism is a “politics of recognition” that
diverts attention from a “politics of redistribution”. We can distinguish analytically
between these modes of politics a politics of recognition challenges status inequality
and the remedy it seeks is cultural and symbolic change, whereas a politics of redistribution
challenges economic inequality and exploitation and the remedy it seeks is economic
restructuring. Working class mobilisation tilts toward the redistribution end of the
spectrum, and the LGBT movement toward the recognition end. Critics worry that
multiculturalism’s focus on culture and identity diverts attention from or even actively
undermines the struggle for economic justice, partly because identity-based politics
may undermine potential multiracial, multiethnic class solidarity and partly because
some multiculturalists tend to focus on cultural injustice without much attention to
economic injustice.
4) Egalitarian objection
A fourth objection takes issue with liberal multiculturalist’s understanding of what equality
requires. Brian Barry argues that religious and cultural minorities should be held
responsible for bearing the consequences of their own beliefs and practices. He contrasts
religious and cultural affiliations with physical disabilities and argues that the former
does not constrain people in the way that physical disabilities do. A physical disability
supports a strong prima facie claim to compensation because it limits a person’s
opportunities to engage in activities that others are able to engage in. In contrast,
religion and culture may shape one’s willingness to seize an opportunity, but they do not
affect whether one has an opportunity. Barry argues that justice is only concerned with
ensuring a reasonable range of equal opportunities and not with ensuring equal access
to any particular choices or outcomes15.
5) Problem of vulnerable internal minorities
A final objection argues that extending protections to minority groups may come at the
price of reinforcing oppression of vulnerable members of those groups - what some have
called the problem of “internal minorities” or “minorities within minorities”. Multicultural
theorists have focused on inequalities between groups in arguing for special protections
for minority groups, but group-based protections can exacerbate inequalities within
minority groups. This is because some ways of protecting minority groups from oppression
by the majority may make it more likely that more powerful members of those groups
are able to undermine the basic liberties and opportunities of vulnerable members.
Vulnerable subgroups within minority groups include religious dissenters, sexual
minorities, women, and children. A group’s leaders may exaggerate the degree of consensus
and solidarity within their group to present a united front to the wider society and
strengthen their case for accommodation.
15
Barry, B., 2001, Culture and Equality: An Egalitarian Critique of Multiculturalism, Cambridge, MA
Harvard.
98 Introduction to Urban Governance - Concepts and Practices

The “internal minorities” objection is especially troublesome for liberal egalitarian

defenders of multiculturalism who aim to promote inter-group equality while also
challenging intra-group inequality, including gender inequality. But granting “external
protections” to minority groups may sometimes come at the price of “internal
restrictions”, as is the case when the right of self-government is accorded to a group
that violates the rights of its members by limiting freedom of conscience or upholding
sexually discriminatory membership rules.

5.5 Conclusion
In short, a multicultural society is one where the people from all over the world belonging
to different cultures and back grounds accumulate and come to live together in perfect
peace and harmony and without causing any discriminations or indifference to any other
group. There needs to be mutual understanding and the desire to understand the cultures
and traditions of the other communities so that everyone can live and work positively
towards nation building. The legal norms of the nation shall make sure that there is no
discrimination and also shall make sure that the native population of the region does not
get neglected by the legal implementations for the minorities. The acceptance and
equality shall be the perfect tool to fight the evils like terrorism and cultural differences.
Although there are many critics to the doctrine of the multiculturalism today’s urban
society cannot establish itself without this intermix of cultures and people from different
regions as today in the world a global scale is reached and the requirement of every
nation is the development through its dependence and trust with other nations that
have different cultures and traditions and that can only be achieved with respect and
understanding for these differences.

5.6 References and Recommended Readings

Mohammada, Malika, The foundations of the composite culture in India. Aakar Books,
2007.
The Constitution of India, 1950.
Barry, B., 2001, Culture and Equality: An Egalitarian Critique of Multiculturalism,
Cambridge, MA Harvard.
Benhabib, S., 2002, The Claims of Culture: Equality and University in the Global Era,
Princeton University Press.
Gooding-Williams, R., 1998, “Race, Multiculturalism and Democracy,” Constellations,
5(1) 18-41.
Kelly, P., 2002, Multiculturalism Reconsidered: Culture and Equality and Its Critics, Oxford
Polity Press.
Kymlicka, W., 1995, Multicultural Citizenship: A Liberal Theory of Minority Rights, Oxford
University Press.
Jim S. Furman., 2008, Tensions in Multicultural Teacher Education Research Demographics
and the Need to Demonstrate Effectiveness Education and Urban Society, vol. 41, 1: pp.
55-79., University of New Orleans.
Michael A. Burayidi, 2000, Urban planning in a multicultural society, Greenwood Publishing
Group.
Trends in Urbanisation 99

UNIT 6
URBAN INFRASTRUCTURE -
BASIC SERVICES
Contents
6.1 Introduction 99
6.2 Types of Basic Infrastructure 101
6.3 Socio-cultural Aspects of Urban Infrastructure Management 105
6.4 Some Solutions Efficient Ecosystem Services 107
6.5 References and Recommended Readings 112

6.1 Introduction
In the cities where population growth has outpaced the ability to provide vital
infrastructure and services, the worst environmental problems are experienced close to
home, with severe economic and social impacts for urban residents. Inadequate household
water supplies, waste accumulation, and unsanitary conditions exact an enormous toll
on the world’s one billion slum dwellers in terms of unnecessary death and disease.
Developing country cities also experience the world’s worst urban air pollution as a
result of rapid industrialisation and increased motorised transport. Worldwide, urban
air pollution is estimated to cause 4.2 million premature deaths each year. The World
Bank estimates that air pollution exacts an annual toll of US$5 trillion in health and
welfare costs and US$225 billion in lost income. That is about equal to the gross domestic
product of Japan, the third richest country in the world1. According to the World Health
Organisation 9 out of 10 people—92%—breathe air that exceed safe limits. The most
affected by toxic air are those living in cities in low- to middle-income countries.
Along with the many social and economic benefits of urbanisation comes a plethora of
environmental ills, some of staggering proportion. Cities span less than three percent of
the world’s land area, but the intense concentration of population, industry and energy
use can lead to severe local pollution and environmental degradation. Furthermore, a
city’s ecological footprint extends far beyond its urban boundaries to the forests,
croplands, coal mines and watersheds that sustain its inhabitants.

1
UNEP, What’s in the air? World Urban Forum 2020, (2020).
https://www.unenvironment.org/news-and-stories/story/whats-air-world-urban-forum-2020-launches-
worlds-largest-real-time-air
100 Introduction to Urban Governance - Concepts and Practices

The term ‘infrastructure’ refers to the physical and organisational structures needed for
the operation of a society or an enterprise. The term also includes all the services and
facilities necessary for an economy to function. Urban infrastructure refers to the technical
or physical structures that support an urban society, such as roads, railways, sewage
system, electric grids, water supply, telecommunication, public transport etc. Such
physical components are often a series of interrelated systems providing commodities
and services essential to enable, sustain, or enhance societal living conditions in urban
areas.
The very logic of the global rise of urbanisation is founded on the availability of powerful,
centralised, and inexpensive infrastructure. Cities are intensive centers of social activity
and the central feature in the economical technology of civilisations. Global acceleration
in city formation and urban growth can be ascribed to a number of technological
innovations, none more profound in their impact than the rise and spread of fossil fuel
resources, products, systems, and tools.
However, such a huge dependency on infrastructure services for urban economic
development can also be one of the major catalysts in environmental challenges that
the world faces today. For instance, transportation is one of the basic pillars of urban
infrastructure. Fuels are the backbone of facilitating this infrastructure since they are
needed for the intense social and economic activities taking place within a city. All basic
urban communication infrastructures, both traditional (such as roads, rail, air, and
seaports) and advanced (such as telecommunications), have been nurtured in a world of
near absolute fossil fuel dependency, which is also one of the major concern for
environmentalists all over the globe.
An urban society is plagued by such chain of paradoxes. On one hand where urban
infrastructure caters to not just economic but also overall development, on the other
hand it also caters to various hazardous environmental and health hazards of monstrous
volume. In such a tricky situation where one cannot do away with the basic infrastructure
that represents the very nature of anything urban, the best possible way of tackling the
Goliath is by managing urban infrastructure to the optimum.
Optimal utilisation of urban infrastructure would imply that urban infrastructure must
be managed in a way that facilitates an urban place or region progressively towards the
goal of sustainable urban habitat. Attention must be paid to technological and
governmental policy which enables urban planning for sustainable architecture and
other such initiatives. In theory, such a concept would simply mean that management of
urban infrastructure must lead to the development of sustainable communities by ensuring
that infrastructural knowledge makes improvements that do not deplete natural
resources. Consequently, the transition and mass adoption of renewable resources features
heavily in sustainable infrastructures.
Generally speaking, the following could be considered sustainable urban infrastructure
♦ Public transport system
♦ Energy demand management initiative that facilitate distributed generation
Trends in Urbanisation 101

♦ High efficiency buildings and other development constraints such as discouraging

non- green buildings and non-energy efficient landscaping
♦ Connected green spaces and wildlife corridors
♦ Low impact development practices
♦ Conservation of water and land resources
♦ Encouraging policies on efficient hazardous waste management and disaster
management

6.2 Types of Basic Infrastructure

Basic urban infrastructure includes both the fixed structures as well as the services
provided in cities. When we talk about the basic services in urban infrastructure, it
should be deemed to include the control systems, software required to operate, manage
and monitor the systems, as well as any accessory buildings, plants, or vehicles that are
an essential part of the system. Also included are fleets of vehicles operating according
to schedules such as public transit buses and garbage collection, as well as basic energy
or communications facilities that are not usually part of a physical network, such as oil
refineries, radio and television broadcasting facilities, etc.

Listed in the following pages are a few physical urban infrastructures. Physical
infrastructure refers to fixed and capital assets that either facilitate habitation and
employment or serve the function of conveyance or channelling of people, vehicles,
fluids, energy, or information, and which take the form either of a network or of a
critical node used by vehicles, or used for the transmission of electro-magnetic waves.
Such infrastructure is also theoretically called Hard infrastructure.
Some Hard Infrastructure2
1) Transportation infrastructure
♦ Road and highway networks, including structures like tunnels, bridges, underpasses,
subways, signage and markings, electrical systems like streetlights and traffic lights,
edge treatments like curbs, footpaths, sidewalks and landscaping as well as specialised
facilities such as road maintenance depots and rest areas
♦ Mass transit systems like metro train, subways, trams, trolleys, buses and other
modes of public transport
♦ Railway network including structures and terminal facilities like rail yards, stations,
level crossings, signalling and communications systems
♦ Canals and navigable waterways requiring continuous maintenance (dredging,
etc)
♦ Seaports and lighthouses
♦ Airport, air navigational systems and intra-airport transfer facilities
2
The hard infrastructure includes all physical structures such as roads and bridges, ports, airlines,
railway, power, telecom while the soft infrastructure includes education, health, tourism, etc.
102 Introduction to Urban Governance - Concepts and Practices

♦ Pedestrian walkways, footpaths, etc

♦ Ferries
2) Energy infrastructure
♦ Electrical power network, including power generation plant/unit, electrical grid,
substations and distribution units.
♦ Natural gas pipelines, storage and distribution terminals, as well as the local
distribution network. Some definitions may include the gas wells, as well as the
fleets of ships and trucks transporting liquefied gas.
♦ Petroleum pipelines, including associated storage and distribution terminals. Some
definitions may include the oil wells, refineries, as well as the fleets of tanker ships
and trucks.
♦ Specialised coal handling facilities for washing, storing, and transporting coal.
Water and Sewage infrastructure
♦ Drinking water supply including the system of pipes, storage reservoirs, pumps,
valves, filtration and treatment equipment and meters, including buildings and
structures to house the equipment, used for the collection, treatment and distribution
of drinking water
♦ Drainage systems (storm sewers, ditches, etc)
♦ Sewage collection, disposal and treatment units
♦ Irrigation systems and canals/reservoirs
♦ Major flood control systems and pumping stations
♦ Other disaster and damage control technologies and structures
♦ Coastal management structures such as sea wells, breakwaters, groynes, floodgates
as well as the use of soft engineering techniques such as beach nourishment, sand
dune stabilisation and the protection of coastal wetlands and mangroves/forests
3) Communications infrastructure
♦ Postal and telegraph services
♦ Telephone and telecommunication networks and telephone exchange systems
♦ Mobile phone networks and towers
♦ TV and radio broadcast and transmission stations, including the regulations and
standards governing broadcasting
♦ Cable TV, physical networks including receiving stations and cable distribution
networks
♦ The Internet, including the internet backbone, core routers and server farms, local
internet service providers as well as the protocols and other basic software required
for the system to function
Trends in Urbanisation 103

♦ Satellite communication
♦ Underground and undersea cables
4) Solid waste management infrastructure
♦ Municipal waste collection and recycling units
♦ Solid waste landfills
♦ Solid waste incinerators
♦ Hazardous waste disposal facilities
5) Earth monitoring and measurement networks
♦ Meteorological monitoring networks
♦ Tidal monitoring networks
♦ Stream Gauge or similar systems like fluviometric monitoring networks
♦ Seismometer networks
♦ Earth observation satellites
♦ Geodetic benchmarks
♦ GPS
♦ Spatial Data Infrastructure
Some types of soft infrastructure
Soft Infrastructure refers to all the institutions, which are required to maintain the
health, cultural and social standards of a country, state or sometimes even a company.
In the context of urban environment, soft infrastructure would include both physical
assets such as highly specialised buildings and equipment, as well as non-physical assets
such as the body of rules and regulations governing the various systems, the financing of
these systems, as well as the systems and organisations by which highly skilled and
specialised professionals are trained, advance in their careers by acquiring experience,
and are disciplined if required by professional associations (professional training,
accreditation and discipline).

Unlike hard infrastructure, the essence of soft infrastructure is the delivery of specialised
services to people. Unlike much of the service sector of the economy, the delivery of
those services depends on highly developed systems and large specialised facilities or
institutions that share many of the characteristics of hard infrastructure.

1) Governance infrastructure
♦ The system of government and law enforcement, including the political, legislative,
law enforcement, justice and penal systems, as well as specialised facilities
(government offices, courthouses, prisons, etc), and specialised systems for
collecting, storing and disseminating data, laws and regulation
104 Introduction to Urban Governance - Concepts and Practices

♦ Emergency services, such as police, ambulance, fire brigade, etc, including specialised
vehicles, buildings, communications and dispatching systems
♦ Military infrastructure, including bases, arms depots, training facilities, command
centres, communication facilities, major weapons systems, specialised arms
manufacturing, strategic reserves, etc
2) Economic infrastructure
♦ The financial system, banking and financial institutions, exchanges, money supplies
and reserves, accounting standards and regulations, e-banking systems, etc
♦ Major business logistical facilities and systems, including warehouses, logistics and
management facilities, etc
♦ Manufacturing infrastructure, including industrial and SEZs, mines and processing
plants for basic materials used as inputs in industry, specialised energy,
transportation and water infrastructure used by industry, plus the public safety,
zoning and environmental laws and regulations that govern and limit industrial
activity, and standard organisations
♦ Agricultural, animal husbandry, forestry and fisheries infrastructure, including
specialised food and livestock transportation and storage facilities, agricultural
price support systems (including agricultural insurance), agricultural health
standards, food inspections, agricultural research centres and schools, the system
of licensing and quota management, enforcement systems against poaching, forest
wardens, and fire fighting
3) Social infrastructure
♦ The health care system, including hospitals, the financing of health care, including
health insurance, the systems for regulation and testing of medications and medical
procedures, the system for training, inspection and professional discipline of doctors
and other medical professionals, public health monitoring and regulations, as well
as coordination of measures taken during public health emergencies such as
epidemics
♦ The educational and research system, including elementary and secondary schools,
universities, institutions, specialised colleges, research institutions, the systems
for financing and accrediting educational institutions
♦ Social welfare systems, including both government support and private charity for
the poor, for people in distress or victims of abuse
4) Cultural, sports and recreational infrastructure
♦ Sports and recreational infrastructure, such as parks, sports facilities, the system of
sports leagues and associations
♦ Cultural infrastructure, such as concert halls, community centres, museums, libraries,
theatres, studios, and specialised training facilities
Trends in Urbanisation 105

♦ Business travel and tourism infrastructure, including both man-made and natural
attractions, convention centers, hotels, restaurants and other services that cater
mainly to tourists and business travellers, as well as the systems for informing and
attracting tourists, and travel insurance.

6.3 Socio-cultural Aspects of Urban Infrastructure

Management
The current trend is to recognise the urbanisation with the increase in the number of
squatter settlements; of people occupying land illegally or informally; and of people
who lack any kind of shelter at all. For example, the street-sleepers of cities such as
Mumbai. The fact remains, however, that the continuing existence and continued growth
of poor housing and environmental conditions in developing countries poses a great
challenge to those concerned with the relationship between urban growth and health.
Central to this challenge is the question of housing and the services that should go with
it, such as water supply and sanitation. This is not, however, an unmanageable issue.
One of the most effective ways of managing urban sprawl is to opt for effective (but
difficult) methods like opting for horizontal growth instead of vertical growth of the
cities. However, it would be most effective when taken up during the stage of planning
itself. For instance, an Indian city like Mysore has traditionally been a quiet and peaceful
city not having a population that can be termed metropolitan. However, since the last
few decades, especially after the onset of the Software industry in India, Mysore is fast
becoming the hub of IT after Bangalore. The city’s population is projected to be pegged
at nearly 1.2 million and this is based on the population growth index of 22.2%. Given
the present growth rate, the population is expected to cross the 15.7 lakh mark by
2020 and 22 lakhs by 2030, which will only add to the pressure on land and demand for
housing.
While such population growth coupled with urbanisation will increase the demand on
property services and add to the pressure on the real estate market, the long-term
impact of this unfolding scenario on the character of the city is not studied yet. In such
scenario, many experts suggest the planning of vertical growth of the city as opposed to
the horizontal sprawl of Mysore, preferred by many. There however, has been an eagerness
to shift to vertical growth that will make apartments a more viable proposition in the
absence of land to sustain the demand for housing in Mysore, off late.
In most countries, average incomes are higher in urban centers than in rural areas level
of urbanisation is higher in higher-income countries, although even in lower-income
countries almost one third of population lives in urban areas; and 60% of world’s urban
population lives in low- or lower middle-income countries; table “Population in Urban
Areas and percentage of total population3”
The demographic profile of Mysore is set to alter further with better connectivity to
Bangalore by way of track doubling work between the two cities, likely to be completed
3
Figures from www.worldbank.org and “World Urbanisation Prospects” UN 2002
106 Introduction to Urban Governance - Concepts and Practices

by 2013. This is expected to reduce the commuting time to less than two hours and
observers forecast more investment in Mysore, resulting in creation of jobs that will
usher in the service sector as well.

This will add to the size of the salaried and the middle class in Mysore and increase the
demand on the housing front as well as the retail market segment in the medium and
long term.

The economics of Urban infrastructure

Urban growth gives rise to economies of scale. Industries benefit from concentrations of
suppliers and consumers which allow savings in communications and transport costs.
Large cities also provide big differentiated labour markets and may help accelerate the
pace of technological innovation4.
The empowerment of local governments to take economic and service delivery decisions
requires a new framework for public finance, where urban expenditures are driven
through urban local governments. To support greater urban local government oversight
and accountability for urban and municipal functions, and to support control of service
delivery investments, operations and financing to urban and municipal governments
across functional urban areas, the current fragmentation of authority between State
and local government needs to be resolved.
While urban infrastructure is important in its own right and is in the nature of a local
public good, there are important urban-rural linkages and externalities. The organisational
capacity, and professional staff, that comes about for urban infrastructure service
provision can take on additional functions in a significant ‘footprint’ of outlying rural
areas. This would harness economies of scale and scope. For example, a regional water
utility for a cluster of small towns can also serve neighbouring rural communities -
either directly as a service provider, or indirectly through technical inputs for panchayat
- led delivery systems. Rural areas surrounding cities tend to indirectly derive significant
income from the prosperity of the city, through sale of high value crops, through SMEs
and through labour supply.
As we know, urbanisation is correlated to globalisation and trade. Where there is
urbanisation there is also an accumulation of wealth and energy resources. Energy
underpins economic growth, globalisation flows and technological advances, all of which
operate through urban centres. Hence, energy is a very important catalyst to urbanisation
and urban infrastructure.
Urban income inequalities are largely prevalent not just in developing but also within
developed countries. Such an unequal distribution of wealth has been widespread and
significant since the mid-1980s. Among the developing nations, this has affected most
countries with large increases observed in Canada and Germany. Consequently,
social exclusion, urban segregation and persistent pockets of destitution and poverty
are increasingly common in cities of developed countries5.
4
Wahba 7
5
Habitat report 2009, p.31.
Trends in Urbanisation 107

The Gini coefficient is a measure of statistical dispersion developed by the Italian

statistician and sociologist Corrado Gini and published in his 1912 paper “Variability and
Mutability”. The Gini coefficient is a measure of the inequality of a distribution, a value
of 0 expressing total equality and a value of 1 maximal inequality. Worldwide, Gini
coefficients for income range from approximately 0.22 (in Beijing, capital of China
considered the most equal city in the world) and 0.23 (Sweden) to 0.70 (Namibia)
although not every country has been assessed.

Growing inequality in urban settlements around the world has given rise to cities with
stark contrasts between areas of wealth and poverty, with escalating crime levels
increasing the desire by the wealthy to segregate themselves from the poor. Income
inequality hence leads to spatial fragmentation and consequently to segregated cities.
Economic recession has large impact on living conditions - with urban areas contributing
disproportionately to gross domestic product (GDP), cities are expected to be hardest
hit. Consequently, unemployment rates rouse most significantly in urban centers.
Minorities are the hardest hit Unemployment rates are higher among minority groups.
For instance, in US, average unemployment rate was 8.5% in 2008, amongst blacks (13.3%)
and Hispanics (11.4%), as compared to whites (7.9%) - aggravated problem of homelessness
in urban centers.

Over-urbanisation and its related problems (pollution, restricted availability of ecosystem

services, and congestion leading to bad conditions for transportation and commuting)
are negative externalities, causing a market to operate inefficiently. On long run,
tendency is to decentralisation or at least putting industries up at outskirts. Shift by
farmers in surrounding rural areas to producing higher-value goods in response to consumer
demands in urban areas; agriculture is also disrupted by land speculation or the conversion
of land to urban uses. Solution to this is a simple and optimum management of urban
infrastructure and services and nothing more.

6.4 Some Solutions: Efficient Ecosystem Services

Urban centers are incomplete ecological systems, typically occupying less than 1% of the
ecosystem area upon which they draw. People in urban areas have historically been
heavily dependent on adjoining systems for food, clean water, waste disposal, and a
range of other services. The intensity of interaction between an urban system and its
surroundings tends to fall off with increasing distance. Interaction also tends to be more
intense along certain corridors (such as rivers and roads) and within environmentally
bounded areas, such as watersheds.

These adjoining urban systems, which are also called peri-urban areas, are undergoing
a twofold transformation, with arable land coming under increasingly intense cultivation
and both arable and non-arable land being increasingly built over to provide space for
commercial, industrial, and residential establishments and for roads and parking facilities.
Land use patterns are often in the process of changing from rural (agriculture) to urban
(buildings).
108 Introduction to Urban Governance - Concepts and Practices

The over utilisation of urban systems is posing the issue of increased ecological footprint.
Ecological footprint can be understood as a measure of human demand on the Earth’s
ecosystems. An ecological footprint is a standard measurement of a unit’s influence on
its habitat based on consumption and pollution. It compares human demand with earth’s
ecological capacity to regenerate. It represents the amount of biologically productive
land and sea area needed to regenerate the resources a human population consumes
and to absorb and render harmless the corresponding waste.
Since for human sustenance a certain area of land and water ecosystems required, on a
continuous basis, to produce resources which a specified human population consumes,
and to assimilate the wastes produces by this population, just a general usage of ecological
resources will not be termed as ecological footprint. It is not the use but the abuse of
such recourses that increase human footprint on the face of planet earth.
The trick is to generate infrastructure that is ecologically viable and helps in reduction
of human ecological footprint. Urban planners are now increasingly looking into the
aspect of strengthening ecosystem services. Ecosystem services are the benefits people
obtain from ecosystems. These include provisioning services such as food and water;
regulating services such as flood and disease control; cultural services such as spiritual,
recreational, and cultural benefits.
Ecosystems located on private land are difficult for government agencies to regulate;
even where public land is involved, the benefits of ecosystem services typically cross
administrative and sectoral boundaries. The problems are also many, such as of
deteriorating relations with adjoining ecosystems, especially in large, middle-income
industrial cities; indirect driving forces being industrialisation, motorisation; direct causes
are ambient air pollution, groundwater degradation, river pollution, resource plundering
and land use pressure - loss of natural ecosystem services, declining agricultural
productivity in surrounding areas.
For instance, the Vancouver had already in 1990s used up the productive output of a land
area nearly 180 times larger than its political area to maintain its consumer lifestyle6. In
affluent cities like Vancouver and suburbs excessive ecological footprints caused by
large amounts of waste generation, greenhouse gas emissions, import and export-oriented
trade - leads to global climate change, loss of biodiversity.
Since the net flow of ecosystem services is invariably into rather than out of urban
systems, these flows have increased even more rapidly than has urban population growth
in recent centuries. A solution to all these problems would be sustainable cities.

a) Green spaces - cleaning, recreation I cultural

Not only do green spaces serve to recreational and cultural values but also air filtration,
regulation of microclimate, noise reduction, surface water drainage, nutrient retention,
genetic library, pollination, seed dispersal, and insect pest regulation. However, now a
days there is a trend to take up artificial landscaping and use of non-native or exotic

6
Rees 306.
Trends in Urbanisation 109

plant species that end up using large quantities of water, fertilizer, and pesticides. Such
important resources are applied, or rather wasted, to maintain the aesthetics of the
green lawns, especially in affluent countries, with numerous adverse consequences.

The solution lies in encouraging viable flora and native species. Because of its proximity
to numerous emissions sources, urban vegetation can have increased to lessen the impacts
on global climate change, both directly (e.g., removing greenhouse gases) and indirectly
(e.g., altering nearby emissions).

b) Food
Urban agriculture is an important source of food and supplementary income. It has many
advantageous aspects such as providing income and food security for producers,
employment for under- or unemployed, lower prices for urban consumers, etc.

Encouraging such practices lessen the associated environmental health risks as well.
Moreover, it can bring numerous advantages for urban ecosystem such as reduced runoff
that can diminish costs of wastewater treatment and solid waste disposal. Many still are
sceptical about the health problems associated with urban agriculture as it is feared
that due to its proximity of cities, chances of food contamination, especially when
heavily polluted groundwater is used; water pollution, increased prevalence of disease
vectors such as malarial mosquitoes, etc are high. This is an aspect that needs further
study. Urban farmers are mostly not from poorest groups as these find it difficult to even
access land.

One can also think of other ecosystem services such as cooling and pollution reduction
as agriculture remains illegal in many of the cities where it is practised which constrains
its potential, - but making it legal would make is even more difficult for poor residents
to gain access to land.

c) Air
High emissions per vehicle are associated with outdated technologies, older vehicles,
poorly surfaced or badly maintained roads, weaker environmental legislation or weak
enforcement of the regulations, poor vehicle maintenance (as vehicle emission
inspections are less rigorous or non-existent), and the dominance of low-quality fuels. A
frequently heard complaint voiced by people living along busy roads is that the dust
created by traffic, especially trucks transporting bricks and sand, causes respiratory
problems.
Urban air pollution is largely and increasingly the result of the combustion of fossil fuels
for transport, power generation and other human activities. This can be easily curbed by
using newer and more efficient technologies.

d) Water and sanitation

Water quality and availability within city is bound to be insufficient with spiralling
population. Nature of usage of water in a typical area would consist of residential,
110 Introduction to Urban Governance - Concepts and Practices

industrial, commercial and public uses. System losses also play considerable role7. Urban
areas usually have a high percentage of paved areas, which concentrates rainwater
rather than dissipating it, tends to intensify flooding and can especially flash floods8.

Water shortage, or rather shortage of infrastructure for water supply has plagued many
Indian cities since a long time. For instance, in Chennai in 2004, only 26% of slum dwellers
had access to drinking water within their premises, 55% had access within 500 meters
from their residence. 19% of slum dwellers had to go more than 500 meters to access
drinking water9.

According to WHO and UNICEF ‘’improved’’ supplies of water is defined as being

able to obtain at least 20 liters of water per person per day from a household connection,
and having public standpipe, borehole, protected dug well, protected spring, or rainwater
collector within 1 kilometer of the user’s dwelling (WHO and UNICEF 2000). In many
low- income urban settings, however, standpipes or other publicly available water sources
available within a kilometre may be shared with hundreds and occasionally thousands of
people, and there are often serious deficiencies in the quality of the water and the
regularity of the supply (Hardoy et al. 2001; UN-Habitat 2003a).

For sanitation, WHO and UNICEF define ‘’improved’’ provision as access to a private
or shared toilet with connection to a public sewer or a septic tank or access to a private
or shared pour-flush latrine, simple pit latrine, or ventilated improved pit latrine. In
many urban settings, however, dozens of households share each latrine, making access
difficult and maintenance inadequate, sometimes causing people and especially children
to avoid using the latrines (UN-Habitat 2003a).

Although the concentrating of settlements increases the burden on environment and

aggravates local disturbances, especially where such concentration is poorly managed;
there is also potential of urbanisation concentration of population in urban areas makes
it easier to treat wastewater. Better level of regulatory and enforcement mechanisms
makes one of the biggest pollution sources controlled to a large extent.

e) Waste management
Though people in city often have access to electricity, many of which may also be
illegal, in contrast to people in rural areas face frequent power cuts. What more many
rural areas are yet to receive a proper electricity line.

In cities, presence of large consumers of electricity such as factories and other industrial
units cause many power breakdowns. Factory owners also successfully lobby the authorities
for a better supply. On the other hand, many households in city clusters as well as those
of most unauthorised colonies nearby have illegal connections. The result is an unforeseen
high demand in electricity, exceeding the capacity of the local transformers. Regarding

7
Baumann, D. et al. “Urban Water Demand Management and Planning”, New York 1989; p.31.
8
Hassan, p.816.
9
Chandramouli p.87.
Trends in Urbanisation 111

the supply of piped water, similar mechanisms are at work. Illegally tapped water
decreases the pressure in the pipes, so that water is only available for a few hours per
day. The process of urbanisation is usually accompanied by an extended period of
disruptions of the water supply. The wealthier households can overcome this problem by
storing in water tanks on the roofs of their houses. The poor households have to improvise
in simpler ways, storing water in jerry cans and earthen pots10.

The agglomeration economies and economies of scale characteristic of cities reduce the
per capita requirements for and costs of water and sewer systems, waste collection, and
related infrastructure; create opportunities for recycling, reuse and remanufacturing
unavailable to smaller communities. City planners can enable such energy savings
strategies for co-generation and district heating and reduce the need for energy intensive.

f) Transportation
The average personal energy consumption associated with transportation needs is
inversely related to urban density. For all urban activities, transportation is the backbone.
This calls for more densely concentrated and public transport-based forms of urban
development.

A more developed transport network implies more usage of fossil-fuels. Both intra-urban
and inter-urban transport, consume approximately 75% of the world’s fossil fuel production.
However, since 1970s there have been concerns over this trend. This were the early
signs of a declining stage of the fossil-fuel economy when savings in energy conservation
and fuel efficiency began to be identified as the cheapest, fastest, and most immediately
useful means to reduce emissions. Denser cities were shown to be more fuel-efficient,
while car dependent, low-density urban structures incapable of sustaining public
transport have come to be understood as a major hindrance to achieving sustainable
urban life.

g) Health care services

We will be dealing with management of urban health and sanitation in detail in
Course 3, Block 3.

h) Urban tourism
Urban tourism is closely linked to transportation. It can be utilised as a service to
generate revenue which would in turn facilitate funds that can provide for other
developmental infrastructure and public services. City planners must look for viable
tourism models such as cultural and seasonal tourism, heritage management, etc. We
will be dealing with urban tourism and heritage management in detail in Course 4,
Block 1.

10
Bentinck 136.
112 Introduction to Urban Governance - Concepts and Practices

6.5 References and Recommended Readings

Baumann, D. “Urban Water Demand Management and Planning”, New York 1989 “World
Urbanisation Prospects” UN 2002.
Trends in Urbanisation 113

UNIT 7
SUSTAINABLE URBAN
DEVELOPMENT: THEORY AND
PRACTICE
Contents
7.1 Introduction 113
7.2 Understanding Sustainable Development 116
7.3 Practices of Sustainable Development 117
7.4 Adaptation of Sustainable Development in India 119
7.5 Summary 127
7.6 Conclusion 127
7.7 References and Recommended Readings 128

7.1 Introduction
“Sustainability” and “sustainable development” have become the guiding principles of
environmental policy and international development, but many questions are being asked
about these concepts. What do they really mean? How can we get beyond generalities
and put them into practice? How do we know if we are moving toward a sustainable
world?

Sustainable Development, simply put, can be defined as economic, industrial, and

infrastructural development in the present without endangering the resource needs for
future development. For example, if we do not pay heed to the decreasing reserves of
fossil fuels and keep consuming it with reckless abandon, there will be none left for the
near future generations, which will put them in a difficult position and in need of a
substitute.

The term “sustainable development” originated in the 1970s and was first promoted in
the international environmental and development communities with the publication of
World Conservation Strategy (1980). It was popularized by the Brundtland Report, also
known as Our Common Future (1987) and further elaborated in Caring for the Earth
(1991).
114 Introduction to Urban Governance - Concepts and Practices

Nowadays, the most widely used definition of sustainable development is the one put
forth by Our Common Future, which states that “Sustainable development is development
that meets the needs of the present without compromising the ability of future generations
to meet their own needs”.

Caring for the Earth defines sustainability as “a characteristic of a process or state that
can be maintained indefinitely”. While World Conservation Strategy states “For
Development to be sustainable, it must take into account of social and ecological factors,
as well as economic ones; of the living and non-living resource base; and of the long
term as well as the short term advantages and disadvantages of alternative actions”.
Thaddeus C. Trzyna, Chairman of the International Union for Conservation of Nature
(IUCN), on Environmental Strategy and Planning, states “although sustainable development
is now a part of the vocabulary of policy research and policy-making, not only in
international circles, but more and more at national and local levels as well, many people
misunderstand the concept or are uncomfortable with it.”
He draws on his own experience and provides an explanation for this statement, “Over
the past several years, I have taken part in a number of meetings in various parts of the
world where leaders and experts have come together to talk about what they can do to
move toward sustainable development in their countries or local areas. Invariably, much
of the time in these meetings is devoted to arguing about what sustainable development
means, and only rarely is there a consensus. This, in turn, hinders discussion of the three
other questions that usually arise How can sustainable development be measured (and
how do we know if we have it)? How do we translate the concept into action? What
issues should we concentrate on, out of the great range of problems that cry for attention?”
He gives an example of a meeting he attended in Spain’s Basque country. Near the end
of the two-day session that examined many different aspects of the topic, a local political
leader stood up and remarked he “still didn’t have a clue” as to what sustainable
development was about. Those around him nodded in agreement.
The Brundtland Report - The Brundtland Report was a report of the Brundtland Commission,
also known as the World Commission on Environment and Development, that was convened
by The United Nations in 1983 to discuss the importance of sustainable development and
the negative effects due to the lack of it and basically deals with sustainable development
and the change of politics needed for achieving that.
The Brundtland Commission was created to address growing concern “about the
accelerating deterioration of the human environment and natural resources and the
consequences of that deterioration for economic and social development.” UN General
Assembly passed a Resolution, “Process of preparation of the Environmental Perspective
to the Year 2000 and Beyond” in 1983 establishing the Commission. While establishing the
Commission, the UN General Assembly recognized that environmental problems were
global in nature and determined that it was in the common interest of all nations to
establish policies for sustainable development.
Sustainable Urban Development 115

Point 8 of the Resolution of the General Assembly suggests that the Special Commission,
when established, should focus mainly on the following terms of reference for its work
a) To propose long-term environmental strategies for achieving sustainable development
to the year 2000 and beyond.
b) To recommend ways in which concern for the environment may be translated into
greater co-operation among developing countries and between countries at different
stages of economic and social development and lead to the achievement of common
and mutually supportive objectives which take account of the interrelationships
between people, resources, environment and development;
c) To consider ways and means by which the international community can deal more
effectively with environmental concerns, in the light of the other recommendations
in its report.
d) To help to define shared perceptions of long-term environmental issues and of the
appropriate efforts needed to deal successfully with the problems of protecting and
enhancing the environment, a long-term agenda for action during the coming decades,
and aspirational goals for the world community, taking into account the relevant
resolutions of the session of a special character of the Governing Council in 1982.
The Report of World Commission on Environment and Development or The Brundtland
Report was published in 1987 by Oxford University Press. The Report was called “Our
Common Future”. The Report was welcomed by the General Assembly. It provided a key
statement for Sustainable Development defining it as, “development that meets the
needs of the present without compromising the ability of future generations to meet
their own needs.”

According to the Report the concept of Sustainable Development contains within it two
key concepts
a) the concept of ‘needs’, the essential needs of the world’s poor, to which overriding
priority should be given; and
b) the idea of limitations imposed by the state of technology and social organization
on the environment’s ability to meet present and future needs.
The Brundtland Report highlighted three fundamental components to sustainable
development environmental protection, economic growth and social equity.
The Report was primarily concerned with securing global equity, redistributing resources
towards poorer nations and encouraging their economic growth. The report also suggested
that equity, growth and environmental maintenance are simultaneously possible and
that each country can achieve its full economic potential whilst enhancing its resource
base. The Report also recognized that achieving this equity and sustainable growth
would require technological and social change.
It was proposed that developing nations must be allowed to meet their basic needs of
employment, food, energy, water and sanitation as well as sustainable population level
116 Introduction to Urban Governance - Concepts and Practices

must be achieved. Furthermore, Economic growth should be revived and developing

nations should be allowed a growth of equal quality to the developed nations.

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

7.2 Understanding Sustainable Development

Considering that the concept of sustainable development is now featured and enmeshed
in the aspirations of countless programmes, places, and institutions, it is imperative that
one has an understanding of the concept, its origin, relevance to today’s world, implications
to society and so on.

“Sustainability refers to the ability of a society, ecosystem, or any such ongoing

system to continue functioning into the indefinite future without being forced
into decline through exhaustion. . . of key resources.”
- Robert Gilman, President of Context institute
Sustainable development is such a development which protects the environment,
development which advances social justice - phrases such as these have surrounded the
introduction of what has been claimed to be a new paradigm. The new formulation has
been eagerly adopted both by critics of standard development practice and by leaders
of existing development institutions.
In the last half of the twentieth century, four key themes emerged from the collective
concerns and aspirations of people world over. They included peace, freedom,
development and environment. Of this it is only in the past 40 years that the environment
(local to global) became a key focus of many national and international law and institutions.
In pursuing environmental issues, in the 1970s and 1980s, world commissions of notables
were created to study various international concerns including pollution, poverty, natural
resources, urbanisation and so on. Characteristic of these commissions was the effort to
link together the aspirations of humankind - demonstrating how the pursuit of one great
value required the others. Sustainable development, with its dual emphasis on the most
recent concerns - development and environment - is typical of such efforts.
Sustainable development is increasingly misunderstood, but this is only because people
miss the point states David A. Munro, former Director General of IUCN. Sustainability is
not a precise goal but a criterion for attitudes and practices; it is a “continuous or
iterative process, through and throughout which experience in managing complexities is
accumulated, assessed, and applied.”
Sustainable development is not a technical problem to be solved or an uncertain
characteristic. It is a vision of the future that provides us with a road map and helps to
focus our attention on a set of values and ethical and moral principles by which to guide
our actions, as individuals, and in relation to the institutional structures with which we
have contact, both governmental and non-governmental, work related, and others.
Sustainable Urban Development 117

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

Scientific Viewpoint on Sustainable Development

Science can describe, with different degrees of precision, what is, and to a lesser
degree, can help us assess what can be. Science cannot tell us what should be, and that
is the key of Sustainability. Science is a form of know-how it is a means without
consideration of needs. It underlines differences between knowing how to do something
and knowing what to do.

The problem of sustainability is not a problem of lack of knowledge. We have to focus

more on “need to know”. However, it must be kept in mind that “need to know” is not
the lack of knowledge but eagerness to acquire ‘adequate’ knowledge. The problems of
sustainability stretch over various points. Power, political will, and ethical values are a
few examples. Sustainability as a whole concept confronts us with a situation where
facts are uncertain, values are in dispute, stakes are high, and decisions are urgent.
Therefore, this is not a set of circumstances where conventional science excels.

So, what do we do if we can’t rely on conventional science? We look to brainstorm so

that we can generate new ideas. Knowledge generation for sustainability also demands
that we involve stakeholders in the process because sustainability is more than ecological
or economic. Sustainability is a statement of values; in effect, it is a vision of the future.
Stakeholder involvement is also essential because, “values are in dispute”. In a
democracy, value dispute requires participation; this can lead to conformity of values.

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

7.3 Practices of Sustainable Development

It is important to understand what are the factors that lead to the need for sustainable
development, the activities which give a false view of how the current situation is or
was. Sustainable development is closely related to economic development. Therefore,
measurement of economic development is important as it shows how and the ways in
which development occurs, if the development is not environment friendly, and if not,
the ways in which it is not environment friendly, the limitations of economic indicators,
the drawbacks of development without proper planning, etc.
118 Introduction to Urban Governance - Concepts and Practices

Let us examine how Sustainable Development is perceived and measured in different

situation abased on different indicators-

Economic development as an indicator for sustainable development - An Economic Indicator

is a statistic about the economy. The economic indicators allow analysis of economic
performance of a nation and predict its future performances. National economic progress
is measured by Gross National Product (GNP), or National Income under the United Nations
System of National Accounts.

In their present form, national economic indicators fail to measure economic sustainability,
let alone accurately reflect social and ecological aspects of sustainable development.
They often fail to capture a large part of economic activities. According to World Bank
estimates (Challenges of informality, World Bank Blogs), this informal sector activities-
generally hidden from monetary, regulatory and institutional authorities- account for a
third of GDP and 70% of employment in emerging market and developing economies1.
Transactions that take place in informal sectors, such as subsistence farming and household
work, do not enter into these indicators. Informal activities can be significant in developing
countries in terms of income generation, expenditures and “eventual impoverishment”
that resource use for such activities might bring about.

From an environmental point of view, these indicators overstate true income. The first
problem is that expenditures incurred by governments and households for dealing with
negative effects of investment, production, and consumption are treated fully as income
in national accounts, although those incurred by industry are treated as production costs.
Household medical spending due to exposure to air pollution represents a source of
revenue for hospitals and is entered into national accounts as income. Government spending
on oil spills is transformed into goods and services. The damage to marine environment
and its potential income-generating capacity are not counted at all. In terms of economic
sustainability, these expenditures should be properly treated as the costs of preventing
eventual impoverishment that can result from pollution.

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

industrial development as an indicator for sustainable development - The popular problem-

solving devices of the day, such as national policies, science-based technologies and
even institutional education (awareness-raising and skill development), have become
subservient to an overall objective of industrial development. This has happened in two
stages, first, these devices have become increasingly specialised, isolated, technical

1
GDP statistics taken from World Bank Data Catalogue.
Sustainable Urban Development 119

and, as a result, removed from any socially and culturally relevant unit. Education,
technology, management, and economic growth have become goals in themselves, making
it easier for them to be incorporated into the overall industrial development process.
Second, these units themselves have become eroded, as industrial development no
longer depended on their active role. This is particularly visible in the case of the state
and its functions in public service. The state, after having developed schemes of
transportation, communication, education, and more, is now increasingly being sidestepped
by the global processes of liberalisation and deregulation, which lead to the erosion of
state power.
Thus, the social units, such as communities, organisations, and societies that at one time
could have slowed down the industrial development process are eroding. These units
need to be made socio-culturally and ecologically more sustainable. New, sustainable
units need to be created.
Environmental factors as an indicator for sustainable development - We face a vicious
cycle where ecological degradation fuels socio-cultural erosion, which in turn accelerates
ecological destruction. It is this vicious circle that now has come to restrict any positive
possibilities for further socio-cultural modernisation. The challenge before us is to slow
down and ultimately reverse the cycle’s spin - a process which requires collective learning,
in both social and ecological matters.
Unfortunately, many so-called solutions to social and environmental degradation and the
vicious cycle they generate still speak in terms of industrial development. The concept
of sustainable development, as promoted by the United Nations system and the global
business community since the Earth Summit in 1992, is a perfect illustration of this. This
concept does not take into account the emerging limits to growth and instead proposes
more of the same. These include technological “quick-fixes”, and other ideas, which
depend on more development for answers.
The challenge of learning our way out of this pit of environmental degradation is to
involve all relevant and critical actors in building more sustainable units. The ultimate
objective of building such ecologically and socio-culturally sustainable units is to slow
down the vicious circle. This will be achieved because, as part of these new units,
existing actors and problem-solving devices will become transformed through a perspective
that will be more anchored by sustainability. This perspective will now face clear input
and output limits of the planet. As a result, these actors’ understanding of their own
roles will gradually change.

7.4 Adaptation of Sustainable Development in lndia

India is a vast country, with the second largest population in the world. With the number
of people present in the country, the needs of all have become difficult to fulfil. There
are many problems caused because of such a huge population; homes, water, sanitation,
waste disposal, electricity supply, etc. The needs become many, even the basic needs,
and problematic to satisfy. A few of these measures were put forward for consideration
on how to improve this situation:
120 Introduction to Urban Governance - Concepts and Practices

I) The concept of “healthy cities” could be adapted

The Healthy Cities programme was launched by the World Health Organization (WHO)
European Regional Office in the 1986. Healthy Cities projects aim at developing health -
enhancing public policies that create physical and social environments that support health
and strengthen community action for health. They also emphasize the principles of
health promotion to develop new styles of enabling, facilitating, mediating, advocating
and building new partnerships and coalitions for health.
There are currently more than 1000 cities worldwide, implementing Healthy Cities
projects. In the Asia-Pacific region, the Healthy Cities approach was first introduced to
Australia, Japan and New Zealand in the late 1980s and early 1990s. It was introduced to
the rest of the Asia-Pacific region in 1993-94. Countries in which Healthy Cit
es are implemented include Bangladesh, Cambodia, China, Fiji, India, and various ot
er Asian countries II) Local Agenda 212 This capacity-building programme responds to Chapte
28 of Agenda 21, where local authorities were called upon to develop and implement a
“Local Agenda 21” with their communities. This process is reinforced through supporting
key actors in selected secondary towns to implement environmental action plans with a
view towards long- term sustainability. Local Agenda 21 has been widely used by UN
agencies for environmental management and planning projects in cities.
The United Nations Centre for Human Settlements (UNCHS) has been implementing the
Local Agenda 21 Programme, in collaboration with a wide range of international, national
and local partners. The programme is operational in Vinh, Vietnam, the only one in the
Asia-Pacific region.

III) Urban Management Programme to be launched

The Urban Management Programme (UMP) is a global technical cooperation programme.
Beginning in 1997, UMP has been implementing its third phase, the thrust of which is to
build the capacity of governments and other stakeholders to address urban problems
specifically through consultations involving partner institutions at the regional, country
and local levels. These consultations focus on urban poverty reduction, urban
environmental management and participatory urban governance.
IV) Regional Network of Local Authorities for the Management of Human Settlements
(ClTYNET)
CITYNET is a network of cities, NGOs and CBOs (Community Based Organizations) that
aims to promote the creation of conditions and appropriate mechanisms for communities
to plan and manage their own settlements and environment. It serves as a catalyst to
encourage partnerships for technical exchange of expertise among local authorities,

2
Local Agenda 21 - In the context of Local Agenda 21, local governments in India, both urban and rural,
have been accorded Constitutional status through two amendments to the Indian Constitution made in
December 1992. There would now be focus on development planning in place of land use planning and
for integration of rural and urban planning. Municipalities would be responsible for urban environment
management.
Sustainable Urban Development 121

NGOs and grassroots organisations in Asia and the Pacific. It also contributes to self-
reliant development and international understanding among its members.

As a reaction to the shortcomings of traditional planning approaches, and more recently

to address the needs of sustainable development, various countries have adopted new
processes and approaches to urban planning. Action planning is a ‘learning by doing’
approach to resolve urbanisation and environmental degradation problems in a short-
term perspective, with minimum data collection and planning procedures. Local community
participation in decision-making is deemed a key to success. Strategic planning is also a
participatory approach to integrated urban development to achieve growth management
and remedial actions at both the citywide and community scales to achieve sustainable
development. The output of the process is not just a physical development plan but also
a set of inter-related strategies for city development covering land, infrastructure, finance
and institutions.

V) Measures that could be adapted at city level

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

VI) Local level governance

The participation element of good local governance is important in that it enables

integrated approaches to solving environmental problems to be initiated locally. Local
and community-based efforts have the advantage of more affordable resource
requirements, simpler management structures, and greater flexibility in institutional
arrangements and decision-making. The challenge is how to initiate local efforts and yet
be able to place these efforts within a larger context of an integrated strategy where
each local effort complements the other.

A related challenge is how to speed up decentralisation of power (involving autonomy of

local bodies and legislative changes in decision-making) while at the same time speeding
up capacity building in managing new responsibilities. Meeting this challenge is critical
as inter-sector cooperation has been found to be easier to initiate and sustain at the
local levels.

Strengthening local governance and a shift from purely regulatory roles to enabling
roles is necessary to encourage the participation of other key stakeholders in
environmental management. Public-private partnerships in urban environmental services,
for example, succeed only where local governments have the requisite capacity for
good governance. From experience in developing countries of private sector involvement
122 Introduction to Urban Governance - Concepts and Practices

in solid waste management, it has been observed that there should be transparency and
accountability in the system. Local governments have to have competent, adequate
professional staff and the autonomy to enter into multi- year agreements that capture
economies-of-scale as well as efficiencies.

VII) Financing and Resource Generation at city level

The magnitude and momentum of urban environment problems are such that massive
financial resources are needed to deal with them. The Asian Development Bank (ADB)
estimates that 80 per cent of the region’s growth in th 1990s was generated by urban
economies. A key challenge for developing countries is how to mobilise local resources
and create the substantial finances needed. Financing needs are also met through savings
in costs. Community participation becomes vital as volunteer work and even community
contributions in both cash and kind reduce costs. The challenge lies in developing changes
in thinking as well as in the knowledge base and skills of administrators, decision-makers
and the providers of funding.

VIII) Technology Transfer, Adaptation and innovation

Opportunities exist for utilising advances in technology that lead to the provision of high
quality and more environmentally friendly public transport systems, increased recycling,
and increased efficiency of energy and water use. Innovative approaches can also be
implemented to reduce the “ecological footprint” of urban areas - an ‘Ecopolis’
concept of settlements where urban agriculture, urban forestry, urban biodiversity
conservation, and building designs to save energy and materials become important
aspects of the city.

The rapid development in information technology is another opportunity for improving

the urban environment. It could improve monitoring and database management. It could
create the foundation for communication and advocacy networks. The challenge is how
to make it work for urban environmental rehabilitation and management and how to
bridge what is seen as a growing digital divide between those that can afford and have
access to such technology and those that cannot.

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

An illustration of Best practices followed

Infrastructure conditions in the slums of Ahmedabad were in a poor state. The
quality and quantity of water supply was inadequate. Many of the slums were not
connected with the sewerage, solid waste disposal was inadequate or limited with
no landfill sites, and flooding and epidemics were a frequent phenomenon. Public
parks and gardens were the scenes of crime and other anti-social behaviours. The
Sabarmati River was heavily polluted while traffic management was characterized
Contd...
Sustainable Urban Development 123

by unauthorized construction, congested traffic, no parking or pedestrians’ facilities.

Bylaws were violated in every sense of the word. Conditions of municipal hospitals
and level of primary education in municipal schools were degrading day-by-day.
The municipal council had budgets deficit, costs overrun, unpaid overdrafts and
credits, and delayed payments. Consequently, riots and demonstrations against
the administration were becoming frequent and especially in the slum areas.
The Innovative Urban Partnerships in Ahmedabad cover a wide range of local
government functions - slum improvement, public administration, municipal finance,
water and sanitation, urban forestry etc. They involve many groups of partners
government and public sector units; international agencies such as USAID, DFID, and
UNDP; Civil Society Organizations; Corporate Sector; CBOs and NGOs; and financial
institutions such as SEWA Cooperative Bank. The innovative urban partnerships are
based on the concepts of investments, each partner investing a portion of the
project.
The Report Card system on municipal services was introduced and is now being
developed in an institutional mechanism for mapping the trend of service
performance and user satisfaction on on-going basis.
The partnerships have made their impact felt. There are four new, safe, and green
city parks. The main road is ready with new layout, traffic system and advertisement
rights. Last but not least the river front development plan is approved.

4.1 Adapting Physical Planning to Promote Sustainable Development; Development

Regulation

Control of Development on Fringe Areas: In metropolitan cities and mega cities, urban
development is mostly in new settlement areas and new activity centres with planned
infrastructures and facilities in the fringe areas to accommodate the increasing population
and activities. Unplanned urban sprawl grows around such centres on the agricultural
lands taking advantage of the nearby facilities and infrastructure. In such cases, from an
environmental perspective, regulations for protecting the agricultural and vacant lands
by restricting developments and the stipulations of the regulations may be as below
No use, other than agriculture or irrigation facilities, is permitted.
i) Existing water bodies to be preserved.
ii) No new building or extension of any existing building exceeding the height of 3.75
metres shall be allowed subject to the total covered area of 50 sq.
iii) The minimum front and side open spaces shall be 2 metres and the minimum rear
open space shall be 5.00 metres.
Byrraju Foundation(BF), set up in 2001 with the aim of bringing in holistic rural
transformation, is working in the areas of Healthcare, Education, Literacy, Drinking
Water, Environment, Sanitation, Livelihoods and Disability Rehabilitation, covering
Contd...
124 Introduction to Urban Governance - Concepts and Practices

185 villages, across 6 districts in Andhra Pradesh(AP), impacting a million people

directly and double that number indirectly. In delta regions, where BF has major
presence, water sources are polluted over the years. BF is working to transform the
drinking water situation by providing solutions appropriate to local conditions,
ensure community participation, cost effective and replicable. Towards this end,
BF has installed 52 community-based water plants producing pure water, free from
harmful bacteria and impurities, conforming to WHO norms, allowing access to safe
water to cross-section of community in 160 villages with 800,000 people, on
sustainable basis through collection of nominal user charges. This initiative leads
to improved health of villagers, consequent enhancement of productivity, economic
sustainability of plants with surplus generated being used for village development.
A few agencies, including UN-HABITAT, replicated this model within and outside
India. The work, besides leading to presentation/ publication of various papers,
received the following recognitions
a) ‘Best Water NGO-Water Quality’ in India for years 2006-07 and 2007-08 by Water
Digest and UNESCO.
b) Dr Prasada Raju, Full Life Cycle Leader(Water) was conferred ‘AP Scientist
Award- 2007’ by AP Council of Science and Technology, Government of AP.
c) Short listed within the 3 finalists for ‘Most Innovative Development Project’
Award-2007 by Global Development Network.
d) Short listed for 1st National Urban Water Awards-2008 by Government of India.

Compulsory Rainwater Harvesting in New Area Development: Private developments in

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

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

4.2 Adapting Physical Planning to Promote Sustainable Development, Efficient

infrastructure Planning
Environment protection around relocated hazardous places: For implementing the
development plans, the non-conforming places located in a scattered way are required
to be relocated in the specified areas in the fringe within a stipulated period. Such
places may be the obnoxious and hazardous industries, like tanneries, etc. Normally,
Sustainable Urban Development 125

such areas for relocation are selected beyond the city limits and in the vacant and
agricultural lands. When such relocation of activities takes place, unplanned developments
adjoining such centres occur and gradually these areas grow. To avoid further
environmental hazards, the relocation areas should be provided with a buffer zone
where no developments other than agriculture and pisciculture are permitted. In this
regard, regulations of the Pollution Control Board are to be followed. But in the
development plans there should be specific regulations in respect of the buffer zones.
The regulations in this respect may be -
i) The area covered by 200 meters on all sides from the boundary of such areas would
be designated as Buffer Zone.
ii) No developments other than agriculture, pisciculture and plantation of trees would
be allowed within this zone.
iii) The existing residential uses within the Buffer Zone would have to be relocated
within a stipulated period.
Exnora Green Cross (EGC) was started in 1995 by Mr. C Srinivasan as an affiliate of
Exnora international, a well-known voluntary environmental organisation, which
was founded by Mr. M.B. Nirmal. EGC’s vision is to “bring about socio- economic
change through employment generation based on environmental conservation...
by enlisting people’s participation”.

EGC initiative was selected as “Good Practices” through our UN-Habitat by 2007.

EGC began with a project to restore the Vellore hills and ran into several other
interconnected issues. To restore the topsoil, a project to compost organic waste
was started. To generate cattle dung for composting, a project to protect the
cattle wealth was initiated. To stop people from depending on the hills for firewood,
renewable energy units and several alternative income generation activities were
introduced. And so on.

As much as possible, the projects employ eco-friendly and labour-intensive

processes, use renewable sources of energy and local and biodegradable materials,
and avoid the use of machinery.

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

The biggest milestone achievement by Exnora Green Cross under the leadership of
Mr. Srinivas has been ending the myth that subscriptions from low income
settlements especially slums cannot be raised for any environmental project. This
myth has been shattered by the Vellore team who has shown that even the slum
dwelling people are willing to contribute towards an environmental project as
long as sufficient and proper motivation is given to them.
126 Introduction to Urban Governance - Concepts and Practices

4.3 Adapting Physical Planning to Promote Sustainable Development: Conservation of

Water Resources and Waste Management
1) Protection of Water Fronts: The waterfronts (sides of rivers, canals, lakes and big
ponds) in many cities are encroached by unauthorized users and developed in an
unplanned manner. These waterfronts need to be protected to ensure proper drainage,
and access for open-air recreation, water transportation and protection against soil
erosion. Area within 100 meters from the banks should be designated as Waterfront
zone and specific regulations should be prescribed. The regulations for such zone
may include -
i) No new building within 30 meters from the edge of the banks would be allowed.
ii) In the area lying between 30 meters and 100 meters from the edge of the banks
no building more than 5.00 metres in height and 30 meters along the waterfront
would be allowed. In case of buildings on stilts the maximum height of the
buildings shall be 6.50 meters.
iii) There shall be a linear gap of 50 metres between two buildings alongside the
waterfront.
2) Environment protection around solid waste disposal sites: Solid waste management
is one of the most critical problems of cities. The locations of the intermediate
collection sites and the final disposal grounds need special attention in consideration
of the environment hazards of the nearby localities.

The intermediate collection sites are generally located within or near the settlements
and therefore need to have a buffer zone. This buffer zone should cover at least 30
meters on all sides. The regulations in this respect may be -
1) The intermediate collection site may be designated as Inner Disposal Zone.
2) The area should be provided with boundary walls of at least 3 meters high on three
sides.
3) The actual dumping area should be circumscribed by two to three rows of trees in
the buffer zone.
The final disposal areas for sanitary land filling and composting are normally located in
the fringe areas and the regulations in this respect may be -
1) The final disposal area may be designated as Outer Disposal Zone.
2) There should be a buffer zone of at least 100 meters wide on all sides of the disposal
areas.
3) No developments would be allowed within the buffer zone except for agriculture,
pisciculture and plantation of big trees.
4) The residential uses within the buffer zone would not be allowed and would require
relocation within a stipulated time.
Sustainable Urban Development 127

7.5 Summary
♦ In this unit, we examined the definition of sustainable development and its importance
in today’s world, how, when and where the term “sustainable development” originated
and the problems faced in implementing it.
♦ We discussed the importance of measuring economic development in relation to
sustainable development and how technological development affects sustainability.
♦ We also discussed how the policies of today focus on merely development and less
to sustainability. Also, how to aid this problem, conferences like the Earth Summit
were held to pacify this problem. And how social units, i.e. communities and
organisations, are important to empower sustainable development and how these
units are slowly forced to blend with the current industrial development forces.
♦ We examined the various sustainable development practices which can be
implemented to aid the urban environment, like the “Healthy Cities” concept, Local
Agenda 21, CITYNET, City Development Strategies(CDS), and Local level governance.
♦ We further examined in detail the various implementations to improve the urban
environment in a sustainable way with methods like compulsory rainwater harvesting
in development areas, environment protection around relocated hazardous places,
protection of water fronts, etc.

7.6 Conclusion
In the preceding paragraphs, some of the most common issues related to environmentally
sustainable urban development have been discussed. There may be some urban areas
where these issues have already been dealt with, but there are many urban areas where
these issues are still neglected. Cities should be viewed as human ecosystems. A balance
between environmental justice and ecological structures will define the extent of
sustainability in the fabric.

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

In some platforms it has been remarked that the performances of the local bodies in
implementation of development plans, resource generation and extending urban
governance need to be monitored regularly and should be related to the state grant.
Whatever may be the decision in this regard, if the local bodies do not improve their
performances towards plan implementation and enforcement of regulation the living
128 Introduction to Urban Governance - Concepts and Practices

standards in the urban areas would not improve. It is therefore a pertinent question
whether we need regulations for the enforcement of the existing regulations.

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

7.7 References and Recommended Readings

Norgaard, Richard B. (1994 ). Development Betrayed The End of Progress and a Co-
evolutionary Revisioning of the Future, p. 2. New York and London Routledge.
WCED (1987). Our Common Future, Oxford University Press, Oxford Schnurr, J. and Holtz,
S. (1998). The Cornerstone of Development: Integrating Environmental, Social and
Economic Policies, International Development Research Centre, Lewis Publihers, Boca
Raton, Ottawa.
Mitlin D (1992); Sustainable Development A Guide to the Literature. Evironment and
Urbanization, 4,1, 111-124, IIED, London.
Thaddeus C. Trzyna (1995); A sustainable world, California Institute of Public Affairs/
Inter- environmen.
Peter M. Senge, Bryan Smith, Nina Kruschwitz, and Joe Laur (2010); A Necessary Revolution
Working together to create a sustainable world, Random House Inc.
Dr Alka Bharat; White paper for commonwealth planning - An overview for promoting
sustainable urban developmet in India.
Sustainable Urban Development 129

UNIT 8
SUSTAINABLE DEVELOPMENT
AND ENVIRONMENTAL
GOVERNANCE
Contents
8.1 Introduction 129
8.2 Sustainable Development An Indian Viewpoint 130
8.3 Environmental Governance in India 134
8.4 Approaches to Improve Environmental Governance 137
8.5 References & Suggested Readings 141

8.1 Introduction
Cities all over the world are challenged by increase in the quality of life of urban citizens
in order to ensure sustainable urban development. However, a lot of policies and planning
fail in integrating environmental aspects in a way that makes them applicable for design
leading to rather unsustainable developments.

Sustainable urban development is a major challenge that cities are facing all over the
world. Especially the consideration of natural urban ecosystem contribution to public
health and increasing the quality of life of urban citizens is becoming increasingly difficult
under growing development pressure. UN-HABITAT1 points out inappropriate policies and
ineffective planning has resulted in rather neglecting environmental aspects and supporting
environmental degradation than sustainable urban development. Although scientific
ecological process knowledge has grown considerably, applications in sustainable urban
development are missing.

A main reason is the missing transfer of the relevant information to decision-makers in a

credible and comprehensible manner. Further, there is a lack of considering stakeholders’
values, stakeholders being every person who has a something to lose without
implementation of sustainable development and has a say in the matter. Environmental

1
The United Nations Human Settlements Programme, UN-Habitat, is the United Nations agency for
human settlements. It is mandated by the UN General Assembly to promote socially and environ-
mentally sustainable towns and cities with the goal of providing adequate shelter for all.
130 Introduction to Urban Governance - Concepts and Practices

protection and conservation are of utmost importance to many planning systems across
the world. Not only are the specific effects of development to be mitigated, but attempts
are made to minimize the overall effect of development on the local and global
environment. This is commonly done through the assessment of Sustainable Urban
Infrastructure and microclimate. In most advanced urban or village planning models, local
context is critical. In many, gardening and other outdoor activities assume a central role
in the daily life of citizens. Environmental planners focus now on smaller and smaller
systems of resource extraction and consumption, energy production, and waste disposal.
One such effort in recent times is the development of a practice popularly known as
Archology. It is a field that has developed from words ‘architecture’ and ‘ecology’ and is
a set of architectural design principles aimed toward the design of enormous habitats
(hyper structures) of extremely high human population density. These largely hypothetical
structures would contain a variety of residential, commercial, and agricultural facilities
and minimize individual human environmental impact. They are often portrayed as self-
contained or economically self-sufficient. This practice of Arcology seeks to unify the
fields of ecology and architecture, using principles of landscape architecture to achieve
a harmonious environment for all living things.

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

8.2 Sustainable Development: An lndian Viewpoint

The concept of sustainable cities can be approached from a moral perspective, where
self- discipline is required to achieve such development. However, uncritical acceptance
of the techno-managerial approach of various UN urban development programmes is
widespread, even in the South. In the early 1980s, for example, UNCHS (UNHABITAT) and
the United Nations Environment Programme (UNEP) decided to prepare joint Environmental
Guidelines for Settlements, planning and Management for cities. In the early 1990s this
initiative was converted into the joint Sustainable Cities Programme (SCP). The SCP,
launched as a vehicle for implementing Agenda 21 at the city level, works toward building
capacities in urban environmental planning and management, and promoting a broad-ba
ed participatory process. The aim is to incorporate environmental management into urb
n development decision-making and to strengthen local capacities for

oing so through demonstration projects. The way in which sustainable cities has been
nderstood in the North has led to environmentally friendly cities or ecological cities,
where i) Economic and environmental costs of urbanisation and urban development are
aken into account ii) There is self-reliance in terms of resource production and waste a
sorption iii) Cities become compact and energy-efficient iv) The needs and rights of all
re well balanced. Proponents of this line of thinking view urban environmental issues
n the South through a Northern lens and so emphasize the reduction of resource cons
mption, local waste absorpt
Sustainable Urban Development 131

on and the use of renewable resources, but ignore the critical issue of meeting basic h
needs.

Sustainable Development in India is affected by various factors, each having a crucial

role to play in the adaptability, or necessity for sustainable development in India. The
following are some crucial factors affecting Sustainable Development in India

I) Effects of Poverty on Sustainable Development in lndia

In 1972, the then Prime Minister of India, Mrs. Indira Gandhi emphasized, at the UN
Conference on Human Environment at Stockholm, that the removal of poverty is an
integral part of the goal of an environmental strategy for the world. The concepts of
interrelatedness, of a shared planet, of global citizenship, and of ‘spaceship earth’
cannot be restricted to environmental issues alone. They apply equally to the
shared and inter-linked responsibilities of environmental protection and human
development.

Poverty and a degraded environment are closely inter-related, especially where

people depend for their livelihoods primarily on the natural resource base of their
immediate environment. Restoring natural systems and improving natural resource
management practices at the grassroots level are central to a strategy to eliminate
poverty.

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

Diversion of common and marginal lands to ‘economically useful purposes’, deprives the
poor of a resource base, which has traditionally met many of their sustenance needs.

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

lndia

India is the 7th largest country of the world with an area of 3.29 million sq. km. It is one
of the densely populated countries of the world with a population of around 1.2 billion.
Though agriculture contributes less than 14% to the VA of the country, it employs a
significant portion(44%) of the working population of the country. The economy is
growing at a rate of 6.8%, as of 2018. India - a nuclear power - is considered as one of the
fastest growing markets of the world. Being a megadiversity country with a burgeoning
population that bring along with them several environmental problems, sustainable
development is very vital to the development policy of India. The Ministry of
Environment, Forest and Climate Change (MoEFCC) is entrusted with the issues in this
area.
132 Introduction to Urban Governance - Concepts and Practices

Being a developing country, the demand for energy in India is growing very fast. Fossil
fuels like coal and petroleum still form a significant portion of the country’s energy
consumption. However, the last few years has seen the country trying to focus on shifting
to renewable energy sources- from becoming the chair of the International Solar Alliance,
to encouraging the use of CNG as well as changing in fuels utilised in vehicles in different
parts of the country. Electricity generation has also taken a successful path in the country,
and a report by the International Energy Agency states that around 700 million people in
the country gained access to electricity between 2000 and 2018. Schemes like Pradhan
Mantri Ujwala Yojana, which was launched in 2016 and aimed to provide LPG connections
to poor families have helped in balancing the cause of sustainability with environment
development for the growth of the country. Both the energy and emission initiatives of
the of India’s GDP have decreased by more than 20% over the past decade. Even as the
country’s total energy-related carbon dioxide consumption continues to rise; India’s
per-capita emissions are at 1.6 tonners- much less than the world average of 4.4 tonnes-
and taking up only 6.4% of the global total.

Looking at the future, India’s energy demand could double by 2040 with electricity
demand potentially tripling as a result of increased appliance ownership and cooling
needs. This requires a focus on energy efficiency, which will be greatly aided by promotion
of renewable energy sources as well as understanding the environmental connections in
this area. In this regard, IEA has estimated that by raising the level of energy efficiency
ambition, India could save some USD 190 billion dollars per year in energy imports by
2040 and avoid generation of 875 terawatt hours per year, almost half of India’s current
power generation.

Case Study
The Grameen Surya Bijli Foundation (GSBF), a Bombay-based non-governmental
organisation focused on bringing light to rural India, has introduced an innovative
low -cost solar lighting system. The GSBF lamps use LEDs - light emitting diodes -
that are four times more efficient than an incandescent bulb. After a $55 installation
cost, solar energy lights the lamp free of charge. LED lamps, or more specifically
white LEDS, are believed to produce nearly 200 times more useful light than a
kerosene lamp and almost 50 times the amount of useful light of a conventional
bulb. LED lighting, like cell phones, is another example of a technology whose low
cost could allow the rural poor to leapfrog into the 21st century.

“This technology can light an entire rural village with less energy than that used
by a single conventional 100 watt light bulb”, says Dave Irvine-Halliday, a professor
of electrical engineering at the University of Calgary, Canada and the founder of
Light Up the World Foundation (LUTW). The rural markets would be able to afford
the initial expenses if they had access to micro-credit. LUTW is in the process of
creating such a micro-credit facility for South Africa. “Then more than 4 million
homes in South Africa will be able to afford this lighting system”, he says. Founded

Contd...
Sustainable Urban Development 133

in 1997, LUTW has used LED technology to bring light to nearly 10,000 homes in
remote and disadvantaged corners of some 27 countries like India, Nepal, Sri Lanka,
Bolivia, and the Philippines.
The technology, which is not yet widely known in India, faces some scepticism.
“LED systems are revolutionising rural lighting, but this isn’t a magic solution to
the world’s energy problems”, says Ashok Jhunjhunwala, head of the electrical
engineering department at the Indian Institute of Technology, Madras.
At $55 each, the lamps installed in nearly 300 homes by GSBF cost nearly half the
price of other solar lighting systems. Jasjeet Singh Chaddha, the founder of the
NGO, currently imports his LEDs from China. He wants to set up an LED manufacturing
unit and a solar panel manufacturing unit in India. If manufactured locally, the cost
of his LED lamp could plummet to $22, as they won’t incur heavy import duties.
“But we need close to $5 million for this”, he says. “And investments are difficult
to come by.”
The lamps provided by GSBF have enough power to provide just four hours of light
a day. But that’s enough for people to get their work done in the early hours of the
night and is more reliable than light generated off India’s electrical grid.

III) Effects of Water Usage and improper Sanitation on Sustainable Development in

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

The per capita availability of fresh water in the country has dropped from an acceptable
5,180 cubic meters in 1951 to 1,820 cubic meters in 2001. It is estimated that this will
drop to 1,340 cubic meters by 2025 and to 1,140 cubic meters by 2050. This is alarming as
the threshold per capita value for water stress is 1,000 cubic meters. India, with 16% of
world’s population has only 2.5% of the world’s land resources and 4% of the freshwater
resources.

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

Arsenic contamination of ground water is another major problem. Pollution by

agrochemicals has contaminated many drinking waters sources. The recent scandal of
pesticide residues in soft drinks highlights the scale of water contamination. The
combination of overuse and pollution has caused a severe crisis. Between 1970-71 and
2002-03, application of pesticide in agriculture increased from 24,320 Metric Tonnes to
48,350 Metric Tonnes. In this period the total pesticide used in India amounted to
18,39,121.62 Metric Tonnes, a portion of which polluted both ground and surface water.
134 Introduction to Urban Governance - Concepts and Practices

8.3 Environmental Governance in lndia

The Government of India felt importance of Environmental Governance in the early
part of the 1970s. This might probably be due to the fact that large-scale degradation
of the environment was occurring due to accelerated economic activities and increase
in the number of industries. As the levels of pollution of air and water had started
reaching unacceptable limits, it was felt necessary to enact certain laws and regulations
to contain pollution levels.
Though Government of India have legislated and established PCBs, but these efforts
have not yielded desired results, as enforcement of environment laws/regulations has
been very tardy. One of the reasons for such poor enforcement is that the PCBs were not
fully equipped, and the industries were not provided with technological support and
financial incentives to introduce pollution control measures. Moreover, there was hardly
any involvement of local authorities such as panchayats and municipalities and participation
of all stakeholders in this endeavour.

I) Legislative Efforts
Legislative efforts at pollution control in India date back to themed-nineteenth century.
Many of these Acts dealt with environmental regulation in a piecemeal manner and
proved ineffective at reducing the levels of pollution. Action against polluters had
necessarily to be initiated in courts by those affected. Pollution and environmental
degradation was addressed very generally in terms of nuisance, negligence and liability.
Some of these acts are
♦ The Water (Prevention and Control of Pollution) Act, 1974 (The Water Act), provided
for the institutionalisation of pollution control machinery by establishing Boards for
prevention and control of pollution of water.
♦ The Water Cess Act, 1977, supplemented the Water Act by requiring specified industries
to pay cess on their water consumption.
♦ The Air (Prevention and Control of Pollution) Act, 1981 (the Air Act),provided for
the prevention, control and abatement of air pollution, for the establishment, with
a view to carrying out the aforesaid purposes, of Boards, for conferring on and
assigning to such Boards powers and functions relating thereto and for matters
connected therewith.
♦ Solid Waste Management Rules, 2016- These rules have mandated the source
segregation of waste to enable the processes of recovery, reuse and recycle. For
this purpose, the waste is to be segregated into three categories- Biodegradables,
Dry and Domestic Hazardous. The act aims to make institutional generators, market
associations, event organisers and others directly responsible for segregation. The
act, inter-alia, lays down the process of the treatment and processing of this waste;
lists steps for promoting the use of compost, establishes a user fee and fine for
generators as well as encourages the conversation of waste into energy, which will
aid the country in the path of sustainable development.
Sustainable Urban Development 135

Constitutional provisions
In terms of Constitutional provisions, the 42nd Amendment of 1976 for the first time
imposed an obligation on the part of the state (Article 48A) and the citizens [Article
51A(g)] to endeavour to protect and improve the environment and to safeguard the
forests and wildlife of the country. The economic reforms of 1991, the Rio Conference of
1992 and growing environmental awareness all resulted in further amendments to the
Constitution. Realising the importance of the role played by local bodies, the Government
of India, with the consent of the state governments, also introduced the 74thAmendment
to the Constitution of India and enacted 74th Constitution Amendment Act, 1992. The
12th Schedule of this Amendment specifies functions of municipal bodies, which, inter-
alia, include functions relating to safeguard and improvement of environment, sanitation
and living conditions in urban settings. The empowerment of local bodies is an important
step in the direction of achieving sustainable urban development, as this will go a long
way in ensuring meaningful participation of all stakeholders at grass-root level.
The Supreme Court and High Courts have played an active role in the enforcement of
Constitutional provisions and legislations relating to environmental protection. In recent
times, the fundamental right to life and personal liberty enshrined in Article 21 of the
Constitution has been interpreted by the courts to include the right to pollution-free air
and water. Also, relaxing the enforcement of strict rules of proof and modification of the
traditional rule of standing (locus standi ) so as to facilitate public interest litigations
has served, more or less, to remove the difficulty in individuals approaching courts for
redressal.
The backdrop of all this has been the growing environmental awareness among the
public. This has been demonstrated by public demonstrations and protests throughout
the 1970s and 1980s, the most famous of which is the Chipkoo Movement of Uttarakhand.
Growth in environment and development oriented non- governmental organisations
(NGOs), citizen groups, and pressure groups in India (today, roughly 20 times the size in
1985), and the increase in the frequency of public interest litigations have also aided in
this regard.
In 2010, India also established a special tribunal- the National Green Tribunal- to enable
the expeditious disposal of cases pertaining to environmental issues. This was done in
consonance with India’s vow to provide judicial and administrative remedies to the
victims of environmental damage during the UN Conference on Environment and Sustainable
Development in June 1992. The Tribunal has been empowered to apply the “polluter
pays” rule and Sustainable Development principle on matters brought before it. This
special court, which made India became only the third country after Australia and New
Zealand to have such a system, has been at the forefront of enabling the judicial
enforcement of sustainable development as well as resolution of several environmental
matters in the country.

Workings of Environmental Regulations

An analysis of the principal pollution control legislations, the Air and Water Acts, reveals
that these legislations are mostly punitive in nature. The Pollution Control Boards (PCBs)
136 Introduction to Urban Governance - Concepts and Practices

have thus restricted their approach to pollution control to ‘Command and Control’
(CAC). This implies that the state agencies are to function as watchdogs to keep an eye
on the existing industries. All new industries, before they start to function, would in this
approach require prior permission to do so. The agency responsible then permits them
to carry out industrial activity, subject to certain terms and conditions.
While the basic functions of the CPCB (Central Pollution Control Board) remain prevention,
control, and abatement of air and water pollution, with the various SPCBs (State Pollution
Control Board) assuming these functions, the role of the CPCB is restricted to providing
technical or scientific assistance. The CPCB has maintained the major role of prescribing
the standard limits for various pollutants. While the SPCBs may prescribe stricter limits
if they choose, they may not dilute the standards stipulated by the CPCB.
The SPCBs employ three instruments, namely, consent to establish producing units,
consent to operate, and standards for air and water pollution. Under the Water Act,
consent is necessary for an industry to ‘discharge effluent into a stream’. Under the Air
Act, consent is necessary to ‘establish or operate an industrial plant in an air pollution
control area’. The other functions of the SPCBs are advising the state governments,
formulation of preventive methods, technology development, regulation of location of
industries, disposal of hazardous wastes, and collection and dissemination of information
on the prevention and control of pollution.
The PCBs also have the power to move court for ‘restraining apprehended pollution’ as
a preventive measure (Section 33 of the Water Act and Section 22A of the Air Act). In an
extreme case, a PCB can give ‘directions to any person, officer or authority’ in the
interest of pollution control, which ‘includes the power to direct closure, prohibition or
regulation of any industry or process, or stoppage or regulation of supply of
electricity, water or any other service’ (Section 33A of the Water Act and Section 31A of
the Air Act).
Failure to obtain consent and violation of consent conditions makes the occupier of an
industrial unit liable for punishment under both Acts. The punishment prescribed is
imprisonment with unlimited fine. For minor violations of the Acts, such as failure to
provide information, obstructing personnel of the Board from discharging their duties,
and so forth, the penalty prescribed is imprisonment up to three months or fine of Rs
10,000 or both. More severe punishments are provided under both Acts for continued
violation after the first conviction (Section 41 to 45A of the Water Act and Section 37 to
39 of the Air Act).

II) Limitations of Environmental Regulations

Concern has been expressed that the existing pollution control laws are not backed by
sound policy pronouncements and even when they are, it is more as an afterthought
rather than as clearly formulated guiding principles. For example, neither the preamble
nor the provisions of the Water Act or Air Act provide much concrete policy guidance.
The Acts focus more on procedural details like setting up of the CPCB and SPCBs, their
Constitution, structure, powers and functions. It is only in the list of powers of the State
Sustainable Urban Development 137

Board under the Water Act that one finds any hint that the legislators understood that
there might be costs to balance against the benefits of pollution control ‘the Boards are
to evolve economical and reliable methods of treatment of trade effluents.’

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

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

8.4 Approaches to improve Environmental Governance

Every pollution control law ought to be preceded by clear policy pronouncements. The
laws enacted ought to incorporate the policy and worry about appropriate mechanisms
for implementation. Codification and consolidation of pollution control laws, that do
away with the overlaps is needed. Laws ought to be enforced within a clear time-bound
frame and administrative accountability ought to be ensured. However, a country’s
institutional capacity to implement and enforce environmental governance is a key
consideration. Monitoring and enforcement pose huge pitfalls for the regulatory agencies
in India. In spite of the potential cost of non-compliance to industries being not trivial (in
terms of the penalties imposed), compliance is weak. The suggestions made below to
facilitate better regulation consider the weaknesses of the regulatory agencies, especially
in terms of monitoring and enforcement.
I) Regulatory Approaches
While regulatory approaches are the most popular approach to environmental problems,
favoured by policy makers because of the certainty of outcome they offer, they are also
138 Introduction to Urban Governance - Concepts and Practices

the costliest in terms of monitoring and enforcement. Nevertheless, in some cases these
are the only feasible instruments by which to achieve the aims of public policy. For
example, controlling emissions of hazardous substances will generally best be accomplished
by outright bans. Similarly, land zoning regulations are the most effective means to
ensure that residential areas are not downstream or downwind from polluting factories.
In such cases, strict implementation of the laws and credibility of the sanctions imposed
must be ensured to make sure that regulations are effective.

II) Combination of Approaches

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

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

III) Use of the Becker Model of Deterrence

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

Since increasing the probability of detection requires some expenditure on government

monitoring, Becker’s policy prescription is to set the probability of detection arbitrarily
low, thus raising the penalty.

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

Several innovations have been suggested to reduce expensive government monitoring.

One such innovation is the idea of differential penalties and differential approaches
monitoring rates based on each firm’s prior compliance history.
Sustainable Urban Development 139

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

Extending this idea further in the Indian context, one may consider the idea of differential
consents. Consent terms may be rationalised by classifying industries depending on their
polluting nature and consents may be issued on this basis for longer or shorter periods.
This practice has apparently been introduced in Maharashtra where fewer polluting
industries are issued consent for longer periods and potential heavy polluters are
monitored more frequently by means of annual consents.

IV) Removal of Subsidies

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

V) Using Taxes as a Method to Discourage Pollution

Environmental taxes send a signal of the right cost to polluters by including the lot of
their negative externality costs. Rather than result in distortions, these taxes discourage
‘bads’ such as pollution. Taken a step further, environmental taxes can yield a ‘double
dividend’ if the revenue from them is used to reduce and mitigate the effect of tax
distortions.

In situations where weak monitoring capabilities imposes constraints, blunter instruments,

such as fuel taxes, with fewer points of intervention may be more appropriate.
i) Reform of Water Cess Though designed as a resource tax on specified water consuming
units, the water cess is capable of serving as an effluent tax as well. It has been
suggested that the cess be based on the effluent load generated by a firm so as to
force industrial units to internalise the costs of their pollution. Another suggestion
recommended is to levy the cess only on discharges in excess of the effluent standards.
This is similar to China’s water pollution levy system given below.
ii) China’s Pollution Levy An industrial pollution levy system exists in China on emissions
that exceed standards. Government revenues from the pollution levy have increased
rapidly, from 1.2 billion yuan in 1986 to 2.7 billion yuan in 1993. The pollution levy
now provides about 15 per cent of all capital expenditure on pollution control and is
the principal source of funding for regulatory enforcement activities.
To provide incentives for enterprises to further reduce the (within-standard) pollutant
discharges into water, a fee charged on the total quantity of wastewater discharged was
introduced in 1993. The collections of this within-standard fee now amount to levy
140 Introduction to Urban Governance - Concepts and Practices

system suggest that the water pollution levy has been appropriately targeted and has
been effective at reducing water pollution.

VI) Establishing Tradable Permits

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

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

VII) Participation and Community involvement

This may be useful especially when institutions are weak and enforcement expensive.
Public participation and community involvement can be effective in enforcing sustainable
resource use and adapting local conditions to development needs.
This approach has been effectively utilised in the market economy, as evidenced by
Japan. Local government and resident groups in Japan negotiate with firms to arrive at a
detailed written agreement on emissions levels. Between 1971 and 1991, the number of
agreements increased from approximately 2000 to 37,000.
Example of Bhavani Dam A similar approach was recommended when conflicts arose
between agriculturalists, industry, and domestic users for water in the Bhavani River
Basin in Tamil Nadu. Effluents discharged by industrial units upstream of the Bhavanisagar
Dam would accumulate in the reservoir. This led to farmers’ organisations and NGOs
protesting against the effects of effluents on the quality of water for downstream uses
such as irrigation and drinking, and to the seemingly unbelievable situation of the
downstream users asking the authorities not to release the dam water.
As redressal through the judicial system was thought to be an expensive and time-
consuming process, the recommendations were that the stakeholders in the basin establish
a forum whereby they could discuss and negotiate the issues relating to the use of water
resources. Informal and transparent contractual settlements could be worked out, and
legal remedies were to be sought only if negotiated settlements failed.
The functioning of the SPCBs as of now precludes participation of the local populace who
may be directly affected by pollution of their environment. Community participation
Sustainable Urban Development 141

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

VIII) Role of NGOs

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

IX) Engaging all Stakeholders

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

8.5 References and Recommended Readings

Dey Dipankar; Report on Energy and Sustainable development in India.
Mahadevia Darshini; Sustainable Urban Development in India An Inclusive Perspective,
United Nations Research Institute for Social Development and Swiss Agency for
Development Cooperation, Geneva.
Curmally Atiyah; Environmental Governance and Regulation in India’, National Council of
Applied Economic Research.
142 Introduction to Urban Governance - Concepts and Practices

UNIT 9
PROJECT AND PROCESS
MANAGEMENT FOR SUSTAINABLE
URBAN DEVELOPMENT
Contents
9.1 Introduction 142
9.2 Urban Habitat: Definition 143
9.3 Project Management: Building a Sustainable Urban Habitat 151
9.4 Process Management: Building a Sustainable Urban Habitat 153

9.1 Introduction
In India, one of the main issues is population. Over-population has led to an increase in
poverty, inadequate shelter, inadequate education, inadequate healthcare, etc. All
because of the simple problem that there are too many people’s needs which have to
fulfilled. In order to address inadequacies in the above-mentioned sectors, there is a
crying need for formulation of projects/programmes that would exactly take care of
these issues.
Project management is defined as the discipline of planning, organising, securing and
managing resources to bring about the successful completion of specific project goals
and objectives.
Process management is the ensemble of activities of planning and monitoring the
performance of a process.
It is just not enough to formulate projects if they are not going to be implemented
through a process which is easy to follow or understand, less cumbersome, easily
monitorable, implementable and participatory (of stakeholders).
Planning is an important step in any project formulation. It is desirable to spend
considerable time on the nitty-gritty of various project components, project
implementation and project monitoring and evaluation. This will considerably help reduce
the need for mid-course corrections, thereby ensuring saving on account of cost overrun
and time overrun. The processes involved in project formulation, implementation and
Sustainable Urban Development 143

monitoring and evaluation should be clearly delineated so that the same is understood
by everyone in the hierarchy and there is no scope for any ambiguity.

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

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

It is therefore felt that the governments, both at the centre, and the states, need to
sharpen their focus, formulate projects that would address imminent problems of deprived
sections of the society, implement

9.2 Urban Habitat: Definition

Urban habitat includes housing, water supply, industries, public transport, public
conveniences, solid-waste management, waste-water treatment, slum development, urban
parks, recreational gardens and the overall urban setting. Basically, it is the immediate
environment in which the urban population dwell. Some important factors which make
up the urban habitat are

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

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

Therefore, it calls for the intervention of the government at various levels to meet the
housing needs of the needy population by making it affordable.
144 Introduction to Urban Governance - Concepts and Practices

Case Study
Agra city is a popular tourism destination but has deplorable sanitation and municipal
infrastructure. Poor in slums mostly lack access to sanitation services and livelihoods
opportunities. CAP (Cross-cutting Agra Programme) worked in selected slums alongside
lesser-known monuments on two priorities identified by women. It also helped the
local body to prepare citywide upgrading plans and urban poverty reforms in synergy
with JNNURM; an urban reform mission launched in 2005.

Women/youth were mobilised, organised and engaged in participatory community

action and livelihood planning with support of local facilitators. Total livelihood and
sanitation approaches helped address all strategic elements; with the endeavour to
mainstream, set up decentralised arrangements; link local plans with macro level
city plans and unlock government resources. Distinctive designs for household toilets
were supported with affordable credit and community managed credit, contracting
and oversight mechanism. Sanitation loop was closed by linking wastewater drainage
with pathway improvements, wastewater treatment /disposal systems and livelihood
association. Livelihood promotion embraced skills, credit, marketing, product design,
pricing, employment and formalisation of enterprises.

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

CAP’s inclusive, cross-sectoral, flexible, comprehensive, multi-level approach set

within the local economic context comes with inbuilt long-term sustainability.
Appropriate institutional arrangements with local implementation capacity have
helped institutionalise poverty actions. Reform proposals have helped define equitable
and gender fair norms/policies. A local NGO, CAP AGRA, has been seeded to sustain
voice platforms. CAP has been scaled up within Agra and to other cities through
various knowledge partners. Its key lessons are address multiple needs simultaneously,
scale planning for upgrading at scale, creation of institutional memory and pre
project partnerships.

9.2.2 Water Supply

Water supply is the provision by public utilities, commercial organisations, community
endeavours or by individuals of water, usually by a system of pumps and pipes.
An estimated 10 per cent of urban water supply is provided by private or mixed public-
private companies, usually under concessions, leases or management contracts. Under
Sustainable Urban Development 145

these arrangements the public entity that is legally responsible for service provision
delegates certain or all aspects of service provision to the private service provider for
a period typically ranging from 4 to 30 years. The public entity continues to own the
assets.

90% of urban water supply and sanitation services are currently in the public sector. They
are owned by the state or local authorities, or also by collectives or cooperatives. They
run without an aim for profit but are based on the ethos of providing a common good
considered to be of public interest. In most middle and low-income countries, these
publicly owned and managed water providers can be inefficient as a result of political
interference, leading to over-staffing and low labour productivity. Ironically, the main
losers from this institutional arrangement are the poor. Because they are not connected
to the network, they end up paying far more per litter of water than do more well-off
households connected to the network who benefit from the implicit subsidies that they
receive from loss-making utilities.

Governance arrangements for both public and private utilities can take many forms.
Governance arrangements define the relationship between the service provider, its
owners, its customers and regulatory entities. They determine the financial autonomy of
the service provider and thus its ability to maintain its assets, expand services, attract
and retain qualified staff, and ultimately to provide high-quality services. Key aspects of
governance arrangements are the extent to which the entity in charge of providing
services is insulated from arbitrary political intervention; and whether there is an explicit
mandate and political will to allow the service provider to recover all or at least most of
its costs through tariffs and retain these revenues.

Case Study (Indonesia)

The problem of Banjarmasin government before year 2000 was the unavailability of
clean water since water sources from rivers are contaminated, intrusion of sea
water and ironically rivers are still used for bathing, washing clothes and as
lavatory as well as water supply. The practice of making use of river water causes
water borne disease such as diarrhoea, cholera, dysentery and skin problems. At
that time, PDAM could not serve most of the poor people in that they have to buy
water Supply from water vendors that charged much more expensive to the needy.
As an illustration is if one container of 20 litter costs $.0,054 and on the average a
family needs about 100 litres/day, so the expenses for water in a day is $.8,152/
month/family. In 1999 the rate of water from PDAM was $.0,287/month.

Public campaign is conducted to change the mind-set of most people and to make
them realise that water is so crucial for their health. The approach was the campaign
to housewives together with other non-governmental organisation, social
organisation, since year 2000. Glimpsing at the condition, PDAM is doing internal
reform with his strategic development programme which is performed consistently
and continuously in that the performance of PDAM is improving.
Contd...
146 Introduction to Urban Governance - Concepts and Practices

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

9.2.3 Public Transport

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

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

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

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

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

Case Study
With the aim to provide the people of the city reliable, safe & efficient mode of
transportation at an affordable price the city administration decided to launch
‘Jabalpur City Transport Services Limited’ (JCTSL) a company incorporated under
the Companies Act, 1956.
Jabalpur city transport services limited has been designed to operate & manage the
public transport system in a Public-Private Partnership (PPP) model to benefit the
Contd...
Sustainable Urban Development 147

company, operators, government & general public at large. This company is supported
by the Jabalpur Municipal Corporation (JMC) and the Jabalpur Development Authority.
The company is looking ahead for a bright future aiming at developing and
modernising infrastructure needed for the betterment of the mass transport services.

In this project, it is envisaged that the JCTSL will have 150 Metro buses (44 seats)
and 20 mini Metro Busses (16 seats) covering 16 routes. In the first phase 36 Metro
buses covering 6 routes and 16 Mini metro will be put covering 4 routes.

To start with the municipal corporation floated a tender for the construction of 110
Bus stops on a BOT Basis. For the Metro bus operation 3 bus operators were short
listed and were asked to procure 12 busses each. Agreements were signed with the
parties for the bus operation.

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

To ensure that the busses maintain their route and time a contract was signed for
the “On line Vehicle Tracking System” (OLVTS) which provides the real time
information of the bus though GPS called a ‘Bus Unit’ and the same information is
displayed on the ‘Passenger Information System’ (PIS) installed in the bus stops. The
entire activity is web enabled and can be monitored from anywhere but a dedicated
control room with necessary infrastructure has been incorporated.

Tenders were floated for all the above activities and work orders awarded. 60 bus
stops have been constructed on BOT Basis. 28 metro Busses & 9 Mini metro buses
have been procured by the operators and running successfully on 6 and 4 routes
respectively. 2 GPS equipment has been installed and the testing Phase is on.

9.2.4 Solid Waste Management

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

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

Disposing of waste in a landfill involves burying the waste, and this remains a common
practice in most countries. Landfills were often established in abandoned or unused
quarries, mining voids or borrow pits. A properly designed and well-managed landfill can
148 Introduction to Urban Governance - Concepts and Practices

be a hygienic and relatively inexpensive method of disposing of waste materials. Older,

poorly designed or poorly managed landfills can create a number of adverse environmental
impacts such as wind-blown litter, attraction of vermin, etc. Another common by-product
of landfills is gas (mostly composed of methane and carbon dioxide), which is produced
as organic waste breaks down anaerobically. This gas can create odour problems, kill
surface vegetation, and is a greenhouse gas. Deposited waste is normally compacted to
increase its density and stability and covered to prevent attracting vermin (such as mice
or rats). Many landfills also have landfill gas extraction systems installed to extract the
landfill gas. Gas is pumped out of the landfill using perforated pipes and flared off or
burnt in a gas engine to generate electricity.

The management of waste is a key component in a business’ ability to maintaining ISO14001

accreditation. Companies are encouraged to improve their environmental efficiencies
each year. One way to do this is by improving a company’s waste management with a
new recycling service. (such as recycling glass, food waste, paper and cardboard, plastic
bottles etc.)

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

Case Study
The EcoCity Project initiated by CPCB (Central Pollution Control Board) has focus on
bringing in visible environmental improvement through implementation of projects
related to Sewerage & drainage, Solid waste collection & disposal system, Protection
of water bodies, Improvement of traffic & transportation and Plantation &
landscaping. Funding for the project is on 50 50 cost-sharing basis wherein 50% of the
total budget comes from the municipality of the participating town and 50% (limited
up to Rs 25 million) from CPCB. Six towns namely, Tirupati, Puri, Ujjain, Kottayam,
Thanjavur and Vrindavan are covered in the first phase of the project.

9.2.5 Waste-water Treatment

Waste-water treatment is the process of removing contaminants from wastewater and
household sewage, both runoff (effluents) and domestic. It includes physical, chemical,
and biological processes to remove physical, chemical and biological contaminants. Its
objective is to produce an environmentally safe fluid waste stream (or treated effluent)
and a solid waste (or treated sludge) suitable for disposal or reuse (usually as farm
fertiliser). Using advanced technology, it is now possible to re-use sewage effluent for
drinking water, although Singapore is the only country to implement such technology on
a production scale in its production of NEWater.
Sustainable Urban Development 149

A new process called Soil Biotechnology (SBT) developed at IIT Bombay has shown
tremendous improvements in process efficiency enabling total water reuse, due to
extremely low operating power requirements of less than 50 joules per kg of treated
water. Typically, SBT systems can achieve chemical oxygen demand (COD) levels less
than 10 mg/L from sewage input of COD 400 mg/L.SBT plants exhibit high reductions in
COD values and bacterial counts as a result of the very high microbial densities available
in the media. Unlike conventional treatment plants, SBT plants produce insignificant
amounts of sludge, precluding the need for sludge disposal areas that are required by
other technologies. In the Indian context, conventional sewage treatment plants fall into
systemic disrepair due to
1) High operating costs
2) Equipment corrosion due to methanogenesis1 and hydrogen sulphide
4) Lack of skilled operating personnel
5) Equipment replacement issues.
Examples of such systemic failures has been documented by numerous agencies such as
Sankat Mochan Foundation at the Ganges basin after a massive clean-up effort by the
Indian government in 1986 by setting up sewage treatment plants under the Ganga Action
Plan failed to improve river water quality.

Case Study
NEWater is the brand name given to reclaimed water produced by Singapore’s Public
Utilities Board. More specifically, it is treated wastewater (sewage) that has been
purified using dual-membrane (via microfiltration and reverse osmosis) and
ultraviolet technologies, in addition to conventional water treatment processes.
The water is potable and is consumed by humans but is mostly used for industry
requiring high purity water.

Water recycling in Singapore began in 1974 but the experimental treatment plant
was closed a year later due to cost and reliability issues. The Singapore Water
Reclamation Study (NEWater Study) was initiated in 1998 by the Public Utilities
Board (PUB) and the Ministry of the Environment and Water Resources (MEWR). The
aim of this study was to determine if NEWater was a viable source of raw water for
Singapore’s needs. NEWater and desalination were explored as means to reduce
reliance on water imported from Malaysia, which has been a source of friction over
the years. Also, while the Malaysian government is bound by two treaties to sell
Singapore water until 2011 and 2061, it is under no obligation to do so after these
dates.

In 2001, PUB began an effort to increase water supplies for non-potable use. Using
NEWater for these applications would reduce the demand on the reservoirs for
potable water.
Contd...
1
Formation of methane by microbes known as methanogens.
150 Introduction to Urban Governance - Concepts and Practices

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

The quality of NEWater consistently exceeds the requirements set by USEPA and
WHO guidelines and is, in fact, cleaner than the other sources of Singapore’s water.
Plans are under way to increase the amount of NEWater in indirect potable use up to
3.5% by 2011.

9.2.6 Slum Development

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

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

Many governments around the world have attempted to solve the problems of slums by
clearing away old decrepit housing and replacing it with modern housing with much
better sanitation. The displacement of slums is aided by the fact that many are squatter
settlements whose property rights are not recognized by the state. Moreover, new projects
are often on the semi-rural peripheries of cities far from opportunities for generating
livelihoods as well as schools, clinics etc. At times this has resulted in large movements
of inner-city slum dwellers militantly opposing relocation to formal housing on the
outskirts of cities.

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

Case Study
To improve urban infrastructure and basic services for the poor in Indian cities, the
Government of India launched the “Jawaharlal Nehru National Urban Renewal
Mission (JNNURM)” in December 2005. Interventions are proposed in 65 Indian
cities including seven mega cities, all the state capitals and other cities of outstanding
religious and touristic importance.
Contd...
Sustainable Urban Development 151

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

The reform programme has two major components. The first component is substantial
investment in urban infrastructure wherein 50% of the investment is contributed by
the central government and the remaining 50% is jointly contributed by the respective
State and the urban local body depending on the population of the respective city.
The second component are mandatory reforms to be undertaken at the state and
urban local body level to ensure good governance and financial sustainability leading
to creation of sustainable cities.

9.3 Project Management: Building a Sustainable Urban Habitat

Building a sustainable urban habitat should start with proper planning. It is necessary to
assess cities’ infrastructure needs and prioritise them. A proper city development plan
which would incorporate a city development strategy should be put in place. This will
enable the city to prepare sector-specific projects (Housing, solid-waste management,
slum development, etc.) basing on the identified priorities.

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

9.3.1 Planning
As stated earlier, planning is a prerequisite to project formulation. A well thought out
city development plan will capture the needs and aspirations of all sections of the
population, areas of strengths and weaknesses, priority areas and effective strategies
and where the city wants to go from here.

This will enable the city to take up only those sectors which require immediate attention
and thereby ensure utilisation of scarce resources in a well-focused manner without
spreading it too thinly.

A good city development plan should consider concerns of various sections of city- dwellers
and should be drawn up only after a broad-based stakeholders’ consultation. City
development plan can only be prepared with proper data and detailed survey.

9.3.2 Project Formulation

Project formulation is an important step for successful implementation of projects.
Every city should have a project cell which can conceptualise and formulate projects in
accordance with the city development plan. There should be adequate technical capacity
152 Introduction to Urban Governance - Concepts and Practices

for preparation of detailed project reports. A detailed project report should delineate
every aspect of the project in minute details. Projects so formulated can get implemented
without any hiccups and will achieve intended goals.

Wherever there is absence of in-house capacity it would be a good idea to engage

technical experts as consultants after proper appraisal through a transparent process.
The detailed project report (DPR) should be implementable, technically sound, financially
feasible and should aim to achieve the overall objective for which the project is being
formulated.

9.3.3 Implementation
Executing consists of the processes used to complete the work defined in the project
management plan to accomplish the project’s requirements. Execution process involves
coordinating people and resources, as well as integrating and performing the activities
of the project in accordance with the project management plan. The deliverables are
produced as outputs from the processes performed as defined in the project management
plan.

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

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

9.3.4 Monitoring and Evaluation

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

Though it is very important to monitor various stages of implementation of a project

closely, it is even more necessary to monitor the outputs and outcomes achieved. Real
test of any project implementation lies in producing desired outcomes for the stakeholders.
On the lines of a project implementation cell, a monitoring mechanism should also be
instituted and the same should be envisaged in the detailed project report (DPR).

Like monitoring, evaluation is also equally an important process. Evaluation of the

quality of work done and the outcomes achieved should invariably be done by a third
party, appointed through a transparent process. This is done so that there is no bias. It
is often said that social audit of a project outcome by an outside agency is very much
Sustainable Urban Development 153

called for an objective assessment of the impact, both positive and negative, created
by the project.

9.4 Process Management: Building a Sustainable Urban

Habitat
There are several processes involved in the implementation of each project. Careful and
efficient management of processes involved will result in better outcomes. In order to
do that, it would be extremely important to clearly outline various steps involved in a
process.

For example, procurement of materials involves several steps, namely, expression of

interest, preparation of tender documents, inviting tenders, evaluation of tenders(both
technical and financial), finalisation of tenders and award of work. Any lapse in any of
these steps will vitiate the tender process, resulting in delay and avoidable expenditure.

It is important to have experts on hand to clearly identify the various processes involved
in a project from preparation to monitoring and evaluation and various steps involved in
each process which will enable smooth implementation of projects.
 COURSE 2:
LAW AND POLICIES PERTAINING
TO ENVIRONMENT
 UNIT 10
CONCEPT OF LAW
AND POLLCY
Contents
10.1 Introduction 157
10.2 Concept of Law 158
10.3 Concept of Policy 161
10.4 An Introduction to Environmental Law 164
10.5 Conclusion 167
10.6 References and Recommended Readings 169

10.1 lntroduction
The Preamble of the United Nations Declaration on Human Environment, adopted in
Stockholm in June 1972 states, “Man is both creature and moulder of his environment,
which gives him physical substance and affords him the opportunity for intellectual,
moral, social and spiritual growth. Both aspects of man’s environment, the natural and
the man-made, are essential to his well-being and to the enjoyment of basic human
rights the right to life itself”.

The term Environment may be perceived in different connotations. Generally speaking,

Environment includes the external conditions, resources, stimuli etc. with which an
organism interacts. In general terms, environment is a set of external conditions, especially
those affecting a particular activity that are influencing the lives and activities of living
things.

Environment is a term most commonly used to describe the Natural Environment. A

natural environment refers to the totality of all the external conditions affecting the life,
development and survival of living organisms. Its definition encompasses -
1) All living and non-living things occurring naturally on Earth or some region thereof.
2) Interaction between all living things and between living and naturally occurring
non- living things.
158 Law and Policies Pertaining to Environment

What constitutes a natural environment?

♦ Ecological Units: E.g. soil, rocks, the vegetation and flora, fauna, humans and
all other forms of life like microorganisms, etc.
♦ Natural Phenomenon: E.g. Ecological phenomenon like decomposition, decay,
climate change, etc.; Meteorological phenomenon like weather patterns,
hurricane, tornados, etc.; and geographical phenomenon like volcanoes,
earthquakes, tsunami, etc.
♦ Natural Resources: Universal physical phenomena lacking clear-cut boundaries,
such as Air, Water, Climate, Energy, Radiation, etc. that does not originate from
human activity.

Sec 2 (a) of the Environmental (Protection) Act, 1986, defines environment as -

Unless the context otherwise requires -
“Environment” includes water, air and land and the inter- relationship which exists among
and between water, air and land, and human beings, other living creatures, plants,
micro- organism and property.
The environment is clearly at risk from a variety of sources of harm, mostly of human
origin. In order to tackle this problem, it is important that we develop strategies for
modifying human behaviour towards environmentally benign practices and away from
environmentally damaging ones. In very broad terms, techniques for modifying human
behaviour can be thought of as falling into two types: incentives and disincentives. Law
is important as it creates a framework within which incentives and disincentives can
operate.
Law is all pervasive. Other methods for influencing human behaviour are to a certain
extent, voluntary or optional. Education, ethics, peer and family pressure these all
apply in various degrees. Law, on the other hand, cannot easily be avoided. It is axiomatic
to the “rule of law” that law in a society applies equally to everyone at all times.
Modern Environmental law as a distinct system arose in the 1960s in the major industrial
economies. It is fast becoming an important and specialised branch of law. Many of its
doctrines are gradually becoming clear. The provisions in the old Indian law, which have
a bearing on the environment, have hardly been used in the past. The consciousness to
protect the environment was not as strong then, as it is today. Unless there was awareness
on the part of the people to approach the authorities neither the government nor the
courts would have had the opportunity to make use of the statutory provisions.

10.2 Concept of Law

Law has been described as ‘generally...a way of regulating human behaviour”.1 Yet such
simple formulations leave many issues unresolved. Hence, there is a need to closely
consider the concept of “law”.
1
Mc Eldowney and Mc Eldowney 1996, Volume. 3
Environmental Laws and Policies 159

♦ Law as Commands
One school of thought2 is that the only thing that counts as ‘laws’ are commands of a
sovereign, backed up by sanctions in the event of disobedience. A sovereign, for Austin,
is an individual or body that is clearly identifiable, habitually obeyed by society, and is
not habitually obedient to any other superior.

One problem with the command concept of law is that it doesn’t fit very readily with
laws that merely empower or permit one to do something. It fails adequately to separate
legal coercion from non-legal coercion.

♦ Law as Rules
Problems with ‘command’ theories of law led to the development of “rule” theories of
law. Hart (1961), the most eminent rule theorist divided legal rules into primary rules and
secondary rules. Primary rules have substantive content (e.g. it is an offence to pollute
a watercourse). Secondary rules are rules about primary rules. It is the possession of
both primary and secondary rules which according to Hart, demarcates a legal system
from other institutions for social control. This implies, incidentally, that less formal
systems of social conventions and rules as much as those possessed by certain indigenous
peoples may not achieve the status of ‘legal system’.

The rule model of law faces certain problems. First, what should courts do if the law
does not contain a rule governing a particular case or if the rule seems vague? Hart’s
answer is that laws, whilst generally comprehensive and clear, may lead to situations
where the judges must exercise discretion. This would imply that we must accept that
judges actually make law where the legislature has been unclear or left a gap. The
discretion explanation itself however is subject to criticism. Second, it is not certain
that any clear rules exist. Some rules are made not by the legislature but by the judges.
In the case of judge-made rules (precedents) the scope of any given rule is often unclear.

♦ Laws as Principles

Not everyone agrees that law consists of a body of clear rules surrounded by a woolly
mantle of judicial discretion. Dworkin (1977), for one, famously argued that law also
contains principles and does not contain discretion. He distinguished rules and principles
as follows. He said that rules apply in an “all or nothing” fashion (e.g. river pollution is
forbidden) whereas principles have the quality of ‘weight’; that is to say, a principle is
never absolute and is always subject to being balanced with and against other principles.
An example of a principle might be ‘a polluter shall pay for environment damage caused’.

Unlike Hart, Dworkin denied that judges have discretion when faced with unclear or
seemingly unjust cases. Instead he asserted that, in such hard cases, judges should reach
a solution based on the principles of their particular legal system. Principles which can
be found in most legal systems include - proportionality, non-discrimination, natural
justice, and equitable principles
2
Hobbes 1996, orig. 1651; Bentham 1891, orig. 1776; Austin 1954, orig. 1832
160 Law and Policies Pertaining to Environment

The idea that law contains legal principles is not unproblematic.3 One issue is whilst
Dworkin characterises principles as having ‘weight’, he never explains how this ‘weight’
is to be ascertained. It is not clear that Dworkin’s characterisation of rules as absolute is
correct; it may be that where rules appear to conflict, they can also be ‘weighted’
against one another. If that is the case then the distinction between the two types of law
collapses and the need for principles disappears. A third problem is that of identification.
Protocols exist for identifying legal rules; the same does not appear to be true of legal
principles.

♦ Law as Ethics or Morality

The argument that there is some degree of necessary connection between law and
morality (or ethics) is generally known as natural law theory.4 More specifically, natural
law is the idea that law must have a certain reasonable moral content in order to be
called law at all. Part of importance of natural law thinking is that it can be used to
undermine unethical legislation and defeat attempts to justify morally repugnant acts
(e.g. genocide) by appeal to the claims of ‘only following the law’. Human rights law
which is driven by natural law theories is of increasing importance in environmental
protection.5 The recent development of the field of ‘environmental ethics’ raises the
question of a role for natural law in promoting or protecting basic ethical values in
nature.

Natural law theory is subject to certain criticisms. Most obvious is the difficulty of
ascertaining or reaching agreement on, those ethical principles and values that should
inform or limit law’s content.

♦ Law as Social Norm and Customs

The western concept of law is not shared universally. In particular, many indigenous
peoples exist within less formalised systems of law in which the boundary between
social norms and ‘legal’ rules is blurred or non-existent.6 Laws based on local custom-
’customary law’- continue to be of considerable practical importance in many developing
countries, especially in Africa. Individuals often rely on customary rights to protect their
environment, and their own homes, from the threat of development. Many important
concepts existing within one legal culture may be absent, or present only in altered
form, in others. Sometimes law cannot replace the social functions of tradition and
custom.
Attitudes and behaviours formed from thousands of years of custom and tradition can be
almost impossible for law alone to alter. The practice in China and Hong Kong of eating
wild animals, often exotic and/or endangered species has been little affected by laws
rendering such practices illegal. Furthermore, the use of wild animal parts in medicinal
preparations in these countries is not considered to be morally wrong.
3
Toubes Muniz 1997; Alexander and Kress 1997
4
Aquinas 1991; Finnis 1980
5
Boyle and Anderson 1996
6
Stavenhagen 1990
Environmental Laws and Policies 161

♦ Laws as Written Documents

It is assumed in the modern western society that laws must exist in a written form. This
stems, historically, from the need for dissemination of laws. It also acts as a safeguard
against corruption or mischievous interpretation. The requirement is met in modern
times, by the publication of statutes, or, in civil law countries, ‘codification’ of the
whole environmental law. In recent times access to environmental legislation - at
international, regional and domestic levels - has been significantly improved by creation
of numerous Internet sites which facilitate access.

The desirability of setting laws in written form led to an increase in written reports of
courts’ judgment. In addition to the traditional medium of the printed page, decided
cases are increasingly disseminated via electronic media such as CD ROMs and the Internet.

♦ Law Distinguished from Policy

An important distinction in the concept of law is the one between law and policies.
Government circulars, strategies or advice documents cannot substitute for the hard-
edged character of legislation, which is necessary so that ‘individuals are in a position
to know their rights in order to rely upon them where appropriate’. Two factors distinguish
law from policy. First, policy is generally advisory in nature, recommending objectives
or setting targets, rather than prescribing particular actions. Second, policy may derive
from any number of institutional processes whereas law must pass strict secondary rules
of recognition before it has legal quality. The ‘relegation’ of some instrument to the
field of policy rather than law does not exclude it from legal importance. Failure to take
relevant policies into account or, conversely, consideration of irrelevant policies may
invalidate decisions of public bodies.

Not surprisingly, disputes infrequently arise concerning the relevance, hence permissibility,
of environmental policies must be considered by public authorities. For instance, in UK
development control law, governing advice about development controls, issued in the
form of Planning Policy Guidance (PPG) notes, must be taken into consideration in the
determination of applications for planning permission.7

10.3 Concept of Policy

According to a dictionary definition, policy is “any course of action followed primarily
because it is expedient or advantages in a material sense”. When put into a political
theme, policy can be described as a ‘Public Policy’. Public Policy is a concept (usually in
a written document), whereby the government or a political party will determine
decisions, actions and other matters that will prove advantageous to society in general.

Generally speaking, a policy can be considered as a “Statement of Intent” or a

“Commitment”. For that reason, at least, the decision-makers can be held accountable
for their “Policy”. Another possible way to look at policies, particularly the governments,
7
Moore 1987, 176
162 Law and Policies Pertaining to Environment

is to think of them as the principle (be it values, interests and resources) that underlines
the actions that will take place to solve public issues. This may be administered through
state or federal action such as legislation, regulations and administrative practices.

Policy is an instrument in form of a principle or rule to guide decisions and achieve

rational outcome on a particular issue. The term is not normally used to denote what is
actually done, this is normally referred to as either procedure or protocol. Whereas a
policy will contain the ‘what’ and the ‘why’, procedures or protocols contain the ‘what,’
the ‘how’, the ‘where’, and the ‘when’. Policies are generally adopted by the Board of
or senior governance body within an organisation whereas procedures or protocols would
be developed and adopted by senior executive officers. Policies can assist in both
subjective and objective decision making.

The starting point for anyone who is producing policies is to realise that there needn’t
always be consistency in them. This is mainly because the values of society are continuously
changing, and policies being the representation of society’s preferences and ideals, must
change with them. It is at this broad level that policy becomes a complex interplay of
“social and economic decisions, prevailing ideas, institutions and individuals, technical
and analytical procedures, and general theories about the way policy is made”.8 All of
these factors when taken into account will determine how the new policy will affect the
following:9
♦ Private Citizens
♦ Companies
♦ Corporations
♦ Associations
There is no right or wrong policy. But the foremost will be one that addresses the
masses, and reflects their social values.

Considering that public policy is an action taken by the government that ultimately
affects the public, it has been recognised that even when an area of activity is left in
private hands, the very act of it being left alone can be viewed as a deliberate policy of
the authorities. This could possibly be because the general societies’ needs did not need
to be altered, or because the body that the activity was delegated to will make the
necessary changes in the place of the government; possibly because they understand
social issues better because of their standing within society, for example local councils.10

Many factors influence why a policy is created. Lobby groups, political parties, single
issue coalitions, industrial councils, unions and pressure groups play a very active role
in this, mainly because their vast size through social support which allows them to

8
Davis, G, Wanna, J, “Public Policy in Australia”, Allen & Unwin, 1993
9
MacDonald, A.M, “Chambers Dictionary”, T&A Constable Ltd. Edinburgh, 1980
10
Iowa State University Cooperative Extension, Food Safety Project available at www.exnet.iastate.edu/
pages/families/html
Environmental Laws and Policies 163

contest issues. For a government not to listen and then act on their requests would
almost mean certain suicide. This is especially true around election time, when the
government also makes a lot of policies that will be looked upon as favourable by the
voters, and thus help the government in their plight to be re-elected. But it must also be
acknowledged, that not all large groups such as unions, are given whatever they want
(as we saw with the transport union earlier on this year during the Grand Prix) especially
if it will be a burden to the rest of society.

In general, the purpose of government is to add value to the lives of the people it
serves, and through good policy making, this can be achieved. Policies should express
and embody society’s needs and values, and this is achieved through the comprehensive
use of politics involving cooperation from groups outside the government body.11

Policy addresses the intent of the organisation, whether government, business, professional,
or voluntary. Policy is intended to affect the ‘real’ world, by guiding the decisions that
are made. Whether they are formally written or not, most organisations have identified
policies. Policies may be classified in many different ways ranging from determinal policies
to regulatory policies to distributive policies to constitutive policies.
Environmental policy is any action deliberately taken/ or not taken, to manage human
activities with a view to prevent, reduce, or mitigate harmful effects on nature and
natural resources, and ensuring that man-made changes to the environment do not have
harmful effects on humans. These instruments are tools used by governments to implement
their environmental policies. Governments may use a number of different types of
instruments. For example, economic incentives and market-based instruments such as
taxes and tax exemptions, tradable permits, and fees can be very effective to encourage
compliance with environmental policy. Voluntary measures, such as bilateral agreements
negotiated between the government and private firms and commitments made by firms
independent of government pressure, are other instruments used in environmental policy.
Often, several instruments are combined in an instrument mix formulated to address a
certain environmental problem.
Such policies are either supranational, national, or regional instruments of a government/
s indicating its approach to environmental protection. Environmental policy statements
usually make commitments to decreasing pollution and waste, to using of energy and
resources efficiently, and to minimising the environmental effects on habitats and
biodiversity of new developments, and of the extraction of raw materials. Article 7 of
the UN Declaration of Human Rights (1948-66) states that ‘All people have a responsibility
to protect the air, water and soil of the earth for the sake of present inhabitants and
future generations,’ and environmental protection became a national responsibility for
us.
For a business operation, environmental policy is articulated and implemented through
environmental management systems, which usually involve an initial, systematic review
11
Malaya Adhikari, Remote Sensing, An Analysis of Policy and Law with Reference to India, India Geospatial
Forum, (2012).
164 Law and Policies Pertaining to Environment

of environmental risks; the development of techniques, technology, and training to

reduce environmental impacts; and the monitoring and auditing of the system to ensure
that the aims are being achieved. Environmental management systems are legally
underpinned by international standard ISO 14001.

The cost of any environmentally damaging activity is paid by society-at-large. The cost
incurred to prevent or rectify such damage is also borne by the society. For instance, the
monetary cost of cleaning the water before drinking it is bourne by the society. Citizens
pay taxes to the government for such services. Hence not only access to clean water is
the right of every individual but also the responsibility of one and all.

10.4 An Introduction to Environmental Law

The concern over the condition of environment has grown world over, more so since the
end of the 1960s. A series of national and international legal texts indicate the increasing
alarm in the world community to take up urgent action for the protection and conservation
of the environment. The depleting quality of environment can be evidenced by the
depletion of quality of air, water, green cover and biological diversity.

For the purpose of taking an effective stand to protect the environment it is very
essential to put legal instruments to use. In international law there are two kinds of laws,
namely:
♦ Hard Law - Legal Instruments which are directly enforceable. They are in form of
legally binding agreements or principles which are directly enforceable by national
and international bodies.
♦ Soft Law - Legal Instruments in form of agreements or principles that are meant to
provide a basic guideline for nations to respect certain norms or incorporate them
into national law. Although these agreements sometimes oblige countries to adopt
implementing legislation, they are not usually enforceable on their own in a court.
Industrialisation, urbanisation, population explosion, poverty, over exploitation of
resources, depletion of traditional resources of energy and raw materials and so on are
some of the factors that have contributed to environmental degradation. In response to
the global environmental concerns, various environmental efforts have taken place.
Of the several processes that all human societies in all ages have had in common, none
has been more fundamental than their continual interaction with their natural
environment. In fact, more than any other aspect of human endeavour, the diverse
modes of human societal interaction with the larger ecological setting provides the
basis for a genuinely global history of humanity. But, unlike so many of the other themes
and patterns from which world history can be constructed, environmental history
transcends the human experience. Due to the profound technological and scientific
transformations that have occurred over the past millennium, it has come to effect -
often fatally in recent centuries - every species of living creature on earth.
Environment primarily refers to the ecological dimension (ecosystems), but can also
Environmental Laws and Policies 165

take account of social dimension (quality of life) and an economic dimension (resource
management). As the principal user of nature, humanity is responsible for ensuring that
its environmental impacts are benign rather than catastrophic. Environmental
management (EM) is the tool by which humanity can ensure the optimum use of our
resources with minimal impact to the environment.

Every word in English has a history - and Environmental law is no exception. In this
section you will learn a good deal more about the historical perspectives of environmental
law; in addition you will make excursions into its origin and development. Environmental
law is a body of law, which is a system of complex and interlocking statutes, law, treaties,
conventions, regulations and policies which seek to protect the environment which may
be affected, impacted or endangered by human activities. Some environmental laws
regulate the quantity and nature of impacts of human activities for example, setting
allowable levels of pollution or requiring permits for potentially harmful activities.
Other environmental laws are preventive in nature and seek to assess the possible
impacts before the human activities can occur.

While many countries worldwide have since accumulated impressive sets of environmental
laws, their implementation has often been woeful. In recent years, environmental law
has become critical means for promoting sustainable (or “sustainability”) practices. Policy
concepts such as the precautionary, public participation, environmental justice, and the
polluter have informed many environmental law reforms in this respect. There has been
considerable experimentation in the search for more effective methods of environmental
control beyond traditional “command-and-control” style regulation. Taxes, emission,
voluntary standards such as ISO 14000 and negotiated agreements are some of these
innovations.

The IUCN Academy of Environmental Law is a network of some 60 law schools worldwide
that specialise in the research and teaching of environmental law.

In his book “Should trees have legal standing”, the author, Christopher Stone12 argues
that nature should count jurally - to have a legally recognised worth and dignity in its
own right, and not merely to serve as a means to benefit “us”. He claims that for a thing
to be a holder of legal rights an authoritative body must review the actions and processes
of those who threaten it and three additional criteria should be satisfied. The thing can
institute legal actions at its behest; second, that in determining the granting of legal
relief, the court must take injury to it into account; and; third, that relief must run to
the benefit of it. The problem with this argument is that for nature to have legal standing
it must have a lawyer; and would therefore be dependent on the cultural values, wisdom
and competence of the lawyer(s) chosen to represent it and those of the court of law
with jurisdiction. Clayton (2000) claims that justice becomes more relevant in
circumstances in which a desired response is scarce and in which there are citizens who
ascribe moral significance and values to the environment. She goes on to state that

12
Christopher D. Stone 1972, Should Trees have a legal standing? - Towards Legal Rights of Natural
Objects, California Law Review, p. 450.
166 Law and Policies Pertaining to Environment

since many resources are not renewable within reasonable time frames, this makes
people more aware of the ways in which those resources are distributed. Stone claims
that in the past natural objects have had no standing in their own right; their unique
damages do not count in determining outcome; and they are not the beneficiaries of
awards, but are objects for man to conquer and master and use.

Environment plays a pivotal role in human life as well as in the development of society.
With growing technological advancement and industrialisation, the purity of the
environment has been threatened to an appalling extent. The need to protect and improve
the environment is so compelling for the peaceful survival of mankind and other life
forms on planet Earth that right to environment has emerged as a human right.

Over the last two decades, the Indian judiciary has fostered an extensive and innovative
approach to environmental rights in the country. Complex matters of environmental
management have been resolved and consequently a series of innovative procedural
remedies have evolved to accompany this new substantive right. The new environmental
right is therefore championed as a legal gateway to speedy and inexpensive legal remedy.
The notional expansion of right to life was recognised even in the absence of a specific
reference to direct violations of the fundamental right. Placed in a nutshell, the human
right culture has percolated down to Indian human right regime within a short period of
time. An interdisciplinary approach to environmental protection may be another reason
for the operation of the right to healthy environment. This has been undertaken through
international environmental treaties and conventions, national legislative measures and
in judicial responses. On undertaking a comprehensive study of environmental law, it
can be found that the Indian scenario is replete with examples of preserving the
environment from degradation.
Today the need is to evolve a new jurisprudence of striking balance between growth,
development and the ecosystem. Growth that does not respect the natural world, its
complexity and its sensitivity, limits itself. Resources are exhausted, eco-systems collapse,
species disappear and our own physical and mental health and even our survival are
threatened.
The concept of environment is very wide, it includes land, water, air, flora, fauna,
natural resources and human habitation. There are a number of Acts, direct and indirect,
relating to various aspects of the environment. There are various protective Laws for
human beings relating to air, water, land, noise, nuclear, thermal pollution and also for
other living species of terrestrial life, marine life, flora and fauna. The focus of
environmental law in India should be moved from protection to management of the
environment and from reactive to proactive legal mechanisms.
Many Constitutions in the world acknowledge the fundamental right to environmental
protection and many international treaties also acknowledge the right to live in a healthy
environment. The Constitution of India provides that every person has right to life as
enshrined in Article 21, on the other hand it also imposes duty on the Citizens to protect
the environment (see Articles 51 A(g)( ii), 39(b),(c),19(e)). Similarly, the government
Environmental Laws and Policies 167

departments also have duties towards protection of environment, article 48A directs
the government to protect and improve the environment and to safe guard the forest
and wildlife of the country, Article 31 A and 31C gives eminent powers to the government
to acquire forest , lands, estates and other natural resources however the acquisition
must be done equitably for common good (Article 39(b)and (c) of directive principles).

The IX schedule of the constitution gives powers to the centre, over the state and
judiciary to declare numerous land related Laws as unreviewable in any court. The VII
schedules (list 1, entries 52-58) places some environmental issues in centre’s power
alone, Atomic energy, oil fields and resources, mines, interstate rivers and valleys and
fishing in territorial waters are subjects related to environmental protection in union
list and fall within subject of union list (list I , entries 6, 53, 54, 56 and 57). Public health
and sanitation, agriculture land and fisheries within state territories and water fall
under state subjects ( list II entries 6,14,18,21 and entry 17) however certain subjects
like forest, wildlife and population control falls under list III, entries 17 A,17 B, the
concurrent list where both centre and state can legislate. Nomadic tribes, social and
economic planning, monopolies, factories and electricity, having close connection with
environmental protection also falls within concurrent list (list III, entries 15, 20, 21, 29,
36, 37, and 38).

10.5 Conclusion
Humans have been a part of nature long before we recognised such a relationship in law
or policy. Although the human species has control over natural resources, what distinguishes
us from other species is our power to discern and use our resources rationally. However,
we witness the reverse today. A lioness shares her meals with her Pride, eats only as
much as her stomach can take. The fox, wolf or other scavengers also share their catch.

But humans hunt with driftnets that kill fishes and turtles, hunt whales which are not
their basic diet, acquire property that is no not required, pollute oceans that provide
food and sustenance.

So where do we find a place for law and policy. Acquinas13 regarded natural law as
supreme law because he believed that god is the creator and all men drew their sustenance
from god’s mercies. The divinity of kings, who are the fountain heads of the law, is a
well-known concept in the ancient Indian society based on dharma too. Law has been
created by man to support an orderly life. Far from the life being short nasty and brutish
view of Hobbes.14 Lockean15 ideas provided a representative form of government and
also the need for laws along with Bentham’s16 concept of utilitarianism of greatest

13
Saint Thomas Acquinas was a Italian Dominican Catholic priest in the 1200s.
14
Thomas Hobbes of Malmsbury (5 April 1588 - 4 December 1679) was an English philosopher best known
today for his work on political philosophy and this Social Contract Theory.
15
The philosophy of John Locke (29 August 1632 - 28 October 1704), who is considered as the father of
Liberalism.
168 Law and Policies Pertaining to Environment

happiness of greater number. H. L. A. Hart17 spoke of the need for primacy of rules; those
that create a primary obligation and those that create secondary duties too. Dworkin
too, who was much of a liberal, spoke of the underlying philosophy of law being in
principles as opposed to just rules. There is some truth, in this as it is principles that
provide the conceptual framework for rules to exist in international society.

Customs often decide the shape pf laws to come. Customary practices create social
mores and mores become norms or acquire normative character. Man has always
worshipped nature. He also utilises the resources of nature for his own use. The intention
of doing so originally would have been noble or good. As the society progresses, such
utilisation unfortunately takes shape of exploitation. It is even more unfortunate that
such exploitation many a times takes the form of a social more. For instance, the
Chinese believe that tiger products or parts are used as Medicine. No measure of law can
change this time acquired social more. In international law, custom is supposed to be a
primary source of law. Laws can be abrogated or rescinded, customs can’t. Their effect
continues even when States are not parties or there is no place reservations.18 However,
humans in their quest for precision and clarity prefer clear obligations. It is useful to
have clear written obligations as laws which can be authoritatively interpreted and
quoted. Most national Constitutions provide for a rationale to regulate the Environment.

Environmental Law is a body of law, which is a system of complex and interlocking

statutes, common law, treaties, conventions, regulations and policies which seek to
protect the natural environment which may be affected, impacted or endangered by
human activities. Some environmental laws regulate the quantity and nature of impacts
of human activities for example, setting allowable levels of pollution or requiring permits
for potentially harmful activities. Other environmental laws are preventive in nature and
seek to assess the possible impacts before the human activities can occur.

As mentioned earlier, environmental law as a distinct system arose in the 1960s in the
major industrial economies. Over the years, together with a spreading of environmental
consciousness, there has been a change in the traditionally-held perception that there is
a trade-off between environmental quality and economic growth as people have come
to believe that the two are necessarily complementary. However, the current focus on
environment is not new. Environmental considerations have been an integral part of the
Indian culture. The need for conservation and sustainable use of natural resources has
been expressed in Indian scriptures, more than three thousand years old and is reflected
in the constitutional, legislative and policy framework as also in the international
commitments of the country.

16
Jeremy Bentham (15 February 1748 - 6 June 1832) was an English jurist, philosopher, and legal and
social reformer.
17
Herbert Lionel Adolphus Hart (18 July 1907-19 December 1992) was an influential legal philosopher of
the 20th century. He was Professor of Jurisprudence at Oxford University and the Principal of Brasenose
College, Oxford. He authored The Concept of Law.
18
Nicara Gua case ICJ rep. 1986.
Environmental Laws and Policies 169

Even before India’s independence in 1947, several environmental legislations existed

but the real impetus for bringing about a well-developed framework came only after the
UN Conference on the Human Environment (Stockholm, 1972). Under the influence of
this declaration, the National Council for Environmental Policy and Planning within the
Department of Science and Technology was set up in 1972. This Council later evolved
into a full-fledged Ministry of Environment and Forests (MoEF) in 1985 which today is the
apex administrative body in the country for regulating and ensuring environmental
protection. After the Stockholm Conference, in 1976, constitutional sanction was given
to environmental concerns through the 42nd Amendment, which incorporated them into
the Directive Principles of State Policy and Fundamental Rights and Duties.

We will be dealing emergence of environmental law as a separate branch, both in

international as well as the national context in detail in the following units.

10.6 References and Recommended Readings

Bakshi, P.M., Environmental Law: Some issues for the Future
Dr. Desai, Bharat, Environmental Law: Some reflections
Divan, Shyam and Rosencranz, Armin, Environmental Policy in India, Environmental Law
and Policy in India - Cases, Materials and Statutes, Oxford University Press, New Delhi,
pp. 23-39.
Jaiswal, P.S., Introduction, Environmental Law, Pioneer Publications, New Delhi, 2004,
pp. 2-18.
Beena Kumari, V.K., Environmental pollution and Common Law Remedies, Cochin
University Law Review, School of Legal Studies, Cochin University, Volume 8, p. 101.
Nayak, R.K. (ed.), Shaping the Future by Law: Children, Environment and Human Health,
Indian Law Institute, New Delhi, 1996.
Divan, Shyam and Rosencranz, Armin, Environmental Law and Policy in India - Cases,
Materials and Statutes, Oxford University Press, New Delhi.
Thakur, Kailash, Environmental Protection Law and Policy in India,1997.
170 Law and Policies Pertaining to Environment

UNIT 11
ENVIRONMENTAL LAW AND THE
INDIAN CONSTITUTION
Contents
11.1 Introduction 170
11.2 Environmental Law as a Specialised Branch in International Law 171
11.3 Constitutional Provisions Pertaining to the Environment 174
11.4 India’s International Obligations Pertaining to Environment 183
11.5 Conclusion 190
11.6 References and Recommended Readings 191

11.1 Introduction
Environment is our surroundings which include all forms of life including plants, animals,
human beings, as well as non-living external physical matters like air, water, land, buildings,
parks, vehicles, etc. Our environment is in a dynamic state. It keeps changing every now
and then. You would have observed many changes around you, like floods or drought in
certain years, new industries, multi-storey buildings, new means of transport, etc. If
these changes are favourable to life, then the environment is not harmed. However,
unfavourable changes lead to degradation of the environment.
The environment is a whole, albeit a complicated one, with many interfacing components.
The wise management of the environment depends upon an understanding of its
components, its rocks, minerals and waters, its soils and their present and potential
vegetation, its animal life and potential for livestock husbandry, and its climate. Positive
and realistic planning is needed to balance human needs against the potential the
environment has for supporting these needs.1 Environmental studies deal with every
issue that affects a living organism. It is essentially a multidisciplinary approach that
brings about an appreciation of our natural world and human impact on its integrity. It is
an applied science, as it seeks practical answers to the increasingly important question
of how to make civilisation sustainable on the Earth’s finite resources.
Mahatma Gandhi had said, “The Earth has enough for everybody’s need but not for
everybody’s greed”.
1
Datuk Amar Stephen K. T. Yong, Opening Address, p g. 8, in Sunderlal Bahuguna, Vandana Shiva and
M. N. Buch, Environment Crisis & Sustainable Development. Natraj Publishers (1992).
Environmental Laws and Policies 171

As the use of these natural resources increases, waste and pollution also increase. This
is because waste is a by-product of the use of natural resources. Wastes damage the
environment after an extent, and turn into pollutants. Thus, we can say that overuse of
natural resources leads to pollution. Moderation, industry, machines and transport have
speeded up the consumption of all natural resources. The resultant pollution has affected
air, water, soil and life on the earth, chemically, physically and as far as human beings
is concerned, even psychologically. Our day to day work is affected by different kinds of
pollution. Air, water, soil, noise, waste and heat radiation are a result of speedy
consumption of natural resources.

When we study the natural history of the areas in which we live, we can see that our
surroundings were originally a natural landscape, such as a forest, a river, a mountain, a
desert or a combination of these elements. Most of us live in landscapes that have been
profoundly modified by human beings. Our dependence on nature is so great that we
cannot continue to live without protecting the Earth’s environmental resources. Most
traditional societies have learned that respecting nature is vital in protecting their own
livelihoods. This had led to many cultural practices that have helped traditional societies
protect and preserve their natural resources. Respect for nature and all living creatures
is not new to India; all our traditions are based on these values. Emperor Ashoka’s edict
proclaimed that all forms of life are important for our well-being, and this was as far
back as the 4th century BC.

11.2 Environmental Law as a Specialised Branch in

International Law
At the beginning of the ‘ecological era’ and in particular in the 1960’s there was a
general trend towards the development of environmental regulations, which were
considered as the remedy to pollution and to the depletion of the world’s wild flora and
fauna. In 1980’s disillusion concerning the effectiveness of legal rules for the protection
of the environment increased, but this did not halt or even slow down the legislative
efforts. In the 1990’s with the triumph of the market economy system, many advanced
the view that law is not the adequate tool for protecting the environment, whether at
an international or a domestic level, because of its ineffectiveness.
Two regional instruments inspired by genuinely ecological perspectives can be seen as
precursors to our present environmental concepts. The first, the 1933 London Convention
Relative to the Preservation of Fauna and Flora in their Natural State, applicable to
Africa then largely colonised. It provided for the creation of national parks and strict
protection for some species of wild animals. The second instrument is the 1940 Washington
Convention on Nature Protection and Wildlife Preservation in Western Hemisphere; which
envisages the establishment of reserves and the protection of wild animals and plants
especially migratory birds.
As we have studied in the previous unit, the legal instruments of International Law are
of two kinds, namely, Hard Laws and Soft Laws. International law includes both the
customary rules and usages to which states have given express or tacit assent and the
172 Law and Policies Pertaining to Environment

provisions of ratified treaties and conventions. International law is directly and strongly
influenced, although not made, by the writings of jurists and publicists, by instructions
to diplomatic agents, by important conventions even when they are not ratified, and by
arbitral awards. The decisions of the International Court of Justice (ICJ) and of certain
national courts, such as prize courts, are considered by some theorists to be a part of
international law. In many modern states, international law is by custom or statute
regarded as part of national or municipal law.
Since there is no sovereign super national body to enforce international law, some older
theorists have denied that it is true law.2 Nevertheless, international law is recognised
as law in practice, and the sanctions for failing to comply, although often less direct, are
similar to those of municipal law; they include the force of public opinion, self-help,
intervention by third-party states, and the sanctions of international organisations such
as the United Nations.3
As mentioned earlier, in international law, a distinction is often made between hard and
soft law. Hard international law generally refers to agreements or principles that are
directly enforceable by a national or international body. Soft international law refers to
agreements or principles that are meant to influence individual nations to respect certain
norms or incorporate them into national law. Although these agreements sometimes
oblige countries to adopt implementing legislation, they are not usually enforceable on
their own in a court.
If a treaty or convention does not specify an international forum that has subject matter
jurisdiction, often the only place to bring a suit with respect to that treaty is in the
member state’s domestic court system. This presents at least two additional hurdles. If
the member state being sued does not have domestic implementing legislation in place
to hear the dispute, there will be no forum available. Even in the event that the domestic
legislation provides for such suits, since the judges who decide the case are residents of
the country against which it is brought, potential conflicts of interest arise.
Only nations are bound by treaties and conventions. In international forums, such as the
International Court of Justice (ICJ), countries must consent to being sued. Thus, it is
often impossible to sue a country. The final question in the jurisdictional arena is who
may bring a suit. Often, only countries may sue countries. Individual citizens and non-
governmental organisations (NGOs) cannot. This has huge repercussions. First, the
environmental harm must be large and notorious for a country to notice. Second, for a
country to have a stake in the outcome of the subject matter, some harm may have to
cross the borders of the violating country into the country that is suing. Finally, even if
transboundary harm does exist, the issue of causation, especially in the environmental
field, is often impossible to prove with any certainty.
The enforcement issue is one where advocates for a safer environment often find
themselves stymied. Even if a treaty or convention provides for specific substantive
measures to be taken by a country (many treaties merely provide ‘frameworks’), specifies
2
Thomas Hobbes, Samuel Pufendorf, and John Austin have denied that international law is true law, due
to the lack of a sovereign supernational body to enforce the same.
3
Ibid
Environmental Laws and Policies 173

a forum for dispute resolution and authorises sanctions for non-compliance, international
law remains largely unenforceable. A country cannot be forced to do what it is not
willing to do. One can sanction the country, order damages, restrict trade, or, most
frequently, publicise non-compliance. But beyond that, if a country will not comply,
there is very little to be done.
International institutions are generally not responsible for directly implementing and
enforcing international environmental law, but they often play important monitoring,
informational and diplomatic roles. For example, the 1992 Convention on the Conservation
of Biological Diversity (Biodiversity Convention) created a new international body, the
Committee on Sustainable Development (CSD). The CSD lacks the power to bring
enforcement actions against either governments or private parties, but it plays a role in
implementing the Biodiversity Convention. The CSD helps monitor national compliance
efforts by requiring member nations to submit annual reports. Through its meetings and
publications, the CSD also provides a forum to discuss and debate issues associated with
global protection of biological diversity and forests.
Traditional international law only recognises states as actors in international legal
relations. Called subjects of international law, states have the exclusive right to conclude
treaties, to send and receive diplomatic representatives, to give their nationality to
individuals according to rules which they determine, to protect their nationality abroad,
to adhere to international organisations and to assume international responsibility.
After World War II, a debate began over whether individuals and non-state groups could
also become subjects of international law. The proliferation of international conventions
protecting human rights triggered such debates. According to the present state of
international law, individuals are entitled to have rights which can be internationally
enforced mostly in the framework of specific treaties guaranteeing their fundamental
rights and freedoms and creating specific enforcement mechanisms.
While traditional rules are formally applied in international legal relations, the need to
protect the environment posed a challenge to international law, and this has fundamentally
changed the system. Most of the major environmental rules were triggered by public
awareness which then pressured governments to adopt appropriate measures. For
example, the public role has been recognised by a growing number of international
institutions which accept the presence of representatives of certain NGOs at designated
meetings as observers who can report back to their constituency and who can be
authorised to take the floor.
Environmental decisions in the domestic field, as well as at the international level, are
not always welcomed by industrialists, farmers, foresters, transporters - and the investors
who fund their activities. The beginning of the ecological era was characterised by the
strong resistance of groups representing certain economic interests. This was starting
point for a wave of ‘green’ products and advertisements praising the environmental
qualities of given products, eventually leading to environmental labelling.
A certain measure, of cooperation between industries and civil societies is very essential
to achieve any real results. The preparation of the treaty system for the protection of
the stratospheric ozone layer was the best example in this regard; the whole initiative
174 Law and Policies Pertaining to Environment

was strongly backed by public opinion represented by NGOs. The preparation of the Rio
Conference amplified such developments there was a constant pressure of non-
governmental organisations on the negotiators and parallel to the governmental
conference a ‘forum’ of NGOs was held with the representatives of 1400 associations
sometimes helping, sometimes criticising but taking a growing part in the international
protection of the environment.
One of the main characteristics of environmental law is the necessity for an interdisciplinary
approach. Nowadays interdisciplinary studies are increasingly necessary in most sciences,
where progress can be made only after acquisition and review of essential data coming
from other specialties or other field. This is especially true in environmental matters,
because of the complexity of the subject. Legislation and the creation of institutions,
which are fundamental tasks of law, require knowledge of data which can be furnished
only by sciences representing several disciplines, including life and earth sciences, as
well as social sciences.4
Thus, a chain of biologists, chemists, medical doctors, ecologists, economists, sociologists
and lawyers is needed to elaborate and implement environmental norms. The tasks will
be to ascertain and further develop the knowledge of environment itself, of its
deterioration and of its impact as well as of the possible remedies. The result of scientific
investigation must then be integrated into the economic, social and cultural context of
a given situation. The final decision is made in the political arena, but without knowing
as many possible of the elements of the problem no useful decision can be taken. The
best illustration of this process is the discovery by scientists of the depletion of the
stratospheric ozone layer. They were the only ones who could state and assess the
problem, but the solution, the building up of a regime for protecting the stratospheric
ozone molecules needed the cooperation of economists, representatives of the world
public opinion and of industry, political decision-makers and, last but not the least, legal
experts.
The interdisciplinary character, involving various scientific branches as well as scientific
uncertainty, imposes frequent adaptations upon environmental law. Changes are always a
problem for law, one of the objectives of which is to ensure stability in human relations.
New legal methods and techniques have to be applied in order to keep pace with the
general evolution of environmental sciences.5

11.3 Constitutional Provisions Pertaining to the Environment

Indian Constitution is one of the few Constitution in the world which is containing provisions
relating to environment protection and it has been effectively mentioned in the various
provisions of the Constitution of India.
The Fundamental Rights, Directive Principles of State Policy and Fundamental Duties
are sections of the Constitution that prescribe the fundamental obligations of the State
to its citizens and the duties of the citizens to the State. The Fundamental Rights are
defined as the basic human rights of all citizens. These rights, defined in Part III of the
4
Introduction to International Environmental Law by Professor Alexander Kiss, Course 1, ‘Programme
of Training for the Application of Environmental Law, UNITAR.
5
Supra
Environmental Laws and Policies 175

Constitution, apply irrespective of race, place of birth, religion, caste, creed or gender.
They are enforceable by the courts, subject to specific restrictions.
The Directive Principles of State Policy are guidelines for the framing of laws by the
government. These provisions, set out in Part IV of the Constitution, are not enforceable
by the courts, but the principles on which they are based are fundamental guidelines for
governance that the State is expected to apply in framing and passing laws.
The Fundamental Duties are defined as the moral obligations of all citizens to help
promote a spirit of patriotism and to uphold the unity of India. These duties, set out in
Part IV-A of the Constitution, concern individuals and the nation. Like the Directive
Principles, they are not legally enforceable.
All the provisions in the Constitution has been incorporated for the welfare of the citizens.
After independence, the Constitution was in the state of infancy and there were not
many provisions pertaining to the environment protection and another factor was the
non-involvement of the people in the environment protection. After the liberalisation
of Article 32 and liberal interpretation of the Constitution led to the emergence of the
new concept of advocacy known as PIL (Public Interest Litigation) under which many
spirited and social welfare lawyers contested very important cases which has been
appreciated world over.
In the Union Carbide case,6 Honorable Bhagwati.J evolved a new concept of liability and
the court did not use the concept of liability which was given in the case of Ryland vs
Fletcher. The Court evolved the concept of “Absolute Liability” and this concept is being
appreciated all over the world. After this case green bench has been set up which hears
the cases pertaining to the environment protection.
Preamble of the Constitution of the India talks about the Socialistic pattern of the
society. The Socialistic society may include decent standard of living and pollution free
environment and there are many provisions in the Constitution which talks about
environment protection like
♦ Article 51A(g) imposes obligation on State and individual to protect and improve
environment and to have compassion to the living creature.
♦ Article 47 is one of the Directive Principle of State Policy which aims to raise standard
of living and public health of people and public health of people can not be achieved
with good environment and it is the responsibility of the State to promote measures
which protects environment.
♦ Article 48 comprehensively states that the State shall protect the environment.
♦ Article 21 of the Constitution of India talks about the Right to life and Right to live
in pollution free environment and this is only possible when the environment
protection is given staple priority and steps are being taken in order to provide
Sustainable Development to the coming generations.
♦ The Right to livelihood also comes under Article 21 and it is a right of a person to
earn livelihood and if a person is displaced due to some inimical policies of the
government then such rights stands violated.
6
M.C. Mehta v. Union of India (1987) 1 ACC 157 1987 1 SCC 395 AIR 1987 SC 965
176 Law and Policies Pertaining to Environment

♦ Article 19 talks about freedom of speech and expression. In India most of the cases
relating to environment protection comes before the court only through Judicial
Activism and PIL. So, Article 19 played very vital role in taking prompt action against
violations.
Article 19 (1)(g) talks about freedom to carry on trade and business. In this context an
important judgement was passed by the Supreme Court of India. In the case of Vellore
Citizens Forum, the Court held that the Industries which were charged for causing
pollution are of vital importance for the India’s economy but it cannot be allowed to
continue at the cost of ecology. So, every industry shall prove before the court that they
are conducting their affair in an area of demarcated guidelines and in an eco-friendly
manner.
Similarly in the Kanpur Tanneries Case,7 tanneries in Kanpur were directed by the Supreme
Court to put up treatment plant so that the Ganga is not polluted and if they do not obey
the orders they will have to close the industry.
Let us now examine the constitutional provisions pertaining to environment in detail -
I. Part IV- Article 37, 39(e), 48A, 49, 51(c)8
7
M.C. Mehta v. Union of India (1987) 4 SCC AIR 463
8
PART IV DIRECTIVE PRINCIPLES OF STATE POLICY
37. Application of the principles contained in this Part.-The provisions contained in this Part shall not
be enforceable by any court, but the principles therein laid down are nevertheless fundamental in
the governance of the country and it shall be the duty of the State to apply these principles in
making laws.
39. Certain principles of policy to be followed by the State.-The State shall, in particular, direct its
policy towards securing-
a) that the citizens, men and women equally, have the right to an adequate means of livelihood;
b) that the ownership and control of the material resources of the community are so distributed
as best to subserve the common good;
c) that the operation of the economic system does not result in the concentration of wealth and
means of production to the common detriment;
d) that there is equal pay for equal work for both men and women;
e) that the health and strength of workers, men and women, and the tender age of children are
not abused and that citizens are not forced by economic necessity to enter avocations unsuited
to their age or strength;
f) that children are given opportunities and facilities to develop in a healthy manner and in
conditions of freedom and dignity and that childhood and youth are protected against exploitation
and against moral and material abandonment.
48A. Protection and improvement of environment and safeguarding of forests and wild life.- The State
shall endeavour to protect and improve the environment and to safeguard the forests and wild life
of the country.
49. Protection of monuments and places and objects of national importance.-It shall be the obligation
of the State to protect every monument or place or object of artistic or historic interest, declared
by or under law made by Parliament to be of national importance, from spoliation, disfigurement,
destruction, removal, disposal or export, as the case may be.
51. Promotion of international peace and security.-The State shall endeavour to-
a) promote international peace and security;
b) maintain just and honourable relations between nations;
c) foster respect for international law and treaty obligations in the dealings of organised peoples
with one another; and
d) encourage settlement of international disputes by arbitration.
Environmental Laws and Policies 177

 Article 37 - Duty of the State (Part lV)

Part IV of the Constitution of India contains the directive principles of State policy.
These directives are the active obligations of the State; they are policy prescriptions for
the guidance of the Government.
Article 37 of Part IV of the Constitution limits the application of the directive principles
by declaring that these principles shall not be enforceable by any Court. Therefore, if a
directive is not followed by the State, its implementation cannot be secured through
judicial proceedings. On the other hand, these principles are fundamental in the
governance of the country and it is the duty of the state to apply these principles during
the process of law-making.

 Article 48A - Directive Principles of State Policy (Part lV)

Article 48A. Protection and improvement of environment and safeguarding of forests
and wild life.
The State shall endeavour to protect and improve the environment and to safeguard the
forests and wild life of the country.
The parliament had considerable debate over the wording of the draft Article 48-A.
Several amendments were moved in both the houses of the Parliament. Seervai has
correctly pointed out Article 48-A reflects an increasing awareness of people all over the
word of the need to preserve the environment from pollution, especially in urban areas.
Smoke, industrial waste, deleterious exhaust fumes from motor cars and other combustion
engines are injurious to the health and well-being of the people and foul the atmosphere.
The preservation of forests and their renewal by afforestation has long been recognised
in India as of great importance both with reference to rainfall and to prevent erosion of
the soil by depriving it of forests which protect it. The preservation of wild life is looked
upon as necessary for the ‘preservation of ecological balance’. Article 48-A rightly
emphasis the fact that the State should try not only to protect but to improve the
environment.9
 Article 39(e), 47 and 48-A (Part lV)
Article 39(e), 47 and 48-A of the Directive Principles of State Policy have a definite
bearing of environmental problems. They, by themselves and collectively impose a duty
on the State to secure the health of the people, improve public health and protect and
improve the environment.
 Article 49 (Part lV)
Environmental pollution may damage the monuments of national importance, the protection
of which is a duty of the State under Article 49 of the Constitution. Article 49 of the
Directive Principles of State Policy provides for the obligation of the State to protect
monuments, places and objects of national importance. In the Taj case10 the Supreme

9
H.M. Seervai, Constitutional Law of India: A Critical Commentary, 2019 (Vol.2, 1993).
178 Law and Policies Pertaining to Environment

Court of India seems to have got inspiration from Article 49 while protecting the Taj
Mahal, a monument protected under the Ancient Monuments and Archaeological Sites
and Remains Act, 1958, from harmful Industrial emissions originating in and around Agra.
 Article 51(c) (Part lV)
Article 51(c) directs the State to foster respect for international law and treaty obligations
in the dealings of organised peoples with one another. Therefore, in view of the range of
international treaties law and treaty obligations in Article 51 (c), read to conjunction
with the specific treaty provision, may also serve to strengthen the hands of pro-
conservation judge.
II. Part IVA - Article 51A11
 Fundamental Duties of the Citizens (Part lV A)
The Constitution (Forty-second Amendment) Act, 1976 inserted part IV-A into the
Constitution of India. This new part prescribes certain fundamental duties for the citizens
of India. The sole Article of this part, Article 51-A, specifies ten fundamental duties.
Part lVA - Fundamental Duties
Article 51A. Fundamental duties - It shall be the duty of every citizen of India.
(g) to protect and improve the natural environment including forests, lakes, rivers and
wild life, and to have compassion for living creatures;
Then Indian Constitution has imposed a joint responsibility upon the State; and every
citizen of India to protect and improve the natural environment. In the words of Ranganath
Mishra, J.

“Preservation of environment and keeping the ecological balance unaffected is a task

which not only Government but also very citizen must undertake. It is a social obligation
10
M.C. Mehta v. Union of India, AIR 1997 SC 734.
11
PART IV A FUNDAMENTAL DUTIES
51A. Fundamental duties.-It shall be the duty of every citizen of India-
a) to abide by the Constitution and respect its ideals and institutions, the National Flag and the
National Anthem;
b) to cherish and follow the noble ideals which inspired our national struggle for freedom;
c) to uphold and protect the sovereignty, unity and integrity of India;
d) to defend the country and render national service when called upon to do so;
e) to promote harmony and the spirit of common brotherhood amongst all the people of India
transcending religious, linguistic and regional or sectional diversities; to renounce practices
derogatory to the dignity of women;
f) to value and preserve the rich heritage of our composite culture;
g) to protect and improve the natural environment including forests, lakes, rivers and wild life,
and to have compassion for living creatures;
h) to develop the scientific temper, humanism and the spirit of inquiry and reform;
i) to safeguard public property and to abjure violence;
j) to strive towards excellence in all spheres of individual and collective activity so that the
nation constantly rises to higher levels of endeavour and achievement.
Environmental Laws and Policies 179

and let it remind every citizen that it is his fundamental duty as enshrined in Article 51-
A (g) of the Constitution”12
After making reference to Article 48-A and Article 51-A (g), the High Court of Himachal
Pradesh concluded-
Thus, there is both a Constitutional pointer to the State and a Constitutional duty of the
citizens not only to protect but also to improve the environment and to preserve and
safeguard the forests, the flora and fauna, the rivers and lakes and all the other water
resources of the country. The neglect or failure to abide by the pointer or to perform the
duty is nothing short of a betrayal of the fundamental law which the State and, indeed,
every Indian high or low, is bound to uphold and maintain.13
The Courts have reminded time and again to both State as well as citizens about their
duties towards environment while deciding environmental issues by referring to Article
48- A and 51- A(g) of the Constitution.
III. Part III- Article 14, 21, 32, 19(1)(g)14
Part III of the Constitution confers Fundamental Rights. Many fundamental rights have an
implied correlation to environmental protection. Let us examine some such provisions.
Right to Wholesome Environment

12
Rural Litigation and Entitlement Kendra v. State of U.P., AIR 1987 SC 359, 364.
13
Kinkri devi v. State of Himachal Pradesh, AIR 1988 HP 4,8.
14
PART III FUNDAMENTAL RIGHTS
Right to Equality
14. Equality before law.-The State shall not deny to any person equality before the law or the equal
protection of the laws within the territory of India.
Right to Freedom
19. Protection of certain rights regarding freedom of speech, etc.-(1) All citizens shall have the right-
a) to freedom of speech and expression;
b) to assemble peaceably and without arms;
c) to form associations or unions;
d) to move freely throughout the territory of India;
e) to reside and settle in any part of the territory of India; and [(f) has been repealed]
g) to practise any profession, or to carry on any occupation, trade or business.
21. Protection of life and personal liberty.-No person shall be deprived of his life or personal liberty
except according to procedure established by law.
Right to Constitutional Remedies
32. Remedies for enforcement of rights conferred by this Part.-
1) The right to move the Supreme Court by appropriate proceedings for the enforcement of the
rights conferred by this Part is guaranteed.
2) The Supreme Court shall have power to issue directions or orders or writs, including writs in
the nature of habeas corpus, mandamus, prohibition, quo warranto and certiorari, whichever
may be appropriate, for the enforcement of any of the rights conferred by this Part.
3) Without prejudice to the powers conferred on the Supreme Court by clauses (1) and (2),
Parliament may by law empower any other court to exercise within the local limits of its
jurisdiction all or any of the powers exercisable by the Supreme Court under Clause (2).
4) The right guaranteed by this article shall not be suspended except as otherwise provided for by
this Constitution.
180 Law and Policies Pertaining to Environment

Part III of the Constitution of India contains fundamental rights. These rights were included
in the Constitution after long debates in the Constituent assembly.
Part III - Fundamental Rights
Article 21 - Protection of life and personal liberty
No person shall be deprived of his life or personal liberty except according to procedure
established by law.
Article 32. Remedies for enforcement of rights conferred by this Part
1) The right to move the Supreme Court by appropriate proceedings for the enforcement
of the rights conferred by this Part is guaranteed.
2) The Supreme Court shall have power to issue directions or orders or writs, including
writs in the nature of habeas corpus, mandamus, prohibition, quo warranto and
certiorari, whichever may be appropriate, for the enforcement of any of the rights
conferred by this Part.

It was the Maneka Gandhi case that heralded the new era of judicial thought. The court
started recognising several unarticulated liberties that were implied by Article 21 and
during this process the Supreme Court interpreted, after some hesitation the right to
life and personal liberty to include the right to wholesome environment. The conflict
between development needs and environmental protection has been the most controversial
issue before the courts. Incidentally the Dehradun Quarries case that paved the way for
right to wholesome environment has also focused on this continuing conflict. The
judgments in Dehradun quarries cases were passed under Article 32 of the Constitution
and involved closure of some of the quarries on the ground that their operation was
upsetting ecological balance of the area. The indirect approval of the right to humane
and healthy environment by the Supreme Court continued further in the Oleum gas leak
case.15

Life cannot be possible without clean drinking water therefore, right to clean water is
one of the attributes of the right to life in Article 21 of the Constitution16. The industrial
establishments in and around residential colonies are another cause of concern, more
so, when the industries have mushroomed contrary to the development plans. In V.
Lakshmipathy v. State of Karnataka17 the same issue came before the High Court of
Karnataka. The High Court held that once a development plan had earmarked the area
for residential purpose, the land was bound to be put to such use only. Thus, High Courts,
it seems, were more enthusiastic and active in accepting and declaring that ‘right to
life’ in Article 21 includes ‘right to environment’.

15
M.C. Mehta v. Union of India, AIR 1987 SC 965.
16
Attakoya Thangal v. Union of India 1990 (1) KLT 580
17
AIR 1992 Kant 57
Environmental Laws and Policies 181

Right to livelihood vis-a-vis Environment

The Supreme Court has recognised another aspect of the right to life enshrined under
Article 21 of the Constitution, viz. the right to livelihood. There is a real chance of clash
of these rights, i.e. right to environment and right to livelihood as government’s action
to close down industrial units for protection of environment may result in loss of job,
dislocation of poor workers and might disrupt badly the lifestyles of people heavily
dependent on such industries.

The right to livelihood has been recognised by the Supreme Court in the case of Olga
Tellis v. Bombay Municipal Corporation.18 The Court issued directions to the Municipal
Corporation to provide alternative sites or accommodation to the slum and pavement
dwellers near to their original sites; and to provide amenities to slum-dwellers.

In many cases the Supreme Court passed orders requiring State agencies and concerned
person to resettle and rehabilitate the workers or other persons who were being displaced
by the decision of the Court or of the Government displaced by the Decision of the Court
or of the Government to close down an industry or to relocate at a suitable place.

Right to equality
Article 14 of the Constitution guarantees to every person the right - not to be denied
equality before the law or the equal protection of the laws. The possibility of infringement
of this Article by a government decision having impact on the environment cannot be
ruled out. Article 14 strikes at arbitrariness because an action that is arbitrary must
necessarily involve a negation of equality.19

Thus, permission for contractions that is contrary to town planning regulation by the
municipal authority may be challenged. Similarly, Article 14 may be invoked to challenge
governmental sanction of projects having adverse impact on the natural environment
and where such sanctions involve arbitrary considerations.

Freedom of trade
Article 19(1) (g) of the Constitution guarantees to all citizens of India, the right to
practice any profession or to carry on any occupation or trade or business. The freedom
however, is not uncontrolled.

The aggrieved industrialist may resort to Article 19 in case his trade and business interests
are affected by the action of governmental agencies in the name of the environmental
protection. As environmental regulation grows more stringent and its enforcement becomes
more vigorous, industrial challenge to agency action is likely to increase. Courts will then
need to balance environmental interests with the fundamental right it carries on any
occupation, trade or business guaranteed in Article 19(1) (g). Various standards have

18
AIR 1986 SC 180
19
Ajay Hasia v. Khalid Mujib Shervardi , AIR 1981 SC 487,499.
182 Law and Policies Pertaining to Environment

been prescribed by the Government for the discharge of different pollutants. An industry
may challenge a very stringent standard which cannot be
complied with, despite best efforts by available technology or if it is otherwise
unreasonable.

IV Role of Panchayat and Municipalities - Article 243 B and 243 G20

The Constitution (Seventy-third Amendment) Act 1992 and the Constitution (Seventy -
fourth Amendment) Act, 1992 have given a Constitutional status to the panchayats and
the Municipalities respectively. Article 243-B provides or the establishment of intermediate
and district levels. Article 243-G authorises the legislature of State to endow the
Panchayats with such powers and authority as may be necessary to enable them to
function as institution of self-government.

The Eleventh Schedule along with other matters contains following maters which are
directly or indirectly related to environment like, agriculture, soil conservation, water
management and watershed development; fisheries; social forestry and farm forestry;
minor forest produce; drinking water; health and sanitation; and maintenance of
community assets.

The matters which are related to environment in the twelfth Schedule may be enumerated
as follows:

Urban planning including town planning regulation of land use water supply; public health,
sanitation, conservancy and solid waste management, urban forestry, protection of the
environment and promotion of ecological aspects; provision of urban amenities such as
park grounds; cremation grounds and electric crematoriums; prevention of cruelty to
animals, regulation slaughter houses and tanneries.
Thus, it is evident that the Constitution imposes the duty to protect and preserve the
environment in all the three tiers of the Government i.e. Central, state and local.

20
ARTICLE 243 B and 243 G PART IX - PANCHAYATS
243B. Constitution of Panchayats.-(1) There shall be constituted in every State, Panchayats at the
village, intermediate and district levels in accordance with the provisions of this Part.
(2) Notwithstanding anything in clause (1), Panchayats at the intermediate level may not be constituted
in a State having a population not exceeding twenty lakhs.
243G. Powers, authority and responsibilities of Panchayats.-Subject to the provisions of this
Constitution, the Legislature of a State may, by law, endow the Panchayats 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 Panchayats at the
appropriate level, subject to such conditions as may be specified therein, with respect to-
a) the preparation of plans for economic development and social justice;
b) the implementation of schemes for economic development and social justice as may be entrusted
to them including those in relation to the matters listed in the Eleventh Schedule.
Environmental Laws and Policies 183
IV. Article 32 and 22621

Writ Jurisdiction and Public Interest Litigations

One of the most innovative parts of the Constitution is that the Writ Jurisdiction is
conferred on the Supreme Court under Article 32 and on all the High Courts under Article
226. Under these provisions, the courts have the power to issue any direction or orders
or writs, including writs in the nature of habeas corpus, mandamus, prohibition, quo
warranto and certiorari, whichever is appropriate. This has paved way for one of the
most effective and dynamic mechanisms for the protection of environment, that is,
Public Interest Litigations.

11.4 India’s International Obligations Pertaining to

Environment
Entering into international treaties and agreements is one of the attributes of State
sovereignty. The principle of sovereign equality as embodied in the UN Charter22 is the
cornerstone of the international relations between the States.23 Though International
law requires a State to carry out its international obligations undertaken by it by ratifying
international treaties, but it does not govern the process of incorporating international
law into municipal law.
21
For Article 32 - See footnote 14 ARTICLE 226 - PART VI THE STATES CHAPTER V.-THE HIGH COURTS IN
THE STATES
226. Power of High Courts to issue certain writs.-(1) Notwithstanding anything in Article 32 every High
Court shall have power, throughout the territories in relation to which it exercises jurisdiction, to
issue to any person or authority, including in appropriate cases, any Government, within those territories
directions, orders or writs, including writs in the nature of habeas corpus, mandamus, prohibition,
quo warranto and certiorari, or any of them, for the enforcement of any of the rights conferred by Part
III and for any other purpose.
(2) The power conferred by clause (1) to issue directions, orders or writs to any Government, authority
or person may also be exercised by any High Court exercising jurisdiction in relation to the territories
within which the cause of action, wholly or in part, arises for the exercise of such power, notwithstanding
that the seat of such Government or authority or the residence of such person is not within those
territories.
(3) Where any party against whom an interim order, whether by way of injunction or stay or in any
other manner, is made on, or in any proceedings relating to, a petition under clause (1), without-
(a) furnishing to such party copies of such petition and all documents in support of the plea for such
interim order; and
(b) giving such party an opportunity of being heard,makes an application to the High Court for the
vacation of such order and furnishes a copy of such application to the party in whose favour such order
has been made or the counsel of such party, the High Court shall dispose of the application within a
period of two weeks from the date on which it is received or from the date on which the copy of such
application is so furnished, whichever is later, or where the High Court is closed on the last day of that
period, before the expiry of the next day afterwards on which the High Court is open; and if the
application is not so disposed of, the interim order shall, on the expiry of that period, or, as the case
may be, the expiry of the said next day, stand vacated.
(4) The power conferred on a High Court by this article shall not be in derogation of the power
conferred on the Supreme Court by clause (2) of Article 32.
22
Articles 2(1) and 2(2) of the UN Charter.
23
R. P. Anand, “Sovereignty of States in International Law”, Confrontation or Cooperation: International
Law and the Developing Countries (1987).
184 Law and Policies Pertaining to Environment

In fact, the States follow different processes of incorporating international law into
their domestic legal system, depending on their constitutional provisions in this respect.
Thus, the process of implementation of international law at national level varies in
different countries. In India, international treaties do not automatically become part of
national law. It, therefore, requires the legislation to be made by the Parliament for the
implementation of international law in India.

The Constitution of India does not lay down any express provisions to deal with the
international treaties and conventions. There is no specific article which says so. It has
been dealt with in relation to the powers of the executive for entering into such treaties
and the obligations arising thereof. The Constitution of India has dealt with the provisions
with regard to the international treaties through the Articles 73 and 253. Though the
position with regard to the international treaties has not been explicitly laid down or
dealt with in any of the articles of the Constitution they have been dealt within the
course of dealing with the power of the executive in relation to the international treaties
and the effect that they would have on the laws of the land.

In this respect, Indian judiciary has also played a very important role. Though not
empowered to make legislations, judiciary has interpreted India’s obligations under
international law into the constitutional provisions relating to implementation of
international law in pronouncing its decision in a case concerning issues of international
law. Through judicial activism the Indian judiciary has played a proactive role in
implementing India’s international obligations under International treaties, especially
in the field of human rights and environmental law.

These two Articles of the Constitution, namely, Articles 73 and 253 relate to the powers
of the Executive with relation to international treaties. The scope of the power that the
executive can exercise with regard to the international treaties has been covered under
these two articles. Even while exercising powers conferred by virtue of Article 73, the
Executive cannot infringe on the rights of the citizens and create new laws thereof. This
has been the established norm even for dealing with the situations that relate to the
provisions of the domestic law wherein the executive cannot affect the rights that are
guaranteed to the citizens of the nation under the Constitution. Further, as per some
presiding judgments of courts, no new offences can be created similarly without a
confirmatory legislation.
Article 7324 provides scope of the powers of the executive. These extend to-
24
ARTICLE 73 EXTENT OF EXECUTIVE POWER OF THE UNION
1) Subject to the provisions of this Constitution, the executive power of the Union shall extend -
a) to the matters with respect to which Parliament has power to make laws; and
b) to the exercise of such rights, authority and jurisdiction as are exercisable by the government
of India by virtue of any treaty on agreement Provided that the executive power referred to in
sub clause (a) shall not, save as expressly provided in this constitution or in any law made by
Parliament, extend in any State to matters with respect in which the Legislature of the State
has also power to make laws
2) Until otherwise provided by Parliament, a State and any officer or authority of a State may,
notwithstanding anything in this article, continue to exercise in matters with respect to which
Parliament has power to make laws for that State such executive power or functions as the State
or officer or authority thereof could exercise immediately before the commencement of this
Constitution Council of Ministers
Environmental Laws and Policies 185

a) The matters specified in the List 1, inclusive of the entry 14, with respect to
entering into and implementing treaties.
b) Such rights or obligations as are exercisable in consequence of any treaty or convention
which India has ratified.
The executive has the right to execute laws with respect to which the parliament has
the right to make laws. And it is also extended to the exercise of such rights and obligations
that arise by virtue of entering upon such treaties or because of international conventions.

With regard to Article 25325 it is pertinent to quote from the judgment of Shah, J. in the
Maganbhai Case26
“..the effect of Article 253 is that if a treaty or convention with a foreign state
deals with a subject within the competence of the state legislature, the
Parliament alone has, notwithstanding Article 246 (3), the power to make laws to
implement treaties, agreement or convention or any decision made at any
international conference..”
The Central Legislature is vested with the power to legislate laws for India. In the matter
of making laws, the Central Government, part of the Executive, cannot be the concerned
authority. The theory of separation of powers governs this aspect whereby the fields of
work of the various organs of the government are segregated. Flowing from this is the
concept that the executive can only restrict itself to the field of ratifying the treaty and
the legislature has the task cut out for the purpose of creation of laws with regard to the
international treaties and conventions.

The work of the Central Government is to execute the laws framed by the Legislature
where in the doctrine of separation of powers makes inroads into the Constitution in an
implicit manner. Consequently, it is beyond its authority to legislate new laws.

It must be noted, however, that treaties or international conventions need not always
have a legislative backing in order for them to be applicable under the established
domestic law regime. The basic manner by which treaties become a part of the domestic
law regime is by incorporation. The process by which an international convention or
treaty gets to become a part of the domestic legal system is known as incorporation.
That happens when the treaty is first signed and then ratified by the executive. A
concomitant legislative backing is not always a prerequisite.

International conventions and treaties do not become part of the domestic law by their
own force on ratification. Though it is not a prerequisite that the Legislature should

25
ARTICLE 253
253. Legislation for giving effect to international agreements Notwithstanding anything in the foregoing
provisions of this Chapter, Parliament has power to make any law for the whole or any part of the
territory of India for implementing any treaty, agreement or convention with any other country or
countries or any decision made at any international conference, association or other body
26
Maganbhai v. Union of India, AIR 1969 SC 783.
186 Law and Policies Pertaining to Environment

back these international instruments after they have been ratified by the Executive;
further, if the implementation is possible at the administrative level, there is no need
for it to have a statutory foundation.

However, in case when the convention or treaty is in deviance with the law of the land
they have to be backed with a legislation (that is, if the provisions are not in consonance
with the provisions of the domestic law). Any such convention or treaty which seeks to
alter the Constitution or any other law in force in India requires an act of the Legislature.
Till the time they are not backed with legislation, the treaties and conventions are not
generally enforceable under the courts of India.

The importance of international treaties cannot be overemphasized. They have shown

the path where there existed none to the Indian judiciary. It continues to do so even
today, inspiring the evolution of law. And this ensures that the domestic law regime
keeps pace with the latest developments in the international realm.

With respect to environmental issues, India has obligations under numerous international
treaties and agreements. As a contracting party, India must have ratified a treaty, that
is, by adopting it as national law before it came into force, or by acceding to it after it
has come into force. For a treaty to enter into force, the requisite number of countries
must ratify the treaty, which then has the force of international law.

Specific obligations under any treaty vary, depending on the treaty itself. The nature
and degree of compliance and implementation depend on a number of factors, among
them
1) the capabilities and staff of an international institution charged with coordinating
national compliance efforts, if there is one;
2) the willingness of other state parties to enforce or comply with the treaty;
3) the political agenda of the government and popular support;
4) trade and diplomatic pressures brought to bear by other countries; and
5) sometimes, judicial or NGO involvement through court cases and publicity.
Some of the international environmental obligations of India are :
1) The Antarctic Treaty (Washington, 1959) 402 UNTS 71. Entered into force 23 June
1961. India ratified with qualifications, 19 August 1983.
2) Convention on Wetlands of International Importance, Especially as Waterfowl Habitat
(Ramsar, 1971). 11 I.L.M. 963 (1972). Entered into force 21 December 1975. India
acceeded, October 1, 1981.
3) Convention Concerning the Protection of the World Cultural and Natural Heritage
(Paris, 1972). 11 I.L.M. 1358 (1972). Entered into force 17 December 1975. India
signed, 16 November 1972.
Environmental Laws and Policies 187

4) Convention on International Trade in Endangered Species of Wild Fauna and Flora

(Washington, 1973) 12 I.L.M. 1055 (1973). Entered into force 1 July 1975. India
signed, 9 July 9 1974; ratified 20 July 1976.
5) Protocol of 1978 Relating to the International Convention for the Prevention of
Pollution from Ships, 1973 (MARPOL) (London, 1978). Entered into force 2 October
1983. India ratified with qualifications, 24 September 1986.
6) Convention on the Conservation of Migratory Species of Wild Animals (Bonn, 1979)
19 I.L.M. 15 (1980). Entered into force 1 November 1983. India signed, 23 June 1979;
ratified 4 May 1982.
7) Convention on the Conservation of Antarctic Marine Living Resources (Canberra,
1980). 19 I.L.M. 841 (1980). Entered into force 7 April 1982. India ratified, 17 June
1985.
8) United Nations Convention on the Law of the Sea (Montego Bay, 1982). 21 I.L.M.
1261 (1982). Entered into force 16 November 1994. India signed, 10 December 1982.
9) Convention for the Protection of the Ozone Layer (Vienna, 1985). 26 I.L.M. 1529
(1987). Entered into force 22 September 1988. India ratified, 18 March 1991.
10) Protocol on Substances That Deplete the Ozone Layer (Montreal, 1987). 26 I.L.M.
1550 (1987). Entered into force 1 January 1989. India acceded, 19 June 1992.
11) Amendments to the Montreal Protocol on Substances That Deplete the Ozone Layer
(London, 1990). 30 I.L.M. 541 (1991). Entered into force 10 August 1992. India acceded,
19 June 1992.
12) Convention on the Control of Transboundary Movements of Hazardous Wastes and
Their Disposal (Basel, 1989). 28 I.L.M. 657 (1989). Entered into force 5 May 1992.
India signed, 5 March 1990; ratified 24 June 1992.
13) United Nations Framework Convention on Climate Change (Rio de Janeiro, 1992). 31
I.L.M. 849 (1992). Entered into force 21 March 1994. India signed, 10 June 1992;
ratified 1 November 1993.
14) Convention on Biological Diversity (Rio de Janeiro, 1992). 31 I.L.M. 818 (1992).
Entered into force 29 December 1993. India signed, 5 June 1992; ratified 18 February
1994.
15) Convention to Combat Desertification in Those Countries Experiencing Serious Drought
and/or Desertification, Particularly in Africa (Paris, 1994). 33 I.L.M 1332 (1994).
Entered into force, 26 December 1995; India signed, 14 October 1994; ratified 17
December 1996.
16) International Tropical Timber Agreement (Geneva, 1994). 33 I.L.M. 1016 (1994).
Entered into force 1 January 1997. India signed, 17 September 1996. India ratified
17 October 1996.
17) Protocol on Environmental Protection to the Antarctica Treaty (Madrid, 1991). Entered
into force 15 January 1998. excerpt Environmental Norms27 - Norms are general legal
27
Excerpts from the “Established Norms of International Environmental Law”, Global Change Instruction
Program, UNCAR.
188 Law and Policies Pertaining to Environment

principles that are widely accepted. This acceptance is evidenced in a number of

ways, such as international agreements, national legislation, domestic and
international judicial decisions, and scholarly writings.
18) Paris Agreement (Paris, 2015). Entered into force on 4 November 2016, in accordance
with article 21(1). The Paris Agreement was adopted on 12 December 2015 at the
twenty-first session of the Conference of the Parties to the United Nations Framework
Convention on Climate Change held in Paris from 30 November to 13 December
2015. India in response to ratification of the Paris Agreement has submitted its
nationally determined contribution (NDC) on October 2, 2015. India’s NDC shows
India’s intended climate actions to scale up mitigation efforts post-2020.
19) Kigali Amendment to the Montreal Protocol on Substances that Deplete the Ozone
Layer entered into force on 1 January 2019, following ratification by 65 countries.
Under the Kigali Amendment, India pledged to freeze the use of hydroflurocarbons
(HFCs) by 2028, and thereby eventually reduce it to 15% of 2025 levels of 2047.
The leading norms in the field of international environmental law are addressed below:
1) Foremost among these norms is Principle 21 of the 1972 Stockholm Declaration on
the Human Environment. Principle 21 maintains that “States have, in accordance
with the Charter of the United Nations and the principles of international law, the
sovereign right to exploit their own resources pursuant to their own environmental
policies, and the responsibility to ensure that activities within their jurisdiction or
control do not cause damage to the environment of other States or of areas beyond
the limits of national jurisdiction”.
2) Another widely shared norm is the duty of a state to notify and consult with other
states when it undertakes an operation that is likely to harm neighbouring countries’
environments, such as the construction of a power plant, which may impair air or
water quality in downwind or downstream states.
3) Over and above the duty to notify and consult, a relatively new norm has emerged
whereby states are expected to monitor and assess specific environmental conditions
domestically, and disclose these conditions in a report to an international agency or
international executive body created by an international agreement, and authorised
by the parties to the agreement to collect and publicise such information.
4) Another emerging norm is the guarantee in the domestic constitutions, laws or
executive pronouncements of several states, including India, Malaysia, Thailand,
Indonesia, Singapore and the Philippines, that all citizens have a right to a decent
and healthful environment. In the United States, this fundamental right has been
guaranteed by a handful of states but not by the federal government.
5) Most industrialised countries subscribe to the polluter pays principle. This means
polluters should internalise the costs of their pollution, control it at its source, and
pay for its effects, including remedial or clean-up costs, rather than forcing other
states or future generations to bear such costs. This principle has been recognised
by the Indian Supreme Court as a ‘universal’ rule to be applied to domestic polluters
as well. Moreover, it has been accepted as a fundamental objective of government
Environmental Laws and Policies 189

policy to abate pollution.

6) Another new norm of international environment law is the precautionary principle.
This is basically a duty to foresee and assess environmental risks, to warn potential
victims of such risks and to behave in ways that prevent or mitigate such risks. In
the context of municipal law, Justice Kuldip Singh of the Supreme Court has explained
the meaning of this principle in the Vellore Citizens’ Welfare Forum Case, which is
excerpted later in this section.

7) Environmental impact assessment is another widely accepted norm of international

environmental law. Typically, such an assessment balances economic benefits with
environmental costs. The logic of such an assessment dictates that before a project
is undertaken, its economic benefits must substantially exceed its environmental
costs. India has adopted this norm for select projects which are covered under the
Environmental Impact Assessment (EIA) regulations introduced in January, 1994.

8) Another recent norm is to invite the input of non-governmental organisations (NGOs),

especially those representing community-based grassroots environmental activists.
This NGOs participation ensures that the people who are likely to be most directly
affected by environmental accords will have a major role in monitoring and otherwise
implementing the accord. This principle is mirrored in the Indian government’s
domestic pollution control policy and the national conservation policy, and is given
statutory recognition in the EIA regulations of 1994. The Supreme Court has urged
the government to draw upon the resources of NGOs to prevent environmental
degradation.

9) In October 1982, the United Nations General Assembly adopted the World Charter
for Nature and Principles of Sustainable Development. The agreement expressly
recognised the principle of sustainable development, defined as using living resources
in a manner that ‘does not exceed their natural capacity for regeneration’ and
using ‘natural resources in a manner which ensures the preservation of the species
and ecosystems for the benefit of future generations.’ The principle of sustainable
development was also acknowledged in the 1987 report Our Common Future,
published by the United Nations World Commission on Environment and Development.
This report defined sustainable development as ‘humanity’s ability ... to ensure that
[development] meets the need of the present generation without compromising
the ability of future generations to meet their needs.’ The Supreme Court as well as
the Indian government have recognised the principle of sustainable development
as a basis for balancing ecological imperatives with developmental goals.

10) Intergenerational equity is among the newest norms of international environmental

law. It can best be understood not so much as a principle, but rather as an argument
in favour of sustainable economic development and natural resource use. If present
generations continue to consume and deplete resources at unsustainable rates,
future generations will suffer the environmental (and economic) consequences. It
is our children and grandchildren who will be left without forests (and their carbon
190 Law and Policies Pertaining to Environment

retention capacities), without vital and productive agricultural land and without
water suitable for drinking or sustaining cultivation or aquatic life. Therefore, we
must all undertake to pass on to future generations an environment as intact as the
one we inherited from the previous generation.

Proponents of intergenerational equity maintain that the present generation has a

moral obligation to manage the earth in a manner that will not jeopardise the
aesthetic and economic welfare of the generations that follow. From this moral
premise flow certain ecological commandments ‘Do not cut down trees faster than
they grow back. Do not farm land at levels, or in a manner, that reduce the land’s
regenerative capacity. Do not pollute water at levels that exceed its natural
purification capacity.’

In State of Himachal Pradesh v. Ganesh Wood Products the Supreme Court recognised
the significance of inter-generational equity and held a government department’s
approval to establish forest-based industry to be invalid because ‘it is contrary to
public interest involved in preserving forest wealth, maintenance of environment
and ecology and considerations of sustainable growth and inter-generational equity.
After all, the present generation has no right to deplete all the existing forests and
leave nothing for the next and future generations.”

11) At the 1982 United Nations Conference on the Law of the Sea (UNCLOS), developing
countries, led by India, articulated the norm that certain resources, such as the
deep seabed, are part of the common heritage of mankind and must be shared by
all nations.

12) The 1992 Rio de Janeiro Earth Summit articulated the norm of common but different
responsibilities. With regard to global environmental concerns such as global climate
change or stratospheric ozone layer depletion, all nations have a shared responsibility,
but richer nations are better able than poorer nations to take the financial and
technological measures necessary to shoulder the responsibility.

11.5 Conclusion
In the Constitution of India, it is clearly stated that it is the duty of the state to ‘protect
and improve the environment and to safeguard the forests and wildlife of the country’.
It imposes a duty on every citizen ‘to protect and improve the natural environment
including forests, lakes, rivers, and wildlife’. Reference to the environment has also
been made in the Directive Principles of State Policy as well as the Fundamental Rights.
In pursuance to the constitutional obligations to protect and improve the environment,
the Department of Environment was established in India in 1980 to ensure a healthy
environment for the country. This later became the Ministry of Environment and Forests
in 1985.

The constitutional provisions are backed by a number of laws - acts, rules, and notifications.
The EPA (Environment Protection Act), 1986 came into force soon after the Bhopal Gas
Environmental Laws and Policies 191

Tragedy and is considered an umbrella legislation as it fills many gaps in the existing
laws. Thereafter a large number of laws came into existence as the problems began
arising, for example, Handling and Management of Hazardous Waste Rules in 1989.

We shall trace a few of such environmental legislations in detail in our next unit.

11.6 References and Recommended Readings

Divan, Shyam and Rosencranz, Armin, Constitutional and Legislative Provisions,
Environmental Law and Policy in India - Cases, Materials and Statutes, Oxford University
Press, New Delhi, pp. 40-86.

Jaiswal, P.S., Constitutional Provisions and Environment Protection in India, Environmental

Law, Pioneer Publications, Delhi, pp. 36-77.

Rosencranz, Armin; Divan, Shyam and Noble, Martha L., (Ed.) Tripathi, Environmental
Law and Policy in India - Cases, Materials and Statutes, The Book Review Literary Trust,
New Delhi, pp. 50-76.

Singh, Jaspal, Constitutional Safeguards for Environment and Heritage: An Appraisal.

Sreeram Panchu, Constitutional Provisions for Environmental Protection.

Divan, Shyam and Rosencranz, Armin, Environmental Law and Policy in India - Cases,
Materials and Statutes, Oxford University Press, New Delhi.

Rosencranz, Armin; Divan, Shyam and Noble, Martha L., (Ed.) Tripathi, Environmental
Law and Policy in India - Cases, Materials and Statutes, The Book Review Literary Trust,
New Delhi.

Jaiswal, P.S., Environmental Law, Pioneer Publications, Delhi.

192 Law and Policies Pertaining to Environment

UNIT 12
MAJOR LAWS AND THE
ENVIRONMENT
Contents
12.1 Introduction 192
12.2 Major Environmental Legislations 195
12.3 References and Recommended Readings 216

12.1 Introduction
No constitution in the world deals explicitly with a matter such as environmental protection.
This is because the main purpose of any constitution is to formulate the rules of laws in
relation to the power structure, allocation, and manner of exercise. When the constitution
of India was first drafted, it did not have any specific provision safeguarding the healthy
environment. Therefore, it was, till the subsequent amendments the constitutional text
of India, without any specific provision for the protection and promotion of the
environment. However, the seeds of such provision could be seen in Article 47 of the
constitution which commands the State to improve the standard of living and public
health. To fulfil this constitutional goal, it is necessary that the State should provide
pollution free environment.

The United Nations Conference on Human Environment held in June, 1972 at Stockholm
placed the issue of the protection of biosphere on the official agenda of international
policy and law. The agenda of the conference consisted of the following:
a) Planning and management of human settlements for environmental quality.
b) Environmental aspects of natural resources management.
c) Identifications and control of pollutants and nuisances of broad international
significance.
d) Educational, Information, Social and cultural aspects of environmental issues.
e) Development and environment.
f) International organisational implications of action proposals.
The Stockholm Conference’s agendas, proclamations, principles and subsequent global,
environment protection efforts show the words realisation of the need to preserve and
Environmental Laws and Policies 193

protect the natural environment. The Conference acclaimed man’s fundamental right
to adequate conditions of life in an environment of a quality that permitted a life off
dignity and well-being.
In United Nations Conference on Human Environment, at Stockholm the then Prime Minister
of India, Mrs. Gandhi, while displaying the nation’s commitment to the protection of
environment, said: “The natural resources of the earth, including the air, water, land
flora and fauna and especially representative sample of the nature ecosystem must be
safeguard for the benefits of present and future generations through careful planning or
management, as appropriate... Nature conservation including wildlife must therefore
receive importance in planning for economic development”.
To comply with the principles of the Stockholm Declarations adopted by the International
Conference on Human Environment, the Government of India, by the Constitution 42nd
Amendment Act, 1976 made the express provision for the protection and promotion of
the environment, by the introduction of Article 48-A and 51-A(g) which form the part of
Directive Principles of State Policy and the Fundamental Duties respectively. The
amendment provided for the following:
1) Article 48 A: By the Constitution (42nd Amendment) Act, Section 10 (w.e.f. 3.1.1977).
Protection and improvement of environment and safeguarding of forests and wild
life - “The State shall endeavour to protect and improve the environment and to
safeguard the forest and wildlife of the country.”
2) Fundamental Duties - Article 51-A(g) : By Constitution (42nd Amendment) Act, 1976.
Section 11 (w.e.f. 3.1.1977) “It shall be the duty of every citizen of India to protect
and improve the natural environment including forests, lakes, rivers and wildlife and
to have compassion for living creatures.”
Thus, the Indian Constitution made a twofold provision. On the one hand, it gave the
directive to the State for the protection and improvement of environment. On the
other hand, it created a duty on part of the citizens. According to the constitution, the
citizens owe a constitutional duty to protect and improve natural environment.
The Government of India to accelerate the pace for environment protection further
amended the constitutional text by making the following changes.
1) Seventh Schedule of the Constitution:
- In the Concurrent List, 42nd Amendment Inserted.
a) Entry 17-A, providing for forests.
b) Entry 17-B, for the protection of wild animals and birds.
c) Entry 20-A, providing for population control and family planning.
2) Eleventh Schedule of the Constitution:
- This new schedule is added by the Constitution 73rd Amendment Act, 1992, which
received the assent of the President on 20.4.1993. This schedule has 8 entries
(2,3,6,7,11,12,15 and 29) providing for environmental protection and conservation.
194 Law and Policies Pertaining to Environment

3) Twelfth Schedule of the Constitution:

- The entry number 8 of this schedule added to the constitutional text by the 74th
Amendment Act,1992, which received the assent of the President on 20.4.1993 provided
for the Urban Local bodies, with the function of environment and promotion of ecological
aspects of them.
Due to the above changes the division of legislative power between the Union and the
States is spelt out in the following three of the 7th Schedule of the constitution.
List l (Union List) Entries
52. Industries.
53. Regulation and development of oil fields and mineral oil/resources.
54. Regulation of mines and mineral development.
56. Regulation and development of inter-State rivers and river valleys.
57. Fishing and fisheries beyond territorial waters.

List ll (State List) Entries:

6. Public health and sanitation.
14. Agriculture protection against past and prevention of plant diseases.
18. Land colonisation.
21. Fisheries.
23. Regulation of Mines and Mineral development subject to the provisions of the Act.
24. Industries subject to the provisions of the Act.
List lll (Common or Concurrent List) Entries:
17-A Forests.
17-B Protection and wild animals and birds.
20. Economic and social planning.
20-A Population control and family planning.
The 11th Schedule, added to the Constitution by the constitution 73rd Amendment Act,
1992, assign the functions of soil conservation, water management, social and form
forestry, drinking water, fuel and fodder, etc. to the Panchayats with a view to
environmental management.

The 12th Schedule of the Constitution added by 74th Amendment Act, 1992 commands
the Urban local bodies such as municipalities to perform the functions of protection of
environment and promotion of ecological aspects.

The constitutional changes effected in the 7th Schedule by the 42nd Amendment Act,
1976 is a milestone steps in the direction of environmental protection. Because forests
Environmental Laws and Policies 195

as a subject was originally was in the State list as entry 19, this resulted into no uniform
policy by the State so as to protect the forests. By placing the item ‘forest’ now in the
concurrent list by the entry 17-A, along with the State, Parliament has acquired a law-
making power.

Owing to the above change, in order to have a uniform policy in the forest management
the Government of India in the year 1980 set up the Ministry of Environment and Forests.
By virtue of this change Parliament also enacted, the central legislation i.e. Forest
Conservation Act, 1980, which was amended in 1988. The government also adopted the
new National Forest Policy in 1988 with a twin object. One to protect the forests and
another to consider the needs of the forest dwellers.

Similarly, the insertion of the entry 17-B in the concurrent list has empowered the
Parliament to enact a law with a view to protection of wild animals and birds. Although
we had a comprehensive legislation in the form of Wildlife Protection Act of 1972 the
42nd Amendment has considered the wildlife along with forests. India has also formulated
National Action Plan for the Protection of Wildlife. The new entry 20 A in the concurrent
list empowers the Parliament to regulate the population explosion as one of the prime
causes of the environmental pollution. By these changes, legally and constitutionally it
has become possible to make a uniform action in the matters of proper management of
the environment.

12.2 Major Environmental Legislations

Since the 1970s an extensive network of environmental legislation has grown in the
country. The MoEF and the pollution control boards (CPCB i.e. Central Pollution Control
Board and SPCBs i.e. State Pollution Control Boards) together form the regulatory and
administrative core of the sector.

A policy framework has also been developed to complement the legislative provisions.
The Policy Statement for Abatement of Pollution and the National Conservation Strategy
and Policy Statement on Environment and Development were brought out by the MoEF in
1992, to develop and promote initiatives for the protection and improvement of the
environment. The EAP (Environmental Action Programme) was formulated in 1993 with
the objective of improving environmental services and integrating environmental
considerations in to development programmes.
Other measures have also been taken by the government to protect and preserve the
environment. Several sector-specific policies have evolved, which are discussed at length
in the concerned chapters.
This unit attempts to highlight the legislative initiatives towards the protection of the
environment.
l) Water
When toxic substances enter lakes, streams, rivers, oceans, and other water bodies,
they get dissolved or lie suspended in water or get deposited on the bed. This results in
196 Law and Policies Pertaining to Environment

the pollution of water whereby the quality of the water deteriorates, affecting aquatic
ecosystems. Pollutants can also seep down and affect the groundwater deposits.
Water pollution has many sources. The most polluting of them are the city sewage and
industrial waste discharged into the rivers. The facilities to treat waste water are not
adequate in any city in India. Presently, only about 10% of the waste water generated is
treated; the rest is discharged as it is into our water bodies. Due to this, pollutants enter
groundwater, rivers, and other water bodies. Such water, which ultimately ends up in
our households, is often highly contaminated and carries disease-causing microbes.
Agricultural run-off, or the water from the fields that drains into rivers, is another major
water pollutant as it contains fertilisers and pesticides.

© Water Pollution - by Svitalsky Bros

Water quality standards especially those for drinking water are set by the Indian Council
of Medical Research. These bear close resemblance to WHO standards. The discharge of
industrial effluents is regulated by the Indian Standard Codes and recently, water quality
standards for coastal water marine outfalls have also been specified. In addition to the
general standards, certain specific standards have been developed for effluent discharges
from industries such as, iron and steel, aluminium, pulp and paper, oil refineries,
petrochemicals and thermal power plants. Legislations to control water pollution are
listed below.

a) Water (Prevention and Control of Pollution) Act, 1974

This Act represented India’s first attempts to comprehensively deal with environmental
issues. The Act prohibits the discharge of pollutants into water bodies beyond a given
standard, and lays down penalties for non-compliance. The Act was amended in 1988 to
conform closely to the provisions of the EPA, 1986. It set up the CPCB (Central Pollution
Control Board) which lays down standards for the prevention and control of water
Environmental Laws and Policies 197

pollution. At the State level, the SPCBs (State Pollution Control Board) function under
the direction of the CPCB and the state government.

© abioticoil.homestead.com

b) Water (Prevention and Control of Pollution) Cess Act, 1977

This Act provides for a levy and collection of a cess on water consumed by industries and
local authorities. It aims at augmenting the resources of the central and state boards for
prevention and control of water pollution. Following this Act, The Water (Prevention
and Control of Pollution) Cess Rules were formulated in 1978 for defining standards and
indications for the kind of and location of meters that every consumer of water is
required to install.

c) Other related legislations

♦ The Easement Act, 1882 allows private rights to use a resource that is, groundwater,
by viewing it as an attachment to the land. It also states that all surface water
belongs to the state and is a state property.
♦ The Indian Fisheries Act, 1897 establishes two sets of penal offences whereby the
government can sue any person who uses dynamite or other explosive substance in
any way (whether coastal or inland) with intent to catch or destroy any fish or
poisonous fish in order to kill.
♦ The River Boards Act, 1956 enables the states to enrol the central government in
setting up an Advisory River Board to resolve issues in inter-state cooperation.
198 Law and Policies Pertaining to Environment

♦ The Merchant Shipping Act, 1970 aims to deal with waste arising from ships along
the coastal areas within a specified radius.
♦ The Coastal Regulation Zone Notification, 1991 puts regulations on various activities,
including construction, are regulated. It gives some protection to the backwaters
and estuaries.
♦ National Water Policy, 2012 adopted in 1987 and reviewed in 2002 and 2012. The
Policy aims to better utilize water resources by proper governance and planning.
♦ Wetlands (Conservation and Management) Rules, 2017 notified in 2010 and then
revised in 2017. These rules are legally enforceable and were first ever rules notified
for eco-sensitive areas.
ll) Air
Some of the worst forms of air pollutions are found in Indian cities. The Central Pollution
Control Board (CPCB) considers air to be ‘clean’ if the levels are below 50 per cent of the
prescribed standards for pollutants. During 2007 only 2 per cent cities have low air
pollution on the basis of PM10.1 In about 80 per cent of cities (of a total of 127 cities/
towns monitored under the NAMP)2 at least one criteria pollutant exceeded the annual
average ambient air quality standards. This has serious public health implications. There
are very few cities, which can be termed clean keeping PM10 levels (respirable particulates)

1
The PM10 (particles measuring 10 micrometres or less) standard was designed to identify those particles
likely to be inhaled by humans, and PM10 has become the generally accepted measure of particulate
material in the atmosphere in many countries.
2
National Air Quality Monitoring Programme - NAMP is a nation-wide programme executed by CPCB to
determine the ambient air quality monitoring. The network consists of three hundred and forty two
(342) operating stations covering one hundred and twenty seven (127) cities/towns in twenty six (26)
states and four (4) Union Territories of the country.
Objectives of the NAMP are to determine status and trends of ambient air quality; to ascertain whether
the prescribed ambient air quality standards are violated; to Identify Non-attainment Cities; to obtain
the knowledge and understanding necessary for developing preventive and corrective measures and
to understand the natural cleansing process undergoing in the environment through pollution dilution,
dispersion, wind based movement, dry deposition, precipitation and chemical transformation of
pollutants generated. Under NAMP four air pollutants viz ., Sulphur Dioxide (SO2), Oxides of Nitrogen
as NO2, Suspended Particulate Matter (SPM) and Respirable Suspended Particulate Matter (RSPM /
PM10) have been identified for regular monitoring at all the locations. The monitoring of meteorological
parameters such as wind speed and wind direction, relative humidity (RH) and temperature were also
integrated with the monitoring of air quality.
The monitoring of pollutants is carried out for 24 hours (4-hourly sampling for gaseous pollutants and
8-hourly sampling for particulate matter) with a frequency of twice a week, to have one hundred and
four (104) observations in a year. The monitoring is being carried out with the help of CPCB; State
Pollution Control Boards; Pollution Control Committees; National Environmental Engineering Research
Institute (NEERI), Nagpur. CPCB co-ordinates with these agencies to ensure the uniformity, consistency
of air quality data and provides technical and financial support to them for operating the monitoring
stations. NAMP is being operated through various monitoring agencies. Large number of personnel
and equipment’s are involved in the sampling, chemical analyses, data reporting etc. It increases the
probability of variation and personnel biases reflecting in the data, hence it is pertinent to mention
that these data be treated as indicative rather than absolute.
Environmental Laws and Policies 199

as criteria however over the years SO2 levels have fallen sharply in many cities but the
NO2 levels are increasing in many cities.

© Cartoon published on Earth Day, 2010 in Chicago Tribune, by Dana Summers & Orlando Sentinel

Legislations to control air pollution are listed below.

a) Air (Prevention and Control of Pollution) Act, 1981
To counter the problems associated with air pollution, ambient air quality standards
were established, under the 1981 Act. The Act provides means for the control and
abatement of air pollution. The Act seeks to combat air pollution by prohibiting the use
of polluting fuels and substances, as well as by regulating appliances that give rise to air
pollution. Under the Act establishing or operating of any industrial plant in the pollution
control area requires consent from state boards. The boards are also expected to test
the air in air pollution control areas, inspect pollution control equipment, and manufacturing
processes.

National Ambient Air Quality Standards (NAAQS) for major pollutants were notified by the
CPCB in April 1994. These are deemed to be levels of air quality necessary with an
adequate margin of safety, to protect public health, vegetation and property (CPCB 1995
cited in Gupta, 1999). The NAAQS prescribe specific standards for industrial, residential,
rural and other sensitive areas. Industry-specific emission standards have also been
developed for iron and steel plants, cement plants, fertiliser plants, oil refineries and
the aluminium industry. The ambient quality standards prescribed in India are similar to
those prevailing in many developed and developing countries.

To empower the central and state pollution boards to meet grave emergencies, the Air
(Prevention and Control of Pollution) Amendment Act, 1987, was enacted. The boards
200 Law and Policies Pertaining to Environment

were authorised to take immediate measures to tackle such emergencies and recover
the expenses incurred from the offenders. The power to cancel consent for non-fulfilment
of the conditions prescribed has also been emphasized in the Air Act Amendment.

© Oxygen Tree, The Beast who Ate the Earth - Environment Cartoons of Chris Madden

b) The Air (Prevention and Control of Pollution) Rules formulated in 1982

This Act defined the procedures for conducting meetings of the boards, the powers of
the presiding officers, decision-making, the quorum; manner in which the records of the
meeting were to be set etc. They also prescribed the manner and the purpose of seeking
assistance from specialists and the fee to be paid to them.

Complementing the above Acts is the Atomic Energy Act of 1982, which was introduced
to deal with radioactive waste. In 1988, the Motor Vehicles Act, was enacted to regulate
vehicular traffic, besides ensuring proper packaging, labelling and transportation of the
hazardous wastes. Various aspects of vehicular pollution have also been notified under
the EPA of 1986. Mass emission standards were notified in 1990, which were made more
stringent in 1996. In 2000 these standards were revised yet again and for the first time
separate obligations for vehicle owners, manufacturers and enforcing agencies were
stipulated. In addition, fairly stringent Euro I and II emission norms were notified by the
Supreme Court on April 29, 1999 for the city of Delhi. The notification made it mandatory
for car manufacturers to conform to the Euro I and Euro II norms by May 1999 and April
2000, respectively, for new non-commercial vehicle sold in Delhi.
Environmental Laws and Policies 201

c) Other related legislations

♦ The Factories Act and Amendment in 1987 was the first to express concern for the
working environment of the workers. The amendment of 1987 has sharpened its
environmental focus and expanded its application to hazardous processes.
♦ The Air (Prevention and Control of Pollution) Rules, 1982 defines the procedures of
the meetings of the Boards and the powers entrusted to them.
♦ The Atomic Energy Act, 1982 deals with the radioactive waste and emissions.
♦ The Air (Prevention and Control of Pollution) Amendment Act, 1987 empowers the
central and state pollution control boards to meet with grave emergencies of air
pollution.
♦ The Motor Vehicles Act, 1988 states that all hazardous waste is to be properly
packaged, labelled, and transported. The Central Motor Vehicles (11th Amendment)
Rules, 2016 advanced Bharat Stage VI to 2020.

lll) Forests and wildlife

A forest is a terrestrial ecosystem, a community of plants and animals interacting with
one another and with the physical environment. They are natural renewable resources.
Depending on the potential of climate and land area, all countries differ in their forest
resources. In recent times, there has been a considerable reduction in the forest cover
throughout the world. Today, forests cover only nearly 30 to 40 per cent of the world’s
land.
India is the seventh largest country in the world occupying 2.5 per cent of the world
area. However, only 1.8 per cent of forest covers lies in India. Despite recent efforts to
increase forest cover through reforestation, India’s forests are in a devastated condition,
with less than 18 per cent of India under forest cover in 1997.3 Dense forests cover only
12 per cent of land.4 The policy requirement is that the forest cover should be 33 per
cent of the area of the country, and all of this should be closed forest. However, we are
far from achieving this figure.
Forests are critical for the quality of global environment. They are of great importance
to the sustainability and prosperity of human beings since they yield multiple benefits to
society. These include tangible products such as fuel wood, timber, fodder, manure and
minor forest products, intangible services such as hydrological benefits, soil conservation,
climate change mitigation and habitat for wildlife, and other intangible values such as
spiritual or aesthetic values. These benefits flow towards many different beneficiary
groups. Only some of these beneficiaries live in physical proximity of the forest. Others
live downstream in the watershed, or in the whole region or nation or even world. It is
estimated that some 1.6 billion people worldwide depend on forests for their livelihoods.
60 million indigenous people depend on forests for their subsistence.
3
Reply by Union Minister of Environment and Forests to Rajya Sabha, 24 March, 1998.
4
State of India’s Environment The Citizen’s Fifth Report, Centre for Science and Environment, 1999.
202 Law and Policies Pertaining to Environment

Forest resources also represent a survival base for as many as 200-300 million small
farmers and shifting cultivators around the world. Seasonal harvesting of forest products
is of vital importance to most shifting cultivator households especially during the hungry
period between harvests. Some 350 million people that live in or near forests depend on
them for income and subsistence. Some additional 1 billion people worldwide, constituting
about 20 per cent of the global population, depend on varying degrees on forests or agro-
forestry farming.

Forests are major stores of carbon and other greenhouse gases such as methane. They
play a crucial role in conserving the world’s biodiversity. Forests provide habitats for at
least two-thirds of the world’s species and contain at least 80 per cent of the remaining
earth’s biodiversity.

Forests also play a major role in containing soil erosion and in regulating water supplies.
They contribute to reducing sedimentation in dams and reservoirs, to clean rivers and
protect fishery resources, to maintain agricultural productivity. Tree shelterbelts slow
wind velocity and lower temperature thus contributing to moisture conservation and
agricultural productivity. Trees and forests critically contribute to food security in most
of the food- deficient countries of the world. Forests are a precious resource of economic
development and environmental stability. However, forests today are under immense
threat of deforestation. They are reducing at an alarming rate. This process of
deforestation is a serious threat to the economy, quality of life and the future of
environment in our country. Some of the major reasons for degradation and decline of
forests are:
♦ Rapid explosion of human and livestock population
♦ Over utilisation of forest resources by local communities
♦ Conversion of land to non-forestry use
♦ Expansion of agricultural cropland for farming
♦ Practice of slash and burn agriculture on invaded lands
♦ Enhanced grazing by cattle
♦ Increased demand in fuel-wood, timber, wooden crates, paper, medicines, and other
forest dependent products
♦ Impact of other commercial activity
♦ Impact of developmental activity
♦ Impact of chemicals and other hazardous substances
♦ Illegal forest activities
Illegal forest activities are one of the major contributors of deforestation. Such activities
are varied and include, inter alia, the unauthorised occupation of public and private
lands, illegal logging in protected or environmentally sensitive areas, logging of protected
species, poaching, woodland arson, illegal transport of wood and other forest products,
Environmental Laws and Policies 203

smuggling, transfer pricing and other fraudulent accounting practices, illegal forest
industrial processing such as discharging pollutants, etc. Virtually all illegal acts can be
associated with corruption. Furthermore, corrupt acts are perpetrated for private gain
and are intentional as distinguished from negligent acts, and are surreptitious in nature.

At the time of framing of the Constitution forest was a ‘State’ subject place under Entry
19, List II of the Seventh Schedule. The forests departments of individual states regulated
forests in accordance with the pre-existing Forest Act of 1927, as implemented by state
regulations.

However, the Indian Parliament, realising the national significance of the forests, made
certain changes to the Seventh Schedule. In 1976, the Forty-second Amendment Act led
to the deletion of Entry 19 from List II of the Schedule. A new entry (Entry 17-A) related
to forests was inserted in the Concurrent list or List III of Seventh Schedule. Now, Forestry
is a concurrent subject in the Indian Constitution, being under the purview of both the
central and state government. Hence, as per the Constitution, both Centre and State
may legislate on issues related to forests and protection of wildlife.

The provisions directly related to the conservation of forests were also included in the
Constitution of India by the Constitution (Forty-second Amendment) Act, 1976. The Forty-
second Amendment introduced a new Directive Principle of State Policy [Article 48-A]
under Part IV and a Fundamental Duty [51 (A) (g)] under Part IV A for the protection and
improvement of the forests.
Even prior to the British era, customary rules have regulated the use of forests in India.
Certain types of trees were regarded as sacred and never cut. Certain areas under forest
were regarded as God’s groves and not even deadwood and leaves were taken out from
these areas. Even today, some such areas in their natural condition are found in different
parts of the country, though their condition is rapidly worsening5. The history of modern
forest legislation in India is more than a century old. The first codification which came
to the statute book in relation to the administration of forest in India was the Indian
Forest Act, 1865. It empowered the government to declare any land covered with trees
or brushwood as government forest and to make rules to manage them. The act was
applicable only to the forests in control of the government and did not cover private
forests. It made no provision regarding the rights of the users.6
The Act of 1865 was replaced by a more comprehensive Indian Forest Act of 1878. Forests
were divided into reserve forests, protected forests and village forests. Several
restrictions were imposed upon the people’s rights over forest land and produce in the
protected and reserved forests. The act empowered the local government to levy duty
on timber produced in British India or brought from any place beyond the frontier of
British India, thus encouraging them to earn revenue from forests. The Act radically
changed the nature of common property and made it state property.
5
Mahdhav Gadgil and V.D. Vartak, Sacred Groves in Maharashtra, An Inventory, in S.K. Jain (ed), Glimpses
of Indian Ethnobo-tany, Oxford University Press, Bombay, 1981.
6
B.H. Baden Powell, Forest Law, Bradbury Agnaw and Co., London, 1893, p. 225.
204 Law and Policies Pertaining to Environment

The Act was amended from time to time and was ultimately repealed and replaced by
the Indian Forest Act, 1927.

© Pulitzer Prize winning cartoon ‘Deforestation’- by Mikhail Zlatkovsky, Russia

a) The Indian Forest Act, 1927

The Indian Forest Act, 1927 was enacted during pre-independence era with the object to
consolidate the law relating to forests, the transit of forest-produce and the duty leviable
on timber and other forest-produce. It also sought to consolidate and reserve the areas
having forest cover, or significant wildlife.

The Act contains 86 Sections and still remains in force. However, it has been subjected to
amendments from time to time to make it more in tune with the current situation. The
Forests Act establishes three kinds of forests, namely, Reserve forests, Protected forests
and Village forests. Reserved forests are the most restrictive category of forests. These
forests are constituted by the State Government on any forestland or wasteland which is
the property of the government or on which the government has proprietary rights.
Protected forests, constituted by the state government, are forests other than reserved
forests over which the government has proprietary rights. Village forests, on the other
hand, are those in which the state government assigns to “any village-community the
rights of government to or over any land which has been constituted a reserved forest”.
The categories are explained in detail as follows:

1) Reserved Forests - Reserved forest is dealt with in Chapter II of the Act. It is an area
or mass of land duly notified under Section 20 or under the reservation provisions
of the Forest Acts of the State Governments of the Indian Union. It is within power
of a State Government to issue a preliminary notification under Section 4 of the
Act declaring that it has been decided to constitute such land, as specified in a
Schedule with details of its location, area and boundary description, into a Reserved
Forest.
Environmental Laws and Policies 205

Such a notification also appoints an officer of the State Government, normally the
Deputy Commissioner of the concerned district, as Forest Settlement Officer. The
Forest Settlement Officer fixes a period not less than three months, to hear the
claims and objections of every person having or claiming any rights over the land
which is so notified to be reserved and conducts inquiries into the claims of rights,
and may reject or accept the same. He is empowered even to acquire land over
which right is claimed. For rights other than that of right of way, right of pasture,
right to forest produce, or right to a water course, the Forest Settlement Officer
may exclude such land in whole or in part, or come to an agreement with the owner
for surrender of his rights, or proceed to acquire such land in the manner prescribed
under the Land Acquisition Act, 1894. Once the Forest Settlement Officer settles all
the rights either by admitting them or rejecting them, as per the provisions of the
Act, and has heard appeals, if any, and settled the same, all the rights with the said
piece of land, with or without alteration or modification of boundaries, vest with
the State Government. Thereafter, the State Government issues notification under
Section 20 of the Indian Forest Act, 1927 declaring that piece of land to be a Reserved
Forest.

2) Village Forests - Village forest is dealt with in Chapter III of the Act. It is constituted
under Section 28. The Government may assign to any village community the rights
over a land which may be a part of a reserved forest for use of the community.
Usually, forested community lands are constituted into Village Grazing Reserve
(VGR). Parcels of land so notified are marked on the settlement revenue maps of
the villages.

A Village forest is different from a Forest Village. Though many a times both terms
are used interchangeably, both are different in their meaning. While village forest
is a legal category under the Indian Forest Act forest village is merely an administrative
category. Although forest village is recognised as a forest department, the revenue
benefits cannot accrue to such villages as they are not technically under the revenue
departments.

3) Protected Forests - Protected forest is dealt with in Chapter IV of the Act. It is an

area or mass of land, which is not a reserved forest, and over which the Government
has property rights, declared to be so by a State Government under the provisions
of the Section 29. It does not require the long and tedious process of settlement, as
in case of declaration of a reserved forest. However, if such a declaration infringes
upon a person’s rights, the Government may cause an inquiry into the same; but
pending such inquiries, the declaration cannot abridge or affect such rights of persons
or communities. Further, in a protected forest, the Government may issue
notifications declaring certain trees to be reserved, or suspend private rights, if
any, for a period not exceeding 30 years, or prohibit quarrying, removal of any
forest produce, breaking of land, etc.
206 Law and Policies Pertaining to Environment

There is another type of forests known as Non-government Forests. Though this category
is not expressly termed as a separate category, it is dealt with in Chapter V of the Act.
It covers the forests and land not being in control of the government. The State
government can, by notification, regulate or prohibit the breaking up or clearing of land
for cultivation, the pasture for cattle or the firing or clearing of vegetation to protect
against storms, winds, rolling stones, floods and avalanches, to preserve soil from erosion,
to maintain water supply in springs, rivers and tanks, to protect roads, bridges, railway,
lines of communication and to preserve public health.

The State Governments are also empowered under the Act to impose duty bon timber
and other forest produce as well as control transit of the same. The Act also defines a
forest offence and vests power in the State Governments to impose penalties on violation
of the provisions of the Act.

b) The Wildlife (Protection) Act, 1972 and its Amendment Act of 2006
The Wildlife (Protection) Act, 1972 (WPA) provides for protection to listed species of
flora and fauna and establishes a network of ecologically-important protected areas.
The WPA empowers the central and state governments to declare any area a wildlife
sanctuary, national park or closed area. There is a blanket ban on carrying out any
industrial activity inside these protected areas. It provides for authorities to administer
and implement the Act; regulate the hunting of wild animals; protect specified plants,
sanctuaries, national parks and closed areas; restrict trade or commerce in wild animals
or animal articles; and miscellaneous matters. The Act prohibits hunting of animals
except with permission of authorised officer when an animal has become dangerous to
human life or property or so disabled or diseased as to be beyond recovery (WWF-India,
1999). The near-total prohibition on hunting was made more effective by the Amendment
Act of 1991.

The existing legal provision for wildlife protection, in the form of the WPA, 1972, is
amended relatively frequently in order to enable it to cope with the increasing rate of
crimes. As mentioned earlier, the Act extends to animals, birds, plants and anything else
that has a role in conserving the ecology and environment of the country. It covers
animals that are listed according to their status in the wild and prohibits their trade in
any form.

The Act has been amended further in 2006 by the Wild Life Protection (Amendment) Act,
2006. Through the amendment, the scope of the Act has widened, and it has become
stronger with the incorporation of stricter penal provisions and the constitution of a
National Board for Wildlife. Under the Act, convicted offenders are liable to a maximum
sentence of three years, extendable to seven, and a fine of Rs.10,000, which is increased
to Rs. 25,000 if there is a second conviction. Bail terms have been made stringent and
the accused can be released only after the public prosecutor has been heard and even
then only if the court is convinced that the accused is blameless.
Environmental Laws and Policies 207

© Stock Photo 10179690, Green world and wildlife protection concept collage - by Sergej Khackimullin

c) The Forest Conservation Act, 1980

In 1980, the Parliament, in response to the rapid decline in the forest covers in India, and
also to fulfil the Constitutional obligation under Article 48-A, enacted a new legislation
called the Forest Conservation Act, 1980.

Deforestation causes ecological imbalance and leads to environmental deterioration.

With a view to check further deforestation, the President promulgated the Forest
(Conservation) Ordinance, 1980 on the October 25, 1980. The Ordinance made the prior
approval of the Central Government necessary for de-reservation of reserved forest and
for use of forest land for non-forest purposes. Ordinance also provided for the constitution
of an advisory Committee to advise the Central Government with regard to grant of such
approval.

The Ordinance was later on replaced with the enactment of the Forest Conservation
Act, 1980 that came into force on October 25, 1980, which is the date on which the Forest
Conservation Ordinance was promulgated. The Act too was passed with a view to check
deforestation. The basic aim of the Act was to provide for the conservation of forests
and for matters connected therewith or ancillary or incidental thereto.

Under the provisions of this Act, prior approval of the Central Government is essential
for diversion of forest lands for the non-forestry purposes. In the national interest and in
the interest of future generations, this Act, therefore, regulates the diversion of forest
lands to non-forestry purposes. The basic objective of the Act is, to regulate the
indiscriminate diversion of forest lands for non-forestry uses and to maintain a logical
balance between the developmental needs of the country and the conservation of natural
heritage. The, guidelines have been issued under the Act from time to time, to simplify
the procedures, to cut down delays and to make the Act more user friendly.
208 Law and Policies Pertaining to Environment

Prior to 1980, the rate of diversion of forest lands for non-forestry purposes was about
1.43 lakh hectare per annum. However, with the advent of the Forest (Conservation)
Act, 1980, the rate of diversion of forest lands were controlled to a certain extent.

The Act allows the diversion of forest land only for certain purposes such as to meet the
developmental needs for drinking water projects, irrigation projects, transmission lines,
railway lines, roads, power projects, defines related projects, mining etc. For such
diversions of forest lands for non-forestry purposes, compensatory afforestation is stipulated
and catchment area treatment plan, wildlife habitat improvement plan, rehabilitation
plan etc. are implemented, to mitigate the ill effects of diversion of such vast area of
green forests.

To monitor the effective implementation of the compensatory afforestation in the country,

an authority named as “Compensatory Afforestation Management and Planning Authority
(CAMPA)” has been established under the Compensatory Afforestation Fund Act, 2016.

Clearance from Central Government for de-reservation of Reserve Forests, for use of
forestland for non-forest purpose and for assignment of leases has been made mandatory
under The Forest Conservation Act, 1980. Under Section 2 of the Act, prior approval of
Central Government has to be obtained by the State Government or other authority.

The proposal has to be sent to the Central Government in the form specified in The
Forest Conservation Rules, 1982.

In case the proposal for clearances are rejected, a person aggrieved by an order granting
environmental clearance can appeal to National Green Tribunal (NGT) setup under the
National Green Tribunal Act, 2010.

d) The Scheduled Tribes and Other Traditional Forest Dwellers Act, 2006
The Scheduled Tribes and Other Traditional Forest Dwellers (Recognition of Forest Rights)
Act, 2006 was passed almost unanimously by the Lok Sabha as well as the Rajya Sabha on
December 18, 2006.

This legislation, aimed at giving ownership rights over forestland to traditional forest
dwellers. The law concerns the rights of forest dwelling communities to land and other
resources, denied to them over decades as a result of the continuance of colonial forest
laws in India.

A little over one year after it was passed, the Act was notified into force on December
31, 2007. On January 1, 2008, this was followed by the notification of the “Scheduled
Tribes and Other Traditional Forest Dwellers (Recognition of Forest Rights) Rules, 2007”
framed by the Ministry of Tribal Affairs to supplement the procedural aspects of the Act.

The Ministry of Tribal Affairs was established as an independent ministry in 1999 to deal
specifically with scheduled tribes. The criteria for designating a tribe as “scheduled”
include having ‘primitive’ traits, dwelling in geographical isolation, having a distinct
Environmental Laws and Policies 209

culture, being shy of contact with the outside world and being economically ‘backward’.
There are more than 600 officially listed scheduled tribes in the country, comprising less
than 10% of the country’s total population and with little over 2% believed to be dwelling
in forests.
The list of rights as provided under the Act includes:
♦ Right to live in the forest under the individual or common occupation for habitation
or for self-cultivation for livelihood
♦ Right to access, use or dispose of minor forest produce
♦ Rights of entitlement such as grazing and traditional seasonal resource access
♦ Rights for conversion of leases or grants issued by any local authority or any state
government on forest lands to titles
♦ Right to protect, regenerate or conserve or manage any community forest resource
which the scheduled tribes and other traditional forest dwellers have been
traditionally protecting and conserving
The Act grants four types of rights. Section 3(1) of the Act grants Title rights, that is,
ownership to land that is being farmed by tribals or forest dwellers as on December 13,
2005, subject to a maximum of 4 hectares. Ownership is only for land that is actually
being cultivated by the concerned family as on that date, meaning that no new lands are
granted. Section 3 (1) also grants Use rights over minor forest produce, including the
ownership, to grazing areas, to pastoralist routes, etc.

Relief and development rights are granted under Sections 3 (1) and 3 (2) of the Act. It
includes the right to rehabilitation in case of illegal eviction or forced displacement and
to basic amenities, subject to restrictions for forest protection. Forest management
rights are granted under Section 3 (1) and Section 5 of the Act with the view to protect
forests and wildlife.

lV) Environment
a) Environment (Protection) Act, 1986 (EPA)
This Act is an umbrella legislation designed to provide a framework for the co-ordination
of central and state authorities established under the Water (Prevention and Control)
Act, 1974 and Air (Prevention and Control) Act, 1981. Under this Act, the central government
is empowered to take measures necessary to protect and improve the quality of the
environment by setting standards for emissions and discharges; regulating the location
of industries; management of hazardous wastes, and protection of public health and
welfare.

From time to time the central government issues notifications under the EPA for
the protection of ecologically-sensitive areas or issues guidelines for matters under the
EPA.
210 Law and Policies Pertaining to Environment

Some notifications issued under this Act are :

♦ Doon Valley Notification (1989), which prohibits the setting up of an industry in
which the daily consumption of coal/fuel is more than 24 MT (million tonnes) per
day in the Doon Valley.
♦ Coastal Regulation Zone Notification (1991), which regulates activities along coastal
stretches. As per this notification, dumping ash or any other waste in the CRZ is
prohibited. The thermal power plants (only foreshore facilities for transport of raw
materials, facilities for intake of cooling water and outfall for discharge of treated
waste water/cooling water) require clearance from the MoEF.
♦ Dhanu Taluka Notification (1991), under which the district of Dhanu Taluka has been
declared an ecologically fragile region and setting up power plants in its vicinity is
prohibited.
♦ Revdanda Creek Notification (1989), which prohibits setting up industries in the belt
around the Revdanda Creek as per the rules laid down in the notification.
♦ The Environmental Impact Assessment of Development Projects Notification, (1994
and as amended in 1997). As per this notification
 All projects listed under Schedule I require environmental clearance from the
MoEF.
 Projects under the delicenced category of the New Industrial Policy also require
clearance from the MoEF.
 All developmental projects whether or not under the Schedule I, if located in
fragile regions must obtain MoEF clearance.
 Industrial projects with investments above Rs 500 million must obtain MoEF
clearance and are further required to obtain a LOI (Letter of Intent) from the
Ministry of Industry, and an NOC (No Objection Certificate) from the SPCB and
the State Forest Department if the location involves forestland. Once the NOC
is obtained, the LOI is converted into an industrial licence by the state authority.
 The notification also stipulated procedural requirements for the establishment
and operation of new power plants. As per this notification, two-stage clearance
for site- specific projects such as pithead thermal power plants and valley
projects is required. Site clearance is given in the first stage and final
environmental clearance in the second. A public hearing has been made
mandatory for projects covered by this notification. This is an important step in
providing transparency and a greater role to local communities.
♦ Ash Content Notification (1997), required the use of beneficiated coal with ash
content not exceeding 34% with effect from June 2001, (the date later was extended
to June 2002). This applies to all thermal plants located beyond one thousand
kilometres from the pithead and any thermal plant located in an urban area or,
sensitive area irrespective of the distance from the pithead except any pithead
power plant.
Environmental Laws and Policies 211

♦ Taj Trapezium Notification (1998), provided that no power plant could be set up
within the geographical limit of the Taj Trapezium assigned by the Taj Trapezium
Zone Pollution (Prevention and Control) Authority.

♦ Disposal of Fly Ash Notification (1999) the main objective of which is to conserve the
topsoil, protect the environment and prevent the dumping and disposal of fly ash
discharged from lignite-based power plants. The salient feature of this notification
is that no person within a radius of 50 km from a coal- or lignite-based power plant
shall manufacture clay bricks or tiles without mixing at least 25% of ash with soil on
a weight-to-weight basis. For the thermal power plants, the utilisation of the fly
ash would be as follows:
 Every coal- or lignite-based power plant shall make available ash for at least
ten years from the date of publication of the above notification without any
payment or any other consideration, for the purpose of manufacturing ash-
based products such as cement, concrete blocks, bricks, panels or any other
material or for construction of roads, embankments, dams, dykes or for any
other construction activity.
 Every coal or lignite based thermal power plant commissioned subject to
environmental clearance conditions stipulating the submission of an action plan
for full utilisation of fly ash shall, within a period of nine years from the
publication of this notification, phase out the dumping and disposal of fly ash on
land in accordance with the plan.

♦ Fly ash in construction activities, Responsibilities of Thermal Power Plants and

Specifications for use of ash-based products/responsibility of other agencies (2016).
This notification notified that the restriction to provide 20% of dry ESP fly ash free
of cost shall not apply to those thermal power plants which are able to utilise 100%
fly ash in the prescribed manner.
♦ Blue Flag Certification (2019). In order to conserve, protect and improve the quality
of environment and preventing, controlling and abating environmental pollution,
the ministry has identified beaches for the purpose of Blue Flag Certification. This
helps to achieve the internationally recognised highest standard for the purpose of
beach management, planning and execution of projects for infrastructure
development, cleanliness, safety and security services, these beaches have been
identified for Blue Flag Certification in different States and Union territories such
as Shivrajpur (Devbhumi Dwarka, Gujarat), Bhogave (Sindhudurg, Maharashtra),
Ghoghla (Diu, Daman and Diu), Miramar (Panjim, Goa), Kasarkod (Karwar,
Karnataka), Padubidri (Udpi, Karnataka), Kappad (Kozhikode, Kerala), Eden
(Puducherry), Mahabalipuram (Kanchipuram, Tamil Nadu), Rushikonda
(Vishakhapatnam, Andhra Pradesh), Golden (Puri, Odisha), and Radhanagar (Port
Blair, Andaman & Nicobar).
♦ Notification declaring Eco Sensitive Zone around Nangal WLS, Punjab (2019). The
Notification declares that the Eco-Sensitive Zone is spread over an area of 1.26 Sq.
212 Law and Policies Pertaining to Environment

Kms with an extent up to 100 meters around the boundary of Nangal Wildlife
Sanctuary. The Notification is important because Eco-sensitive Zone are significant
from an ecological, environmental and biodiversity point of view and prohibit
industries or class of industries and their operations and processes in the said Eco
sensitive Zone.

Rules for the Manufacture, Use, Import, Export and Storage of Hazardous Micro-organisms!
Genetically Engineered Organisms or Cell were introduced in 1989 with the view to
protect the environment, nature and health in connection with gene technology and
micro-organisms, under the Environmental Protection Act, 1986. The government in
1991, further decided to institute a national label scheme for environmentally-friendly
products called the ECOMARK. The scheme attempts to provide incentives to manufactures
and importers to reduce adverse environmental impacts, reward genuine initiatives by
companies, and improve the quality of the environment and sustainability of available
resources. Besides the above attempts, notifications pertaining to Recycled Plastics
Manufacture and Usage Rules, 1999 and Noise Pollution (Regulation& Control) Amendment
Rules, 2006 were also incorporated under the Environment (Protection) Act of 1986.

b) The Environment (Protection) Rules, 1986

These Rules lay down the procedures for setting standards of emission or discharge of
environmental pollutants. The Rules prescribe the parameters for the Central Government,
under which it can issue orders of prohibition and restrictions on the location and operation
of industries in different areas. The Rules lay down the procedure for taking samples,
serving notice, submitting samples for analysis and laboratory reports. The functions of
the laboratories are also described under the Rules along with the qualifications of the
concerned analysts.

c) The National Environment Appellate Authority Act, 1997

This Act provided for the establishment of a National Environment Appellate Authority
to hear appeals with respect to restriction of areas in which any industry operation or
process or class of industries, operations or processes could not carry out or would be
allowed to carry out subject to certain safeguards under the Environment (Protection)
Act, 1986.

In addition to these, various Acts specific to the coal sector have been enacted. The first
attempts in this direction can be traced back to the Mines Act, 1952, which promoted
health and safety standards in coal mines. Later the Coal Mines (Conservation and
Development) Act (1974) came up for conservation of coal during mining operations. For
conservation and development of oil and natural gas resources a similar legislation was
enacted in 1959.

d) The National Green Tribunal Act, 2010

The National Green Tribunal (NGT) has been established on 18.10.2010 under the National
Green Tribunal Act 2010 for effective and expeditious disposal of cases relating to
Environmental Laws and Policies 213

environmental protection and conservation of forests and other natural resources

including enforcement of any legal right relating to environment and giving relief and
compensation for damages to persons and property and for matters connected therewith
or incidental thereto. NGT is a specialized body equipped with the necessary expertise
to handle environmental disputes involving multi-disciplinary issues. NGT is not be bound
by the procedure laid down under the Code of Civil Procedure, 1908, but shall be guided
by principles of natural justice. The Tribunal’s dedicated jurisdiction in environmental
matters provides for speedy environmental justice and help reduce the burden of litigation
in the higher courts. The Tribunal is mandated to make and endeavour for disposal of
applications or appeals finally within 6 months of filing of the same.

e) Other related legislations

♦ Factories Act, 1948 and its Amendment in 1987 was a post-independence statute
that explicitly showed concern for the environment. The primary aim of the 1948
Act has been to ensure the welfare of workers not only in their working conditions
in the factories but also their employment benefits. While ensuring the safety and
health of the workers, the Act contributes to environmental protection. The Act
contains a comprehensive list of 29 categories of industries involving hazardous
processes, which are defined as a process or activity where unless special care is
taken, raw materials used therein or the intermediate or the finished products, by-
products, wastes or effluents would
- Cause material impairment to health of the persons engaged
- Result in the pollution of the general environment
♦ The Hazardous Waste laws - There are several legislation that directly or indirectly
deal with hazardous waste. The relevant legislations are the Factories Act, 1948,
the Public Liability Insurance Act, 1991, the National Environment Tribunal Act,
1995 and some notifications under the Environmental Protection Act of 1986. A brief
description of each of these is given below. Under the EPA 1986, the MoEF has
issued several notifications to tackle the problem of hazardous waste management.
These include
 Hazardous Wastes (Management and Handling) Rules, 1989, which brought out a
guide for manufacture, storage and import of hazardous chemicals and for
management of hazardous wastes.
 Hazardous Wastes (Management, Handling and Transboundary Movement) Rules
in 2008. These Rules bring issues of e-waste management into the ambit of
hazardous waste management.
 Biomedical Waste (Management and Handling) Rules, 1998, were formulated
along parallel lines, for proper disposal, segregation, transport etc. of infectious
wastes.
 The E-waste (Management & Handling) Rules were notified in May 2011, but,
became operational from May 2012. These Rules have introduced the Concept
214 Law and Policies Pertaining to Environment

of Extended Producer Responsibility, thereby, making producers responsible for

environmentally sound management of their end of life products including
collection and their channelization to registered dismantler or recycler.
 Hazardous Wastes (Management and Handling) Amendment Rules, 2000, a recent
notification issued with the view to providing guidelines for the import and
export of hazardous waste in the country.
 The Manufacture, Storage, and Import of Hazardous Rules, 1989 define the
terms used in this context, and sets up an authority to inspect, once a year, the
industrial activity connected with hazardous chemicals and isolated storage
facilities.
 The Manufacture, Use, Import, Export, and Storage of hazardous Micro-organisms!
Genetically Engineered Organisms or Cells Rules, 1989 were introduced with a
view to protect the environment, nature, and health, in connection with the
application of gene technology and microorganisms.
 The Batteries (Management and Handling) Rules, 2001 rules shall apply to every
manufacturer, importer, re-conditioner, assembler, dealer, auctioneer, consumer,
and bulk consumer involved in the manufacture, processing, sale, purchase, and
use of batteries or components so as to regulate and ensure the environmentally
safe disposal of used batteries.
 Solid Waste Management Rules, 2016 replace the Municipal Solid Wastes
(Management and Handling) Rules, 2000. The new rules have mandated the source
segregation of waste in order to channelize the waste to wealth by recovery,
reuse and recycle. Waste generators would now have to now segregate waste
into three streams- Biodegradables, Dry (Plastic, Paper, metal, Wood, etc.) and
Domestic Hazardous waste (diapers, napkins, mosquito repellents, cleaning
agents etc.) before handing it over to the collector.
 Plastic Waste Management Rules, 2016 has expanded the jurisdiction of
applicability from the municipal area to rural areas. It has increased minimum
thickness of plastic carry bags from 40 to 50 microns and has specified the
responsibilities of producers and generators, both in plastic waste management
system and to introduce collect back system of plastic waste by the producers/
brand owners, as per extended producers’ responsibility.
 E-waste (Management) Rules, 2016 rules will now include Compact Fluorescent
Lamp (CFL) and other mercury containing lamps, as well as other such equipment.
The Rules bring the producers under Extended Producer Responsibility (EPR),
along with targets. The producers have been made responsible for collection of
E-waste and for its exchange. a provision of penalty for violation of rules has
been introduced.
 Bio-Medical Waste Management Rules, 2016 expands the ambit to include
vaccination camps, blood donation camps, surgical camps or any other healthcare
activity. It specifies phase-out the use of chlorinated plastic bags, gloves and
Environmental Laws and Policies 215

blood bags within two years. Bio-Medical Waste Management Rules, 2016 Rules
have been amended to improve compliance and strengthen the implementation
of environmentally sound management of biomedical waste in India. The amended
rules stipulate that generators of bio-medical waste such as hospitals, nursing
homes, clinics, and dispensaries etc. will not use chlorinated plastic bags and
gloves beyond March 27, 2019 in medical applications to save the environment.
Blood bags have been exempted for phase-out, as per the amended BMW rules,
2018.
 Hazardous and Other Wastes (Management and Transboundary Movement) Rules,
2016 expanded the ambit by including ‘Other Waste’. The Rules the waste
management hierarchy in the sequence of priority of prevention, minimization,
reuse, recycling, recovery, co-processing; and safe disposal. All the forms under
the rules for permission, import/export, filing of annual returns, transportation,
etc. have been revised significantly, indicating the stringent approach for
management of such hazardous and other wastes with simultaneous simplification
of procedure.
♦ The Public Liability insurance Act, 1991 and Rules and Amendment, 1992 were drawn
up to provide for public liability insurance for the purpose of providing immediate
relief to the persons affected by accident while handling any hazardous substance.
The Act covers accidents involving hazardous substances and insurance coverage for
these. Where death or injury results from an accident, this Act makes the owner
liable to provide relief as is specified in the Schedule of the Act. The PLIA was
amended in 1992, and the Central Government was authorised to establish the
Environmental Relief Fund, for making relief payments.
♦ The National Environmental Tribunal Act, 1995 was created to award compensation
for damages to persons, property, and the environment arising from any activity
involving hazardous substances.
The Act provided strict liability for damages arising out of any accident occurring
while handling any hazardous substance and for the establishment of a National
Environment Tribunal for effective and expeditious disposal of cases arising from
such accident, with a view to give relief and compensation for damages to persons,
property and the environment and for the matters connected therewith or incidental
thereto.
♦ The National Environment Appellate Authority Act, 1997 provided for establishment
of National Environment Appellate Authority (NEAA) to hear appeals with respect to
restriction of areas in which any industry/operation/process or class of industries/
operations/processes could not carry out or would be allowed to carry out subject
to certain safeguards under the Environment (Protection) Act, 1986.
NEAA addressed cases in which EC is required in certain restricted areas but not
granted. It became defunct and the Act was repealed upon the enactment of the
National Green Tribunal Act, 2010
216 Law and Policies Pertaining to Environment

♦ The Environment (Siting for industrial Projects) Rules, 1999 lay down detailed
provisions relating to areas to be avoided for siting of industries, precautionary
measures to be taken for site selecting as also the aspects of environmental protection
which should have been incorporated during the implementation of the industrial
development projects.
♦ The Ozone Depleting Substances (Regulation and Control) Rules, 2000 have been
laid down for the regulation of production and consumption of ozone depleting
substances.
♦ The Noise Pollution (Regulation and Control) Rules, 2000 and its Amendment of 2002
lay down such terms and conditions as are necessary to reduce noise pollution,
permit use of loud speakers or public address systems during night hours (between
10 00 p.m. to 12 00 midnight) on or during any cultural or religious festive occasion.
The Noise Pollution (Regulation And Control) Amendment Rules 2017 have given the
power to State Governments to declare silence area / zone which is less than 100
meters around hospitals, educational institutions and courts. The term “festive
occasion” has been specifically defined in the amended rules. The omission of Note
(3) to Schedule to the Principle Rules has broadened the scope of “silence zone” and
now only State Governments can notify silence area / zone.
♦ The Biological Diversity Act, 2002 is an act to provide for the conservation of
biological diversity, sustainable use of its components, and fair and equitable sharing
of the benefits arising out of the use of biological resources and knowledge associated
with it.

12.3 References and Recommended Readings

Jaiswal, P.S., Constitutional Provisions and Environment Protection in India,
Environmental Law, Pioneer Publications, Delhi.
Rosencranz, Armin; Divan, Shyam and Noble, Martha L., (Ed.) Tripathi, Environmental
Law and Policy in India - Cases, Materials and Statutes, The Book Review Literary Trust,
New Delhi.
Singh, Jaspal, Constitutional Safeguards for Environment and Heritage: An Appraisal.
Divan, Shyam and Rosencranz, Armin, Environmental Law and Policy in India - Cases,
Materials and Statutes, Oxford University Press, New Delhi.
Rosencranz, Armin; Divan, Shyam and Noble, Martha L., (Ed.) Tripathi, Environmental
Law and Policy in India - Cases, Materials and Statutes, The Book Review Literary Trust,
New Delhi.
Diwan, Paras, Environmental Administration Law and Judicial Attitude, Deep & Deep,
1992.
Madden, Chris, The Beast That Ate The Earth, The Environment Cartoons, Inkline Press,
December 1, 2004.
Environmental Laws and Policies 217

UNIT 13
WATER AND AIR LEGISLATIONS
Contents
13.1 Introduction 217
13.2 Water Legislations: An Introduction 219
13.3 The Water (Prevention and Control of Pollution) Act, 1974 223
13.4 Air Legislations: An Introduction 229
13.5 The Air (Prevention and Control of Pollution) Act, 1981 231
13.6 Limitations of Law in Control and Prevention of Air and Water Pollution 237
13.7 Some Suggestions 241
13.8 Conclusion 242
13.9 References and Recommended Readings 243

13.1 lntroduction
The environmental problems in India are growing rapidly. The increasing economic
development and a rapidly growing population that has taken the country from 300
million people in 1947 to more than one billion people today is putting a strain on the
environment, infrastructure, and the country’s natural resources. Industrial pollution, soil
erosion, deforestation, rapid industrialisation, urbanisation, and land degradation are all
worsening problems. Overexploitation of the country’s resources be it land or water and
the industrialisation process has resulted in environmental degradation of resources.
Environmental pollution is one of the most serious problems that humanity and other life
forms are facing on our planet today. According to a study by the World Health Organisation
(WHO) conducted in the year 2007, India’s per capita carbon dioxide emissions were
roughly 3,000 pounds (1,360 kilograms) in 2007. That’s a substantially small amount compared
to China and the U.S., with 10,500 pounds (4,763 kilograms) and 42,500 pounds (19,278
kilograms) respectively in the same year1. The report also said that the European Union
and Russia also Produce more emissions than India.
India has been ranked as seventh most environmentally hazardous country in the world
by a new ranking released recently2 . Brazil was found to be the worst on environmental
1
WHO Report, 2007.
2
The statistics are based on evaluation of absolute environment impact of 179 countries, whose data
was available and has been done by researchers in Harvard, Princeton, Adelaide University and University
of Singapore on January 12, 2011.
218 Law and Policies Pertaining to Environment

indicators whereas Singapore was the best. United States was ranked second worst and
China was ranked third.

It is estimated that over the next thirty years, most of the world’s population growth will
occur in cities and towns of poor countries3 . Even while population growth rates in Asia,
for instance, are falling dramatically, the region will see an absolute increase of nearly
a billion people over the next three decades - growth concentrated mostly in urban
areas.

Rapid, unplanned and unsustainable patterns of urban development are making developing
cities focal points for many emerging environment and health hazards. As urban populations
grow, the quality of the urban environment will play an increasingly important role in
public health with respect to issues ranging from solid waste disposal, provision of safe
water and sanitation, and injury prevention, to the interface between urban poverty,
environment and health.

Unsustainable patterns of transport and urban land use are drivers, or root cause, of a
number of significant, and interrelated environment and health hazards faced by urban
dwellers in developing countries4 . These health and environment linkages cut across a
range of policy sectors and thus are often overlooked in policy making.

In India too, the post-independence era, a defined policy for preventing and abating
pollution was missing until the Fourth Five Year Plan spoke in strong terms of our obligation
to create a healthy physical environment5 . It was laid down:

‘It is the obligation of each generation to maintain the productive capacity of

land, air, water and wild life in a manner which leaves its successors some
choice in creation of a healthy environment. The physical environment is a
dynamic, complex and interconnected system in which any action in one part
affects the other. There is also the interdependence of living things and their
relationship with land, air, and water. Planning for harmonious development
recognises this unity of nature and man. Such planning is possible only on the
basis of a comprehensive appraisal of environmental issues particularly economic
and ecological. There are instances in which timely, specialised advice on
environmental aspects could have helped in project design and in adverting
subsequent adverse effects on the environment, leading to loss of invested
resources. It is necessary, therefore, to introduce the environmental aspect
into our planning and development. Along with effective conservation and
rational use of natural resources, protection and improvement of human
environment is vital for national well-being.’
3
World urbanisation prospects The 2003 revision. United Nations Department of Economic and Social
Affairs, Population Division New York.
4
The world health report 2002 - ‘Reducing risks, Promoting healthy life’, Geneva, World Health
Organisation, 2002.
5
Fourth Five Year Plan, 1969-74, Planning Commission, Government of India, Chapter 2, ‘The Long
Perspective’.
National Environmental Laws 219

The Fifth Plan also emphasized the need to safeguard the environment while pursuing
development goals. It was during this period that a need for a regime against pollution
began to be felt. Around the same time, the United Nations Conference on the Human
Environment was held at Stockholm in 1972, in which India participated. The declaration
adopted by the conference had far reaching implications. The declaration contains
some important principles including the need for all the states to device appropriate
policies, mechanisms and institutions for planning managing and controlling their
environmental resources. Shortly after the 1972 Conference, the Water (Prevention and
Control of Pollution) Act, 1974 was enacted. The act established Central and State Pollution
Control Boards for preventing and controlling water pollution in the country. The 42nd
Constitutional Amendment, in 1976, also came into being within a couple of years following
the Water Act. The Amendment inserted Article 48A under the Directive Principles of
State Policy, which required the state to protect and improve the environment. The
Amendment Act also introduced a new chapter on fundamental duties, which obligated
the citizens to protect and improve the natural environment. Ecological considerations
were provided a legal foundation during the seventies.

Apart from the provisions under the Air Act and the Water Act, there exists a clear
constitutional mandate for protection of environment-including prevention of air and
water pollution.6 By an activist interpretation of these provisions, the High Courts, in the
last few years have substantially enriched environmental jurisprudence in India. Extricating
itself from the restrictive principles of locus standi 7, the courts have used the instrument
of public interest litigation to maximum effect. Right to pollution free air and water has
been held to be a Fundamental Right under Article 21 of the Indian Constitution. Monetary
compensations for violation of Fundamental Right were also introduced.

13.2 Water Legislations: An lntroduction

A source of water is essential for habitat. The demand for water increased as agriculture
was introduced. Still, the water bodies were clean. Water was made impure by industrial
effluent, sewage from water closets and run-off from fields to which manure and chemical
fertilisers and pesticides were applied. Pollution is a general term used to refer to
damage to water quality from matter added externally. Contamination of water refers to
the presence of matter or organisms that can be harmful to health.8

The problem of pollution of rivers and streams has assumed considerable importance and
urgency in recent years as a result of growing industries and the increasing tendency of
urbanisation. It is therefore essential to ensure that the domestic and industrial effluents
are not allowed to be discharged into the watercourse without adequate treatment, as
such discharge would not only render the water unsuitable for drinking but also unsuitable

6
In this context Articles 21, 48-A, 51-A(g) of the Constitution of India are relevant.
7
Locus Standi means a place of standing; standing in a court. A right of appearance in a court of
justice, or before a legislative body, on a given question; Black’s Law Dictionary, 6th Edition, West
Publishing Company.
8
Water Pollution and Contamination, Paritosh C. Tyagi, pp. 329
220 Law and Policies Pertaining to Environment

for fish life and irrigation. Pollution of rivers and streams also causes increasing damage
to the country’s economy.

Water pollution has emerged as one of the gravest environmental threats in India. Its
biggest sources are city sewage and industrial waste that are discharged untreated into
the rivers. Despite the best efforts of the government, only about 10% of the wastewater
that is generated in the cities is treated and the rest is discharged into the rivers. It is
estimated that 75% to 80% of water pollution by volume is caused by domestic sewage.
The major industries causing water pollution include distilleries, sugar, textile,
electroplating, pesticides, pharmaceuticals, pulp & paper mills, tanneries, dyes and dye
intermediates, petro-chemicals, steel plants etc. Non-point sources such as fertiliser
and pesticide run-offs in rural areas also cause pollution. Only 60% of chemical fertilisers
are utilised in soils and the balance is leached into soil polluting the ground water.
Excess phosphate run-off leads to eutrophication in lakes and water bodies.

The entry of toxic substances into water bodies like lakes, streams and rivers leads to
deterioration in the quality of water and severely affects the aquatic ecosystems. Due to
this, even the ground water gets contaminated. All these have a devastating effect on all
living creatures that exist near the polluted water bodies.

Water pollution is a reality of human existence. When various by-products which are
released in drains, further travel to the common drains. The washing of the equipment
also adds water to this. These are the main causes of contamination of water. Activities
like agriculture and industrial production generate water pollution apart from the biological
waste. In India, every year, approximately 50,000 million litres of wastewater, both
industrial and domestic, is generated in urban areas. If the data of rural areas is also
taken into account, the overall figure will be much higher. The materials that constitute
industrial waste include highly harmful substances like salts, chemicals, grease, oils,
paints, iron, cadmium, lead, arsenic, zinc, tin, etc. In some cases, even radio-active
materials are discharged into the river bodies by some companies, who for the sake of
saving money on water treatment, ignore all the norms.

All efforts by the government to put a check on wastewater management have not
yielded desired results. This is because the treatment systems require high capital
investment for installation and also high cost is incurred on operational maintenance.
This is a sore point not only for the farmers but also for the factory owners as the high
cost of treating industrial wastewater affects their bottom-line. The cost of establishing
and running a wastewater treatment plant in a factory can be as high as 20 per cent of
the total expenditure. Hence, we see a situation where, despite the presence of
government norms, effluents continue to flow into the river bodies untreated.

On the other hand, the government of India is spending millions of rupees every year on
water pollution control. According to rough estimates, Indian government has spent nearly
20,000 crore rupees till now on various schemes, like the Ganga Action Plan and Yamuna
Action Plan, to control water pollution in rivers. But no positive results have been
achieved as yet. The government should realise that all efforts to get the river-bodies
National Environmental Laws 221

free from water pollution will fail unless the process of untreated industrial and other
wastewater getting into the water bodies is not stopped.

According to experts the government should, instead of spending money on pollution

control schemes, divert its resources to encourage wastewater treatment in agriculture
and industrial sector. The money spent on pollution control should be spent on giving
subsidies to the industries which generate wastewater and on strict monitoring of their
adherence to the norms. Research should be promoted in areas like nanotechnology to
find out ways and means to build cheaper wastewater management plants. Here also,
the approach should be to re-use the treated water for agriculture instead of letting it
go into the rivers and streams.

It should not be forgotten that only 0.3 per cent of total water available on this planet
is fit for consumption for human beings, animals & plants. The remaining 99.7 per cent
is present either as sea water or as glaciers on the mountains. Hence ignoring the issue
of water pollution any longer would mean inviting a Third World War which would be
fought for the control of water resources.

A committee was setup in 1962 to draw a draft enactment for the prevention of water
pollution. The report of the committee was circulated to the State Governments and
was also considered by the Central Council of Local Self Government in September 1963.
This council resolved that a single law regarding measures to deal with water pollution
control both at the Centre and the States levels, may be enacted by Union Parliament. A
Draft bill was accordingly prepared and put for consideration at a joint session of Central
Council of Local Self-Government and the Fifth Conference of the State Ministers of
Town and Country Planning held in 1965. In pursuance of the decision of the joint session,
the draft bill was considered subsequently in detail by a Committee of Ministers of Local
Self- Government from the sates of Bihar, Madras, Maharashtra, Rajasthan, Haryana and
West Bengal.9

Having considered the relevant local provisions existing in the country and
recommendations of the aforesaid Committees, the Government came to the conclusion
that the existing local provisions are neither adequate nor satisfactory. There is, therefore,
an urgent need for introducing a comprehensive legislation which would establish unitary
agencies in the Centre and States to provide for the prevention, abatement and control
of pollution of rivers and streams, for maintaining or restoring wholesomeness of such
watercourses and for controlling the existing new discharges of domestic and industrial
wastes.

The Water (Prevention and Control of Pollution) Act, 1974 (Water Act) was subsequently
enacted in pursuance of clause (1) of Article 252 of the Constitution to provide for the
preservation and control of water pollution. The Water Act was amended by Act 44 of
1978 and Act 53 of 1988 to remove certain practical difficulties that were faced in its
implementation. The Water Act is implemented by the Central and State Governments

9
Environment Law, Sumeet Malik, pp. 347
222 Law and Policies Pertaining to Environment

and the Central and State Pollution Control Boards. There are also certain other legislations
that are aimed at reduction and control of water pollution.

The Water (Prevention and Control of Pollution) Act of 1974 is regarded as the first legal
measure for water pollution control. It provided for the establishment of institutional
machinery at the Centre and the State comprising a Board at each place. The Act sets
out in detail the functions and powers assigned to these statutory bodies. The functions
and powers are stated separately for the Central and State Boards, but there is a lot that
is common to them.
In particular, the functions include the following
♦ Promote cleanliness of streams and wells.
♦ Plan and secure the execution, and coordinate the activities of a comprehensive
programme for prevention and control of pollution.
♦ Encourage, conduct and participate in investigations and research related to water
pollution control.
♦ Plan and organise the training of persons.
♦ Collect and disseminate information on pollution and its control.
♦ Collect and publish technical and statistical data.
♦ Lay down, modify or annul effluent quality standards.
♦ Inspect sewage, trade effluent and emissions, works and plants.
♦ Make, vary or revoke any order for controlling pollution of water and air.
♦ Advise the State Government on the location of industries.
♦ Perform the function as prescribed by the concerned government.
The powers of the Boards include the following
♦ Power to obtain information.
♦ Power of entry and inspection.
♦ Power to take samples.
♦ Power to make any search or seizure
♦ Restriction on the establishment of outlets for effluent.
♦ Power to make application to courts of law against violation.
♦ Power to give directions for closure and cessation of services.
Fouling of water is punishable under Section 277 of The Indian Penal Code, 1873. Inadequate
institutional arrangements, small fines, light punishment and lack of any measure to
objectively verify the offence are the main reasons for the low level of effectiveness of
this age old provision.
National Environmental Laws 223

The Water (Prevention and Control of Pollution) Cess Act, 1977 is patterned after the
financial enactments for creating revenue income. It was enacted to provide financial
resources by levy of a cess on the water drawn for consumption, to sustain the organisations
established under the Water Act.

13.3 The Water (Prevention and Control of Pollution) Act,

1974
The Water Act was passed under an urgent need for introducing a comprehensive legislation
which would establish agencies at the centre and State level for the prevention and
control of pollution of water. This Act comprises of eight chapters. It lays down the
basics like the definitions of relevant issues, the ambit of enforcement, the authorised
body, their functions and powers, prosecution and punishment of the defying individuals,
company or a government department. The Act is however not exhaustive and is
supplemented by other legislations.

Section 2(e) of the Act defines pollution. The definition is explanatory as it refers to the
consequences of pollution, the causative substances, and the criteria to check the pollution
taking the physical, chemical and biological properties into consideration. It is notable
that definition of water pollution is relative and depends upon the use of water. An
identified quantity of water may be polluted for human consumption but good for
agricultural purposes because the definition categorically states as water becoming harmful
or unfit for legitimate uses.

Section 2(g) defines sewage waste and Section 2(j) states ‘streams’ includes river, water
course (whether flowing or for the time being dry); inland water (whether natural or
artificial); sub-terranean waters; sea or tidal water to such extent or, as the case may be
to such point as the State Government by notification in the Official Gazette, specify in
this regard.

Section 2(k) points out trade effluent includes any liquid gaseous or solid substances
which is discharged from any premises used for carrying on any industry operation,
process, treatment or disposal system other than domestic sewage.

Sections 19 to 33A deal exclusively with the measures to be taken to prevent and control
water pollution. It provides for ‘consent’ procedure wherein a person is required to seek
consent from the Pollution Control Board before making discharge of sewage or trade
effluents into streams. The provisions have been laid down to provide the financial
resources of the instrumentalities under the Act for the performance of their functions.10

The Water Act establishes Central and State Pollution Control Boards as the enforcement
authority. The Central Board may advise the Central Government on water pollution
issues, coordinate the activities of State Pollution Control Boards, sponsor investigation
and research relating to water pollution.

10
Water Pollution Laws and their Enforcement in India, Dr. Ali Mehdi, Ch. 4, pp. 93
224 Law and Policies Pertaining to Environment

The Central Pollution Control Board in consultation with State Pollution Control Boards
has identified 24 areas in the country as critically polluted areas. These are Bhadravati
(Karnataka), Chembur (Maharashtra), Digboi (Assam), Govindgarh (Punjab), Greater Cochin
(Kerala), Kala-Amb (Himachal Pradesh), Parwanoo (Himachal Pradesh), Korba (Madhya
Pradesh), Manali (Tamil Nadu), North Arcot (Tamil Nadu), Pali (Rajasthan), Talcher (Orissa),
Vapi (Gujarat), Visakhapatnam (Andhra Pradesh), Dhanbad (Bihar), Durgapur (West Bengal),
Howrah (West Bengal), Jodhpur (Rajasthan), Nagda-Ratlam (Madhya Pradesh), Najafgarh
Drain (Delhi), Patancheru Bollaram (Andhra Pradesh), Singrauli (Uttar Pradesh), Ankleshwar
(Gujarat), Tarapur (Maharashtra).

The general principle followed is to control pollution at its source and make the polluter
do it. The application of this principle brings forth the following measures:
♦ The municipal authorities lay sewage to achieve water-borne sanitation and divert
sewer outfalls and drains from discharging into streams. The treatment of sewage
may be from minimal to full before conveying the effluent to agricultural fields for
irrigation with or without dilution.
♦ Industrial units install their own effluent treatment plants to pre-treat effluents
before discharging them into sewerage or common effluent treatment plants. The
treated industrial effluent may be used for agriculture, discharged into water bodies
or disposed off through marine outfalls. The trade effluent of small industrial units
located near residential areas is often permitted to be discharged into the municipal
sewer. The quality and quantity of industrial effluent varies widely. Accordingly, the
perception about the severity of industrial pollution also varies.
♦ A more responsive approach is seen on the part of recently established housing
estates and commercial complexes, especially if they have a clientele that insists on
environmental safeguards and compliance with law. In such cases, complete effluent
treatment systems and conservation of water are often achieved to a commendable
degree. Being decentralised such facilities also makes it possible to recycle and
reuse treated effluent for flushing of toilets, cooling of air conditioning chillers and,
of course, for horticulture and landscaping. Such recycling requires dual system of
plumbing to prevent contamination of freshwater by wastewater.

Powers of the Central Pollution Control Board and Section 21: Section 21 of the Water
Act deals with the power of a State Board or, any officer empowered in that behalf to
take samples. It deals comprehensively as to how and when samples are to be taken and
the admissibility of the report against polluters.

In Mis. Delhi Bottling Co. Pvt. Ltd. v. Central Boards for Prevention and Control of
Water Pollution 11 the Delhi high court held that the procedure laid down under Section
21 should be followed for the purposes of taking samples. The result of any analysis of a
sample of any sewage or trade effluent taken under sub-section (1) should not be admissible
in evidence unless the provisions of sub-section (3), (4) and (5) were complied with. In

11
Citation AIR 1986 Del 152.
National Environmental Laws 225

this case demand was made by the representatives of the company to the officials of the
Board to divide the sample into two parts and get the same analysed but that request
was not accepted. The Board was not justified in getting the sample analysed from only
one laboratory recognised by the Board. The High Court on the ground of non-compliance
of the requirements of Section 21 by the Board did not sustain the restraint order passed
by Board on the petitioners who were discharging effluents to the stream. Section 21 of
the Act incorporates transparency and fairness. It checks the arbitrariness on the part of
the board.

The Hon’ble High Court of Madhya Pradesh in the case of Abdul Hamid v. Gwalior Rayon
& Co. (1989) Cr.L.J. 2013) observed that the Section 21 of the Water Act and corresponding
Section 26 of the Air Act were meant for the protection of the industries and industrialists
ensuring a proper balance between the conflicting claims of the nation’s industrial progress
and the hazards to the citizens.

Power to give Consent and Section 24: Section 24 of the Water Act imposes prohibition
on the use of stream or well for disposal of polluting matter. Section 25 puts restrictions
on new outlets and new discharges. The restriction is monitored by the State Pollution
Control Board. In Rajasthan State Electricity Board v. The Cess Appellate Committee 12
the Supreme Court held that the prior consent of the State Board was necessary where
are new or altered outlet was proposed to be used for the discharge of sewage or trade
effluents into stream or well. If temperature in the instant case was brought down to the
prescribed standard and water was no more harmful or injurious to aquatic organisms,
the discharge of such water could not be, the court held, equated with discharge of
trade effluents. The court further observed that Section 25(1) had nothing to do with a
plant installed for the treatment of a trade effluent although the grant of consent to a
new outlet would be conditional to the existence of a plant for the satisfactory treatment
of effluents to safeguard water in the steam. The apex court rightly made a distinction
between the restrictions on new outlets and discharges into the stream or well and the
installation of a treatment system to treat the effluents flowing into stream or well. The
former requires consent under Section 25(1), whereas, the consent is not imperative for
the latter as it processes the trade effluent before the same joins the stream. Section
25(1) creates an absolute prohibition against bringing into use any new or altered outlet
for the discharge of sewage or trade effluent into stream without the consent of the
Board.

In Amar Singh v. Union Territory Chandigarh 13, the petitioners had been irrigating their
lands by lifting sullage water through pumps from the sewers of the respondents on
paying certain charges. Such supply of the sullage water was stopped by the administration
under a notice from the Chandigarh Pollution Control Committee as the same was resulting
in pollution and contamination. The sewage water supplied to the farmers though said
to be somewhat treated was not bacteria free and was emitting foul smell. One of the
grounds stated by the respondent was the grant of further permission to use sullage
12
AIR 1991 SC 597.
13
AIR 1993 Punjab and Haryana 100.
226 Law and Policies Pertaining to Environment

water would be in violation of Sections 25 and 26 of the Water Act. The High Court held
the act of respondent justified under Section 25 of the Water Act. The Court observed
that although it appeared to be a case of hardship for farmers who were earlier using
sewage water but keeping in view the larger interests of the health of habitants of the
area, the act of respondents in stopping the use of sewage water was justified.

The Hon’ble Supreme Court of India in the case of A.P. Pollution Control Board v. Prof.
M.V. Nayudu (2002) 2 SCC 62)pointed out that the Section 25(a) prohibits not only, the
establishment but also the taking of steps to establish an industry.

Offences by Corporate Bodies: The pollution of water due to flow of industrial waste in
the stream has drawn a serious attention of the legislatures. The highly toxic substances
have fatal effect on the fresh and wholesome quality of the water. Therefore, special
reference to companies has been made in the Water Act. The companies, public
corporation, firms and other associations of individuals may be held guilty of committing
breach of the provisions of the Act. Section 47 provides specifically for offences by
companies, which by virtue of the explanation annexed to it extends to other organisations
viz. firm, association of individuals, or the corporations. Section proceeds on the concept
of artificial personality that may be brought into existence by a statute like the Indian
Companies Act, 1956 or by any other statute creating and establishing different enterprises
like public corporations. The firm or an association of individuals is not a separate
personality from its members and has, therefore, not to be conferred an identity like a
person. But a firm or association of individuals are engaged in the process of discharging
effluent and polluting water. It is, therefore, quite reasonable to bring them for the
purpose of the Water Act at par with the companies or corporations so that law can be
in force against such establishments equally.

The context and scope of Section 47 come up before the High Court of Patna in the case
of Mohammad Ali v. State of Bihar 14 for consideration. In this case the Bihar State Water
Pollution Control Board had instituted a complaint in the court of Chief Judicial Magistrate
against a Paper and Card Board factory for offences committed under Sections 20(3), 24,
25 and 26 of the Water Act by the factory. The primal charge against the accused company
was that it was discharging vast masses of polluted water and other trade effluents from
paper factory in stream without the consent of the board and was causing great and
grave environmental problem to the society at large. The Magistrate passed orders against
the petitioner. In the present petition two issues pertaining to Section 47 were pressed.
Firstly, the complainant had not expressly incorporated within the words that the
petitioner was in charge or responsible to the company for its conduct. Secondly, neither
the complaint nor in the evidence specific allegations had been levelled that the offence
was committed either with the connivance or consent of the petitioner or was attributable
to any neglect on his part. The High Court deliberated upon the issues and concluded in
negative by majority of 2-1. It was observed that the petitioner was the Managing
Director of the company and this implied both, the control and command of the affairs
of such a company and equally a statutory liability to the company for responsible
14
Citation AIR 1986 Patna 133.
National Environmental Laws 227

conduct of its business both in ordinary parlance and by virtue of the provisions of the
Indian Companies Act, 1956. The majority observed that under the proviso to Section
47(1) the Managing Director might show that he had no knowledge of the commission of
the offence or that he acted with great diligence to prevent the same, but the burden
lied on him. It was held that Section 47(1) of the Act did not necessarily mandate the
incorporation of the words “was in charge of and was responsible to the company for the
conduct of the business of the company,” in the complaint against the Chairman, the
Managing Director or the General Manager of the company for offence in contravention
of the Act. On the second issue the Chief Justice observed that neither in a complaint nor
in a First Information Report, the literal words of a statute should be necessarily
incorporated. It was concluded that Section 47(2) did not mandate the incorporation of
the allegation that the offence was committed with the consent or connivance or was
attributable to the neglect on part of the Chairman, Director or General Manager of the
company.

A few interesting points regarding the laws for water pollution control are as follows:
♦ The water Act is to maintain the wholesomeness of water in the streams (refers to
all surface water resources) and wells (refers to all groundwater resources).
♦ An area in the State can be excluded from the application of the Water Act by a
notification by a State Government, but no area has been so excluded at any stage
so far.
♦ The cess is related to the quantity of water ‘drawn’ by municipal bodies and industries,
not to the quantity of waste water discharged by them. The pollution potential for
various kinds of use is reflected in the applicable rate of cess (in paise per kilolitre),
and an incentive to treat waste water to prescribed standards is provided by a
rebate in the cess. Dwellings and small establishments are exempt from the levy of
cess.
♦ To an industrial unit, the rebate in water cess provides little incentive to control
pollution whereas for the State Pollution Control Board, cess may constitute 50 per
cent or more of its income. The rebate in cess directly reduces the income of the
Board. Therefore, the State Board faces a conflict of interest between its duty to
control pollution and its interest in not losing income due to the rebate admissible
for control of pollution.
♦ The Environment Protection Act, 1986 contains a specific provision- that when an
offence is committed which is punishable under the Environment Protection Act and
under any other Act, it will be dealt with under that other Act. This provision has
allowed the force of all other enactments, in particular the Water Act and the Air
Act, to continue unaffected.
♦ The grant of consent to establish, consent to operate and authorisation under the
Environment Protection Act is under the purview of the State Boards within their
jurisdiction.
228 Law and Policies Pertaining to Environment

♦ The State Boards have the power to prosecute an offender but not to impose any
fine or punishment. The State Boards also have the power to direct the closure of
any activity that may cause pollution.
♦ The implementation of environmental law is focused on booking the offender.
♦ The provision for citizen suit in the Water Act as reflected in Section 49(1) of the
Act.
Water Related Legislations:
♦ The Coastal Regulation Zone Notification, 2018 - It seeks to give some protection to
the backwaters and estuaries. Coastal Regulation Zone (CRZ) Notification, 2018,
issued under the Environment (Protection) Act, 1986, was brought out by the Ministry
of Environment and Forests (MoEF); Government of India continues to regulate all
developmental activities in coastal areas today.
♦ Water Policy 2012 adopted in 1987 and reviewed in 2002 and 2012. The Policy aims
to better utilize water resources by proper governance and planning.
♦ Wetlands (Conservation and Management) Rules, 2017 are rules made to conserve
wetlands in India.
Certain measures which can be taken for a better enforcement of the provisions of the
notification have been suggested15 as follows:
♦ Instead of notification, Act on CRZ will help putting a stop to frequent amendments.
However, in the absence of an ‘Act’ a clause must be introduced in the existing CRZ,
so that any amendment to CRZ can only be done through public consultation process
with the local fishers and other coastal communities.
♦ Notification and other policy documents related to coastal regulation should be
made available in coastal state languages.
♦ Majority are of the view that the strengthening CRZ notification alone will not yield
the desired results unless it is complimented with strict enforcement and monitoring.
Current issues, violations in particular, in coastal areas are largely the outcome of
ineffective and weak implementation of CRZ Notification.

♦ River Boards Act, 1956 - Constitutionally, water is designated as a state subject,16

subject to central intervention to regulate the development of inter-state rivers and
for settlement of inter-state water disputes17 . The River Boards Act, 1956 and the
15
Report of the Public Consultation with fisher folks and community to strengthen Coastal Regulation
Zone (CRZ) Notification, 1991, Facilitated by the Centre for Environment Education (CEE) for The
Ministry of Environment and Forests (MoEF), Government of India, March 2010.
16
Constitution of India, Schedule VII, List II, Entry 17 ‘Water, that is to say, water supplies, irrigation
and canals, drainage and embankments, water storage and water power subject to the provisions of
Entry 56 of List I.’
17
Constitution of India, Schedule VII, List I, Entry 56 ‘Regulation and development of inter-state rivers
and river valleys to the extent to which such regulation and development under the control of the
Union is declared by Parliament by law to be expedient in the public interest.
National Environmental Laws 229

Inter State River Water Disputes Act, 1956 were made under these provisions. The
Centre can also intervene in the interests of protecting the environment and forests,18
and under provisions regarding national planning for development. The Inter-State
Water Disputes Act empowers the Centre to set up tribunals adjudicate disputes
over water sharing between riparians of inter-state rivers. These tribunals initially
played an important and effective role in deciding the water sharing of several
major rivers, but the Centre has since invoked the mechanism hesitantly and
reluctantly. Significantly, there is no such mechanism at the State Level.

States, however, have legislated Irrigation Acts, which in effect give their governments
the power to regulate the development and use of surface water within their territories.
A common feature is that water flowing in rivers and even local streams cannot be
impounded, diverted or extracted without government approval. These are supplemented
by government orders relating to individual systems setting out the rules regarding
permissible crop patterns, allocation and scheduling of canal water, regulations concerning
groundwater extraction in their command and penalties for violation of rules.19

13.4 Air Legislations: An lntroduction

In this day and age, there is an urgent need to not just protect but also manage our
natural resources, especially Air. The atmosphere is a complex dynamic natural gaseous
system that is essential to support life on our planet. Stratospheric ozone depletion due
to air pollution has long been recognised as a threat to human health as well as to the
Earth’s ecosystems.

Air pollution can be defined as “the presence in the external atmosphere of one or more
contaminants (pollutants) or combinations thereof, in such quantities and of such duration
as may be or may cause injury to human health, plant or animal life, or property (materials),
or which unreasonably interfere with the comfortable enjoyment of life, or property, or
the conduct of business” (Canter, 1996). The principal sources of air pollutants, particularly
in the industrialised countries, are human activities. Some of the most important air
pollutants are “secondary air pollutants” (formed in the atmosphere from primary
pollutants), e.g. ozone, aldehydes, peroxyacyl nitrates, etc. formed by photochemical
reactions from nitrogen oxides and hydrocarbons and sunlight. Until recently, public interest
in air pollution problem has continued to increase dramatically and has remained high.

In general, air pollution problems can be solved by reducing pollutant emissions. It is

unlikely that a cheap and simple solution to these problems can be found. Instead, many
small steps have to be made in order to achieve the air quality goal. Therefore, air
pollution management plays an important role in reaching the air quality goal efficiently
and effectively.

Air management includes not just conserving the air by decreasing the pollution levels

18
Constitution of India, Schedule VII, List III, Entry 17-A.
19
Legal Aspects of Water Resource Management, A. Vidyanathan and Bharath Jairaj, Ch. 1, pp. 4
230 Law and Policies Pertaining to Environment

suspended in the air, but also management of air quality, increasing awareness of the
impacts of air quality and climate change and increasing government policy towards
sustainable futures. Air management broadly includes knowledge and application of air
laws and climate change legislations, air quality management, forecasting and regulation,
industrial emission monitoring and control, environmental and human health impact
assessment, the transport, energy, waste and chemical industrial sectors and the related
national and state policies.

In factories and industrial plants, the main culprit is the process adopted to manufacture
chemicals etc. Manufacturing an item is required, but equally necessary is the necessity
to control the pollutants created during this manufacturing process as by-products.

If a system is well designed to produce, chances of pollution are remote. However, many
of the plant designers do not have the concept of pollution control in their minds while
designing plants. They normally have the objective to design to manufacture the right
product at low capital and power costs. Pollution is considered as optional.

Due to this approach, most of the industrial plants generate large quantities of pollutants
in air, mostly in form of gases.

Another reason of this is the dearth of pollution control consultants. Each and every unit
has to be doubly checked with in-house consultants to ensure that problems do not arise
later.

The main products polluting air are acid vapours, sulphur-di-oxide, chlorine, carbon
monoxide, hydrogen sulphide, ammonia, particulates, and benzene by-products. These
products are not supposed to be released in the atmosphere. Also, as these products are
expensive, prevention of these products also provides the owner some gains. Faulty
pipes, duct joint openings are the main source from which these products escape.

There are various air pollution control technologies and land use planning strategies
available to reduce air pollution. At its most basic level, land use planning is likely to
involve zoning and transport infrastructure planning. In most developed countries,
land use planning is an important part of social policy, ensuring that land is used
efficiently for the benefit of the wider economy and population as well as to protect the
environment.

There is a growing interest among various groups, including the general public, media,
international organisations and policy-makers, for an understanding of the air quality
management status and trends of different nations of the world, especially at the city-
level. While there are tools available that measure environmental performance in general,
there is limited methodology specifically for assessment of air quality management for
cities. Air quality management in cities have been traditionally evaluated using the
good versus bad list analysis-”100 Dirtiest Cities” or “Top 10 Cities with Best Air Quality”,
usually only considering air quality levels for a city. This provides a subjective and
incomplete picture as it does not consider the institutional capacity as well as the
National Environmental Laws 231

programmes and actions being implemented in the city. Another limitation is that it
does not provide guidance where cities can improve. Aside from addressing traditional
air pollutants (particulate matter, Sulphur dioxide, Nitrogen dioxide, Carbon monoxide,
Ozone, and Lead), cities are also pressed to reduce greenhouse gas (GHG) emissions
(Carbon dioxide, methane, Nitrous oxide, among others).

Need for strong air management legislations

♦ Polluted air and water are harmful to life. Air pollution creates problems for healthy
living beings, plants and also material. Water pollution also creates problems for all
living beings, agriculture, water bodies, all plants and animals living in water, land
fertility etc. Thus, one’s consciousness should always attempt to generate means to
control pollution of any type.
♦ Most of the governments all over the world have laws by which no one is suppose to
exceed creating pollution in air or water beyond prescribed limits. Law breakers
often face punishments to the tune of heavy fines and even stoppage of work.

Bhopal, India gas tragedy is the best example to explain the necessity to take adequate
measures to control pollution. Thousands of people were affected due to lack of adequate
measures. The managing director of the company Union carbide, India was arrested and
a warrant issued against the name of Union Carbide USA till he lived.

Another example is the BSES plant at Dahanu, India. While preparation of the feasibility
report, plant designers had not considered the low sulphonation plant while starting the
unit. With more than 10 years of litigation, it has surfaced now that the court had to
order stoppage of work or take necessary steps.

13.5 The Air (Prevention and Control of Pollution) Act, 1981

India’s urban centres are becoming lethal gas chambers! Most of the air quality standards
in India are much below the World Health Organisation (WHO) guidelines. The
unprecedented spurt in the number of vehicles has emerged as the most significant
contributor to poison the urban air, accounting for a large percentage of the total
population load in Delhi.20 Though the WHO lists Delhi as the fourth most polluted mega
city in the world21 , Gajroula a small town in Uttar Pradesh, tops the list of most populated
locations in India. Despite this, monitoring of air pollution quality remains poor. There
is no monitoring of deadly gases like ozone or benzene. The Central Pollution Control
Board had set a target of establishing 600 monitoring stations by the end of the Eighth
Five-Year Plan, but was still at the half way stage at the end of 1998.

Emission standards in India are so lax that in 2000 the country adopted standards that
Europe had enforced way back in 1992-93. A flawed pricing policy has led to the increased
use of diesel. Of the petroleum-based fuels in Delhi, diesel comprises about 65%-70%. The

20
The Citizen’s Fifth Report, Centre for Science and Environment.
21
In 2004.
232 Law and Policies Pertaining to Environment

very nature and extent of the air pollution hazards suggests that the solutions to abate
and improve the air quality have to be worked out and implemented without wasting
time. But when it comes to tackling pollution, it is not that the government does not
know what to do, they seem to be lacking in the will to do it. There is a growing
realisation that the problem of fighting the battle against air pollution is more political
than technical.

The Air (Prevention and Control of Pollution) Act, 1981 complements the Water Act in the
air domain. It is relevant to water pollution control to the extent that pollutants get
transferred through various routes among water, air and soil. Burning of fuels that contain
sulphur generates sulphur dioxide and combustion at high temperatures generates oxides
of nitrogen. The concentration of oxides of sulphur and nitrogen in the air is particularly
high near the coal based thermal power plants and oil refineries. When rain occurs,
these oxides are dissolved in water and turn the rainwater acidic. The run-off of such
acidic water has caused severe damage to aquatic life besides affecting the hydraulic
structures.

There are four gases that have been globally declared primary air pollutants. They are:

(1) oxides of sulphur, (2) oxides of nitrogen, (3) oxides of carbon, (4) hydrocarbons. The
suspended particulate matter (SPM), commonly known as dust and ash are also air pollutants.
Secondary air pollutants are sulphurates, sulphuric acid, sulphurate mixtures, cyton,
aldehydride, acids proxy aisle nitrite (PAN), nitric acid, nitrogen mixtures and other
mixtures. The presence in the air, beyond certain limits, of various pollutants discharged
through industrial emissions and from certain human activities connected with traffic,
heating, use of domestic fuel; refuse incinerations, etc. cause air pollution.22

In the United Nations Conference on the Human Environment held in Stockholm in June
1972, in which India also participated, decisions were taken to take appropriate steps
for the preservation of natural resources of the earth which, among other things, include
preservation of the quality of air. The Government of India also decided to implement
the decisions of the said conference insofar as they related to controlling and minimising
air pollution.

Air pollution is the presence of one or more pollutants or combinations of these pollutants
in excess quantity, being injurious to health. With the increasing industrialisation and the
tendency of the majority of industries to congregate in areas which were already heavily
industrialised, the problem of air pollution is felt in the country from time to time.
Short- term studies conducted by the National Environmental Engineering Research
Institute, Nagpur, have confirmed that the cities of Kolkata, Mumbai and Delhi are facing
the impact of air pollution on a steadily increasing level. It is felt that there should be
an integrated approach to tackling the environmental problems relating to pollution.
Therefore, the need for legislations supporting this objective was realised by the
legislature. The Indian Judiciary also encouraged proper implementation and enforcement

22
Handbook of Environmental Law, P.B. Sahasranaman, Ch. 9, pp. 117
National Environmental Laws 233

of anti-pollution laws. In the case of Indian Council for Enviro-Legal Action v. Union of
India23 the court held that it is of prime importance to avoid ecological degradation and
its adverse effects. Also, upholding the ideals set out by Article 21 of The Constitution of
India the court in Subhash Kumar v. State of Bihar24 stated that right to pollution free
water and air is essential for full enjoyment of life.

The Air (Prevention and Control of Pollution) Act was enacted in 1981 ‘to provide for the
prevention, control, and abatement of air pollution’25 and as stated by Section 1(2), it
applies to the whole of India. The Act explicitly identifies itself as a means of implementing
the Stockholm Conference, in which India participated.26 Principle 2 of the Declaration
states that ‘Air is one of the Earth’s natural resources that must be safeguarded for the
benefit of present and future generations through careful planning or management, as
appropriate’, it being apparent that the Act aims to fulfil these objectives.

Section 2(a) defines ‘air pollutant’ as 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.

To ensure that the Act is administered correctly and its objective achieved, it provides
for the creation of State and Central Bodies for the implementation of its provisions. In
any state that has a State Board for the Prevention and Control of Water Pollution,
constituted under the Water (Prevention and Control of Pollution) Act, 1974, that board
will exercise the powers and functions of the State Board for the prevention and control
of air pollution, as specified by Section 4 of the Act. Where the Act is not in force, or a
State Board has not been constituted, Section 5 of the Act is to be followed to enable the
creation of a State Board for the prevention and control of air pollution. The Air Act does
not provide a separate procedure for the constitution of the Central Board; instead, it
endows the Central Board for the Prevention and Control of Water Pollution, constituted
under the Water (Prevention and Control of Pollution) Act, 1974, with the powers and
functions of the Central Board for Air Pollution, as per Section 3 of the Act.

Section 5 outlines the constitution of the State Boards which bear a wide range of
persons of varying expertise and capacities, where members hold office for a term of
three years according to Section 7(1). In particular, the Chairman must have practical
knowledge or expertise in relation to environmental protection. There are also official
representatives of state governments and state corporations, and other representations
of various industries such as agriculture, fisheries and trade. Committees may be formed
within the Board under Section 11. The Board has a wide range of expertise, both within
itself and beyond, available to it, as Section 12 enables it to associate itself with outside
persons for a particular purpose. Section 10 provides that the State Board is to meet at
least once every three months and the committees are to meet at such time and place
as prescribed, as per Section 11.
23
(1996) 5 SCC 281
24
(1991) 1 SCC 598
25
The Air (Prevention and Control of Pollution) Act, 1981, Preamble.
26
Declaration of the United Nations Conference on the Human Environment (1972), 11 ILM 1416.
234 Law and Policies Pertaining to Environment

The powers and functions of the State Board can be found under Section 17 of the Act.
State Boards are charged with the power to create comprehensive programmes for the
prevention, abatement, and control of air pollution in their jurisdiction. With the guidance
of the Central Board, the State Boards are to set air pollutant emission standards and
organise training for personnel to be engaged in the furtherance of the objectives of the
Act. The inspection of air pollution control areas, industrial plants, manufacturing
processes, and equipment is also undertaken by the State Boards, where such steps or
directions as necessary can be made to prevent, abate, or control air pollution
respectively. Finally, State Boards have a wide power to carry out any functions that
they believe to be necessary to fulfil the purposes of the Act.

Offences under the Act - Failure to comply with Sections 21, 22 or an order under Section
31A attracts a term of imprisonment of at least one year and six months. Defences for
companies include due diligence and lack of knowledge of the offending acts and the
government may use the defence of good faith. There is also a right of appeal for persons
or bodies whom the State Board has issued orders against, the matter being subject to
review by the appellate authority. There is a scope for review of decisions made under
the Air Act. When an appellate authority has been constituted for the purpose of hearing
appeals under the Act, appeals cannot be made to a court of civil jurisdiction as provided
by Section 46. Once the appellate authority has made its decision, it does not have the
power to subsequently review it.

Issues of public nuisance are also of relevance. In P.C. Cherian v. State of Kerala27, the
defendant petitioner was engaged in the manufacture of rubber products in a building
that was not fitted with the requisite devices to prevent the carbon black from escaping
into the atmosphere. This ignited a number of complaints from residents in the surrounding
area who were finding carbon deposits on their clothes. The carbon even settled on
various religious artifacts including the holy Eucharist at the local church and posed a
general disturbance to the congregation. Proceedings were initiated under Section 133
of the Criminal Procedure Code (CrPC). The defendant was directed to cease the mixing
of carbon with rubber. The petitioners appealed, stating that carbon is not toxic to the
health of humans and their discharge of it was not public nuisance. The court stated, ‘to
hold that the deposit of carbon black in the instant cases is a public nuisance, it need
not necessarily be a hazard to the health of the people. The court’s position expressly
reflected Section 268 of the Indian Penal Code, 1860 (IPC), which defines public nuisance.

Since the deposit of carbon poses an annoyance to the community and reduces its comfort,
the petitioners were found liable for such acts. The court also employed a proportionality
approach in rejecting the petitioners’ final contention that the direction should be
removed because it would deprive factory workers of their livelihood. It was certain
that the nuisance caused to the public far outweighed the inconvenience to be caused
to employees of the factory, noting that the nuisance adversely affects the employees
themselves.

27
1981 KLT 113.
National Environmental Laws 235

Noise Pollution as a form of Air Pollution - In Section 2(a) of the Air (Prevention and
Control of Pollution) Act, noise is generally accepted as a form of air pollution. Noise is
also subject to the Noise Pollution (Regulation and Control) Rules, 2000, which were
enacted by the Central Government pursuant to the Environment (Protection) Act, 1986
and the Environment (Protection) Rules, 1986. Courts have observed that noise pollution
may cause interruption of sleep, affect communication, loss of efficiency, hearing loss
or deafness, high blood pressure, depression, irritability, fatigue, gastro intestinal
problems, distraction, mental stress and annoyance.28 The Central Motor Vehicles Rules,
1989 also contain rules aimed at reduction of noise with guidelines on horns29 , silencers
and noise standards30 (in case of agricultural tractor also) that conform to the Environment
(Protection) Rules, 1986.

Motor Vehicle Pollution as a form of Air Pollution - Motor vehicles represent one of the
biggest contributors to air pollution, ultimately contributing to global warming and visible
smog. The Central Government has taken steps to combat the emission of gaseous
substances in enacting the Motor Vehicles Rules, 1989 (MVR) which set specific standards
for various emissions exerted by motor vehicles. Rule 116 gives the police or inspector
the power to inspect vehicles under suspicion of non-compliance with emission standards
laid out by rule 115 of the MVR. They may order the person to submit their vehicle to a
check and give the certificate to the authority within seven days if the vehicle complies.
In the event that the vehicle does not comply, the owner must rectify the defects, have
the vehicle checked again and then forward the certificate. A person can be convicted
under Section 190(2) of the Motor Vehicles Act for a failure to carry ‘Pollution under
Control’ Certificate. Rule 115 (2) (i) states that On or after 1.10.2004, every motor
vehicle operating on petrol/CNG/LPG shall comply with the idling emission standards
for Carbon Monoxide (CO) and Hydro Carbon (HC).

Declaration of Air Pollution Control Area - The main way by which the state can regulate
air pollution under the act is by declaring air pollution control areas by exercising its
powers under Section 1931 . This can be done by consulting the State Board and public
notification in the government gazette. The state may give further effect to its declaration
using Section 19(3) by prohibiting the use of particular in an air pollution control area;
if the fuel is liable to cause air pollution. Similarly, the use of certain appliances or the
burning of certain materials may be prohibited in air pollution control areas, if these
activities are likely to cause air pollution, using Sections 19(4) and 19(5) respectively. In
Orissa State (Prevention and Control of Pollution) Board v. Mis. Orient Paper Milles and
Another 32, the state failed to prescribe a procedure for the declaration of an air pollution
control area as provided by Section 54(2) (k) of the Act, but exercised its powers under
Section 19 in declaring an air pollution control area. The respondent, who was accused

28
Church of God (Full Gospel) in India v. KKR Majestic Colony Welfare Association, AIR 2000 SC 2773.
29
Rule 119, Central Motor Vehicles Rules, 1989.
30
Rule 120, Central Motor Vehicles Rules, 1989.
31
Air (Prevention and Control of Pollution) Rules, 1981.
32
AIR 2003 SC 1996.
236 Law and Policies Pertaining to Environment

of violating the consent provisions for the control are, challenged the Section 19
declaration for want of procedure. The court held that ‘the State would not be divested
of its powers to notify in the Official Gazette any area declaring it to be an air pollution
control area.

Some relevant case laws:

♦ The case of Mystery Gas Spreads Panic v. The Director, A.P. Pollution Control Board,
Hyderabad and Others 33 is an excellent example of how the various bodies interact
to combat air pollution. In this case a gas with a foul odour spread throughout a
portion of the city and caused breathing problems for the residents. Local newspapers
reported the nuisance and the High Court of Andhra Pradesh instituted a suo moto
writ petition. A preliminary investigation revealed that a number of industries in
the area were overloading liquid incinerators and improperly discharging effluents.
The State Board then investigated the matter and made detailed findings specifying
the particulars of the pollution. A specialist committee consisting of the appropriate
scientific bodies was created to further assess the pollution. It was found that the
dumping of effluents into water bodies by tankers was taking place. Tankers used to
carry public drinking water were even engaging in such acts. In response the State
Government asked the Central Government to empower it to confiscate such tankers.
The court reviewed the various measures taken by the bodies and concluded that a
preventive approach was to be adopted. It directed the board to carry out surprise
checks on the industries, directed the police to confiscate offending tankers, and
even directed the officers of the motor vehicles department to carry out random
checks on tankers to ensure compliance with the provisions of the Motor Vehicles
Act, 1988.
♦ In V.S. Damodaran Nair v. State of Kerala 34, the court was instrumental in facilitating
cooperation between various bodies in the abatement of air pollution. In order to
fully understand the extent of air pollution in Cochin, the court commissioned the
expert opinion of the National Environmental Engineering Research Institute (NEERI).
In addition to the evidence from the State Board, the court concluded that industries
in the area were not complying with the conditions of consent orders. It also became
apparent that the Cochin Corporation was not taking adequate steps to protect
citizens from air pollution and it was subsequently ordered to prevent the dumping
of waste into open sewage canals and construct underground sewage pipes. Each of
the orders made by the court directly reflected the findings of NEERI, and the court
even stated that the recommendations of NEERI and the state board are binding on
all parties.35
♦ In Rukhiya Beevi v. State of Kerala 36 action was brought against a woman who had
failed to gain consent in respect of an industrial plant. She contended that she did

33
Writ Petition No. 30006 of 1998 and 20435 of 1999.
34
AIR 1996 Kerala 8.
35
Section 26.
36
2004 (2) KLT 938.
National Environmental Laws 237

not require consent as she was not causing any pollution to be emitted. The Kerala
State Pollution Control Board conducted an inspection of her plant and categorised it
as ‘the most polluting red category’ claiming this in itself necessitates consent.
Notably, the court stated that ‘emission of air pollutant in quantities, assessed of
such concentration as maybe injurious to living organisms is a condition essential
for categorising it as an industry that requires consent for installation or operation’.37
The Act imposes a very strict regime for the regulation of an industry emitting air
pollutants. An ‘industrial plant’ is widely defined by Section 2(k) as ‘any plant used
for any industrial or trade purposes and emitting any air pollutant into the
atmosphere’.

♦ M.C. Mehta v. Union of India (AIR 1997 SC 734): This was a PIL filed highlighting the
damaging effect of coke/coal consuming industries on Taj and people living around
it. In this case, the Hon’ble Supreme Court of India observed that even though
development of industry is essential, at the same time environment and ecosystem
must be protected. The Court in this case directed that 292 polluting industries must
change over to natural gas as an industrial fuel; and the industries which were not
int a position to obtain gas connections shall stop functioning and re-allocate
themselves beyond the Taj Trapezium Zone and pay compensatory benefits to their
workers as victims.

13.6 Limitations of Law in Control and Prevention of Air and

Water Pollution
Pollution can occur from natural causes or from human activities. Discussions about the
effects of air and water pollution have focused mainly on human health but attention is
being directed to environmental quality and amenity as well.

Water pollution is the introduction of chemical, biological and physical matter into
large bodies of water that degrade the quality of life that lives in it and consumes it.
Some of the main contributors to water pollution are, factories, refineries, waste
treatment facilities, mining, pesticides, herbicides and fertilisers, human sewage,
household chemicals, etc.

Air pollution is a general term that covers a broad range of contaminants in the
atmosphere. Air pollutants are found as gases or particles, and on a restricted scale they
can be trapped inside buildings as indoor air pollutants. Urban air pollution has long
been an important concern for civic administrators, but increasingly, air pollution has
become an international problem.

The most characteristic sources of air pollution have always been combustion processes.
Here the most obvious pollutant is smoke. However, the widespread use of fossil fuels
has made sulphur and nitrogen oxides pollutants of great concern. With increasing use of

37
Section 21.
238 Law and Policies Pertaining to Environment

petroleum-based fuels, a range of organic compounds have become widespread in the

atmosphere.

In urban areas, air pollution has been a matter of concern since historical times. Indeed,
there were complaints about smoke in ancient Rome. The use of coal throughout the
centuries have caused cities to be very smoky places. Along with smoke, large
concentrations of sulphur dioxide were produced. It was this mixture of smoke and
sulphur dioxide. Coal is still burned in large quantities to produce electricity or to refine
metals, but these processes are frequently undertaken outside cities. Within urban areas,
fuel use has shifted toward liquid and gaseous hydrocarbons (petroleum and natural
gas). These fuels typically have a lower concentration of sulphur, so the presence of
sulphur dioxide has declined in many urban areas. However, the widespread use of liquid
fuels in automobiles has meant increased production of carbon monoxide, nitrogen
oxides, and volatile organic compounds. Primary pollutants such as sulphur dioxide or
smoke are the direct emission products of the combustion process. Today, many of the
key pollutants in the urban atmospheres are secondary pollutants, produced by processes
initiated through photochemical reactions.

Although the automobile is the main source of air pollution in contemporary cities,
there are other equally significant sources. Stationary sources are still important and
the oil- burning furnaces that have replaced the older coal-burning ones are still
responsible for a range of gaseous emissions and fly ash. Incineration is also an important
source of complex combustion products, especially where this incineration burns a wide
range of refuse. These emissions can include chlorinated hydrocarbons such as dioxin.
When plastics, which often contain chlorine, are incinerated, hydrochloric acid is found
in the waste gas stream. Metals, especially since they are volatile at high temperatures,
can migrate to smaller, respirable particles. The accumulation of toxic metals, such as
cadmium, on fly ash gives rise to concern over harmful effects from incinerator emissions.
In specialised incinerators designed to destroy toxic compounds such as polychlorinated
biphenyls (PCBs), many questions have been raised about the completeness of this
destruction process. Even under optimum conditions when the furnace operation has
been properly maintained, great care needs to be taken to control leaks and losses
during transfer operations (fugitive emissions). The enormous range of compounds used
n modern manufacturing processes has also meant that there is an ever-widening range of
missions from both the industrial processes and the combustion of their wastes. Altho
gh the amounts of these toxic compounds are often rather small, they add to the complex
range of compounds found in the urban atmosphere. Again, it is not only the deliberate
loss of effluents through discharge from pipes and chimneys that needs attention. Fugitive
emissions of volatile substances that leak from valves and seals often warrant careful
control.
Air pollution control procedures are increasingly an important part of civic administration,
although their goals are far from easy to achieve. It is also noticeable that although
many urban concentrations of primary pollutants, for example, smoke and sulphur dioxide,
are on the decline in developed countries, this is not always true in developing countries.
National Environmental Laws 239

Here the desire for rapid industrial growth has often lowered urban air quality. Secondary
air pollutants are generally proving a more difficult problem to eliminate than primary
pollutants like smoke.
The Figure below shows country-wise death tolls attributed to urban air pollution in the
year 2012.

Figure 1: Deaths attributable to urban air pollution, 2012

Source: Global Health Risks, WHO 2016.

As we have seen earlier, there are numerous legislations in place to control and regulate
Air and Water pollution in the country. However, there are many shortcomings in these
laws. They are enumerated as follows:

♦ lNEFFECTlVENESS OF THE LAW: Despite the existence of the apparently well-defined

and established laws, past experience has shown that the implementation of the
Acts has been extremely slow. The approach of the law has been seen critically as
‘policing the society’ and eminent observers have lamented that the record of
ineffectiveness of the law is far more voluminous than of its success. Records show
that a huge number of cases on pollution matters all over the country are pending
in various courts. The ineptitude of the regulatory agencies is seen as a major
reason behind this. The Central Pollution Control Board has complained in the past
that it lacks the requisite strength in terms of staff. This is compounded by the fact
that there are not enough experts. The problems, however, go beyond this perceived
impotency of the watch-dog agencies. It has been seen that the mechanisms under
the Acts predominantly used the command and control approach, which has resulted
240 Law and Policies Pertaining to Environment

in high cost regulatory structures. The regulatory structures will grow as

industrialisation progresses and this will increase the administrative expenditure
on environmental regulation. The burden of expenses on the agencies is high as the
onus of proof in pollution matters is also on the regulatory agencies38 . Market based
instruments are seen as an alternative to approach of preventing pollution by policing
behaviour.

♦ SHORTCOMlNGS OF PENAL PROVlSlONS, TORT LAW: The command and control regime,
as envisaged under the Air and Water Acts, is dependent on criminal sanctions. The
Act prescribes stringent penalties for violation of its mandatory provisions and for
committing ‘offences’. The penalty can extend to seven years imprisonment apart
from fine in certain cases. However, the very low conviction rates coupled with the
reluctance to prosecute might question the use of criminal law as a tool for prevention
of air and water pollution. It has been argued that criminal liability may not be an
appropriate deterrent for pollution. Firstly, this is because ‘the criminal justice
administration can only work on the principle of direct causality, that is where the
agency causing the harm and the victim suffering it are directly related through the
cause and effect relationship’. Besides, ‘the causality relation must necessarily be
one of immediate causality. If the cause is remote there are numerous problems in
the application of the Penal Code’. The proposition basically argues that criminal
law can be used to deal only with clearly identified wrongs. In view of the perceived
shortcoming of criminal law in dealing with pollution, it has been suggested that the
liabilities for the polluters should be found under the Law of Torts.39 Unlike criminal
law, where the penalties are arbitrary and defined a priori, 40 under tort, assessment
of the penalty can be directly linked to the degree of harm done. This has a great
potential in regulating market-based instruments for preventing pollution. However,
even the use of tort is fraught with limitations. Firstly, tortuous liability operates on
the basis of ‘cure’ rather than ‘prevention’. Therefore, it cannot prevent damage
to the environment, its purpose being to compensate for injury. It is also argued
that it creates an uncertain level of liabilities. There are evidential difficulties in
establishing ‘unreasonable behaviour’, which is the foundation for an action based
on torts.41 On the other hand, criminal liabilities tend to be certain with defined
penal provisions on criminal grounds.

♦ APPLlCATlON OF PRlNClPLES, A CHALLENGE: A major problem in tackling pollution is

1) Establishing the causality between the polluter and those effected by pollution,
and
2) Evaluating the degree of harm caused by the various pollutants.
In the absence of reliable scientific data and evidence, the polluters assert that
they are not bound to act until there is a clear scientific proof of actual or threatened
38
Bowender B, ‘Redefining Prespectives’, The Hindu Survey of Environment, 1995.
39
Black’s Law Dictionary, 6th Edition, West Publishing Company, 1990.
40
Means From the antecedent to the consequence, Wharton’s Law Lexicon, Fifteenth Edition, 2010.
41
Wolf S & White A, Environmental Law, Cavendish Publishing Ltd, 1995.
National Environmental Laws 241

harm. This directly comes in the way of the ‘precautionary principle’ which requires
that ‘environmental measures must anticipate, prevent and attack the causes of
environmental degradation. Where there are threats of serious or irreversible
damage, lack of full scientific certainty should not be used as reason for postponing
measures to prevent environmental degradation.42 As opposed to the failure of the
precautionary principle to become a widely accepted norm, especially amongst the
decision makers, the principle that the polluter has to pay (The polluter pays principle)
for the pollution caused, has gained acceptability both under the national and
international legal regime. The important difference between the two principles is
that while one has a pro-active approach, the other is reactive. Common wisdom
suggests that prevention is better than cure. The urge for prevention will come only
when the problem is fully appreciated. Modern monitoring and sampling techniques
should be utilised optimally to calculate amounts of air pollution with reasonable
accuracy. This is the reason why various international conventions emphasize the
need for continuous scientific research and development for appreciation of
environmental problems. Until this is done, a precautionary approach - as opposed
to a curative method would not gain widespread acceptability.

♦ MONITORING PROBLEMS: Reducing pollution is a complex problem as it entails taking

harsh economic and non-populist decisions.43 Besides, the policy makers have to
base their judgments on all available evidence of relative risk from different emissions.
But in the Indian context, such quantitative comparisons are elusive, simply because
we do not monitor our air for several hazardous emissions.44

13.7 Some Suggestions

Here are a few ways by which we can overcome these shortcomings in legislations and
help curb pollution and its related health effects -

♦ EDUCATlON AND AWARENESS: The classification of sources into two types as point
and non-point pollution sources is useful for understanding the legal regime on
prevention of water pollution particularly. The legal mechanism for prevention of
pollution from point sources exists under the Pollution Control Acts and primarily
under the Water Act, 1974. The Act constitutes Central And State Pollution Control
Boards to check and monitor the point pollution sources. However, the ‘conventional
end-of-pipe control technologies’ to curb pollution is not useful for control of non-
point pollution sources. It has been suggested that control of such sources of pollution
by administrative measures is not feasible and only a sustained campaign for education
of the people in this regard will help.
♦ REDUCTlON lN EXPLOlTATlON: Sustainability of water resources has both ecological
and social dimensions. This is why, for instance, exploitation of ground water resources
42
This principle has been accepted by the Supreme Court of India as part of the Indian Legal System in a
number of cases.
43
An example would be the decision to phase out old cars.
44
‘Fuel Feud’, Outlook, 1st February, 1999.
242 Law and Policies Pertaining to Environment

should be regulated as to not exceed the recharging possibilities and also to ensure
social equity. There are economic imperatives too. All these aspects are critical
factors in determining water allocation priorities for varied purposes of drinking
water, irrigation, power generation and industrial and other issues.
♦ PLANNlNG: There is a need to replace ‘government-oriented, centralised supply-
driven rural water programmes’ with ‘people-oriented, decentralised and demand-
driven water programmes,’ as when in year 1999 the country suffered severe drought
conditions despite a good monsoon, wanton overuse of water resources and
mismanagement on the part of the Central and State Governments was widely
perceived to be the reason for such a condition.45
♦ FORM OF LlABlLlTY: It has been seen that the use of penal provisions further polarizes
the situation, which is seen contrary to the emerging theme of co-operative efforts
in preventing pollution. Civil liability is seen as being appropriate for providing the
necessary legal backup to the possible use of market-based instruments for preventing
air pollution in future. Also, from an analysis of liabilities based on law of crimes
and torts, it is logical to conclude that both the forms of liability should be made to
co- exist for actions against pollution. Where statutory provisions cannot help,
action under tort can come to rescue. Where there is an apprehension of pollution
the statutory regime of injunctions can be utilised in the absence of a tortuous
liability.
♦ OTHER lNlTlATlVES: Apart from the radical restructuring of the existing administrative
and regulatory framework, there are other initiatives that can be taken for resolution
of the problem of access to fresh water. These could include 46
1) The introduction of a rational water-pricing policy to be monitored by an
independent body.
2) Cut subsidy on power which will encourage farmers to sink more electric tube
wells, thus lowering the ground water level.
3) Punitive restrictions on the misuse of water.
4) Less government participation in water management and more in regulating
groundwater withdrawals, both collective and individual.
5) Massive awareness campaign to conserve water and promote its judicious use.
6) Encourage widespread rain-harvesting by involving communities both in urban
and rural areas.

13.8 Conclusion
Water and Air are basic human needs for health and survival and therefore it is not an
exaggeration to call the access to both a part of the basic human rights.47 Water is the
45
‘Depths of Despair’, India Today, 8th May 2000.
46
‘Earth’s Funeral’, Outlook, 8th May 2000.
47
Handbook of Environment Law, P.B. Sahasranaman, pp. 7.
National Environmental Laws 243

basic need for the survival of human beings, and right to water is the right to life
enshrined in Article 21 of the Constitution48.
Legislations with respect to water and air aim at
♦ Clean air and water.
♦ An environment that is not harmful to one’s health and well-being.
♦ Protecting the environment for the benefit of the present and future generations.
♦ Preventing ecological degradation.
♦ Promoting conservation.
♦ Promoting justifiable economic and social development.
The provisions contained in the legislations are progressive giving due importance to
safe drinking water, pollution control and conservation of ecology.

The Air and Water Acts lay down a regulatory framework under which the authorities lay
down specific standards and ensure their compliance. The legal regime envisaged by the
Acts include (a) the establishment of pollution control boards; (b) the setting up of
standards specifying permissible levels of pollution; and (c) the enforcement of the said
standards through penal provisions. This approach results in ‘licensing type controls’
whereby permission is required before a potentially polluting activity may be carried
on. Additionally, any ongoing activity is also required to comply with the terms of the
permission granted by a pollution control board.49 The Acts achieve these objectives by
authorising a board to issue consent orders, upon conditions deemed necessary, for the
abatement of the pollution. Non-compliance with the conditions leads to cancellation of
consent.

13.9 References and Recommended Readings

Environment Law Malik, Sumeet pp. 201 onwards. Handbook of Environmental Law
Sahasranaman, P. B. Legal Aspects of Water Resource Management A. Vaidyanathan and
Bharath Jairaj.
Judicial Trends in Water Law, A Case Study, Singh, Veera Kaul and Bharath Jairaj. 1997.
in Rajendra Pradhan, Franz von Benda-Beckmann, Keebet von Benda-Beckmann, H.L.J.
Water Rights, Conflicts and Policy Spiertz, Shantam S. Khadke and K Azharul Haq (eds.)
Role of Law in Water Resource Management, A. Vaidyanathan, 2004, Indian Judicial
Review, Vol. 1, pp. 12-17, National University of Juridical Sciences. Water in India
Constitutional Prespectives, Kamala Sanskaran.
A Comparative Study of Ground Water Law Policy in South India, Indian Judicial Review,
1, P. Ishwara Bhat, 2004.

48
State of Karnataka v. State of Andhra Pradesh, (2000) 9 SCC 572.
49
Ball S and Bell S, Environmental Law, Blackstone Press Limited, 1994.
244 Law and Policies Pertaining to Environment

Legislative Power in India Some clarifications, Vol. 4 and 5, Delhi Law Review, 73, Singh,
M.P. 1975-76.
Water Pollution Laws and Their Enforcement in India, Dr. Ali Mehdi. Water and the Laws
in India Edited by Ramaswamy R. Iyer.
Water Pollution and Contamination Paritosh C Tyagi.
Sengupta’s commentary on Motor Vehicles Act, pp. 771-802.
Handbook on Environmental Law Water Laws, Air Laws and the Environment, Volume 2,
Sanjay Upadhyay & Videsh Upadhyay; Butterworths.
Report of the Working Group under National Commission for Integrated Water Resources
Development Plan, Government of India, 1999.
Report of the Sub-group on Water Management under the National Commission for
Integrated Water Resources Development Plan, Ministry of Water Resources, Government
of India.
India Today, Business India, Outlook, Times of India, The Hindu. Ball S and Bell S,
Environmental Law, Blackstone Press Limited, 1994.
Legal Policy for Environmental Protection, Law and Environment, S Chhatrapati, 1990.
Black’s Law Dictionary, West Publishing Company.
Wharton’s Law Lexicon, Fifteenth Edition, 2010.
Environmental Law, Wolf S & Wolf A, Cavendish Publishing Ltd. The Citizen’s Fifth Report,
Centre for Science and Environment.
Fourth Five Year Plan, 1969-74, Planning Commission, Government of India, Chapter-2.
National Environmental Laws 245

UNIT 14
ENVIRONMENT PROTECTION
ACT, 1986
Contents
14.1 Introduction 245
14.2 Protection and Conservation of Environment in India 249
14.3 Premise to the Environment Protection Legislation 250
14.4 Environment Protection Act,1986 252
14.5 Related Legal Instruments 256
14.6 Conclusion 261
14.7 Reference and Recommended Readings 262

14.1 lntroduction
Our environment today is in dire need of conservation and replenishment. The first
question now to be asked is ‘what in environment?’. The natural environment, commonly
referred to simply as “the environment”, encompasses all living and non-living things
occurring naturally on Earth or some region thereof. The concept of the natural
environment can be distinguished by components:
♦ Complete ecological units that function as natural systems without massive human
intervention, including all vegetation, animals, microorganisms, soil, rocks,
atmosphere and natural phenomena that occur within their boundaries.
♦ Universal natural resources and physical phenomena that lack clear-cut boundaries,
such as air, water, and climate, as well as energy, radiation, electric charge, and
magnetism, not originating from human activity.
The natural environment is contrasted with the built environment, which comprises the
areas and components that are strongly influenced by humans. A geographical area is
regarded as a natural environment (with an indefinite article), if the human impact on it
is kept under a certain limited level (similar to Section 1 above).
The natural environment can be classified into- (a) physical environment, which includes
non-living things, such as land, air, water and (b) the biological environment which
includes all life forms including the plants, animals and other living things organisms.
246 Law and Policies Pertaining to Environment

The physical environment can be further classified into three basic states of physical
matter solid, liquid and gas. This division creates four spheres that compose the natural
environment. The three physical spheres are called the lithosphere, hydrosphere and
atmosphere. The biological environment is called biosphere.
♦ BlOSPHERE: the biosphere has a variety of organisms, which are broadly divided
into plants, animals and microbes. More than ten lakhs animal species and three
lakhs plants species are known to exist. There is an exchange of matter and energy
between these three elements of physical environment and the organisms in the
atmosphere.
♦ ECOLOGY: the term ‘eco’ is derived from the Greek word ‘oikos’ which means
‘home’. Since ‘logia’ means ‘study of’ in Latin, ecology is the ‘study of home’.
Ecology is the ‘study of how organisms interact with each other and their physical
environment’.
♦ ECOSYSTEM: the ecosystem consists of both living and non-living things/abiotic
components. The plants, animals and other organism together with the physical
environment with which they interact constitute the ecological systems or Ecosystems.

Environmental modification is as old as the history of human development. In the last

century, development and modification have become much faster than ever before.
While it took a few thousand years for man to pass from Palaeolithic to Neolithic tools,
it has taken less than a century to modify conventional weaponry to nuclear devices.
Development has been so rapid that nature has not had time to adapt to these changes
and to human requirement and greed.

The last century has seen an unmanageable increase in population, placing a tremendous
burden on natural resources. There is not enough food for the world’s hungry. Also, the
earth itself is worn out due to excessive farming, use of chemicals and pesticides and
excessive use of ground water. Water resources are badly polluted and emission of toxic
fumes from industry and vehicles has deprived us of clean air. Industrialisation and a
growing consumer economy have led to the creation of huge megapolises with their
problems of undisposed garbage and uncontrolled sewage.

To combat these problems, world bodies like the United Nations and the World Commission
on Environment and Development have been formulating ideas for environmental
protection and sustainable development. Several international conferences have been
held on this subject, starting with the first one in Tbilisi in 19771 to the Earth Summit in
Rio de Janeiro, the Population Summit at Copenhagen, the world Summit on Sustainable
Development in Johannesburg and several others. It is clearly evident that even after
decades after the first conference in Tbilisi, there has not been an appreciable change
in lifestyles or the level of awareness. Countries have put their own interests ahead of
1
The world’s first intergovernmental conference on environmental education was organised by the
United Nations Education, Scientific, and Cultural Organisation (UNESCO) in cooperation with the U.N.
Environment Programme (UNEP) and was convened in Tbilisi, Georgia (USSR) from October 14-26,
1977.
National Environmental Laws 247

environmental protection and the future of coming generations. However, there have
been some efforts that have to be well appreciated in this direction.

Sustainable Development
Sustainable development is an objective which we are constantly striving for. This calls
for an urgent need to bring about necessary changes in the industrial and agricultural
production patterns, utility services, consumer behaviour and life styles of the people
keeping in view our social and developmental priorities for conservation and sustainable
use of natural resources. Facing the environmental challenges of the 21st century will be
a matter of food policy, effective leadership, creative agencies, concerned and involved
citizens, good information and rational decision making.

Safe water, clean air and sustainable use of other natural resources are key elements to
development. A major cause of environmental degradation in the country is the lack of
integrated environmental planning. Often authorities and industries use natural resources
according to the priorities of their individual sectors without much regard to the overall
needs of the country or sustainable use of resources. Excessive decentralisation of
responsibility for ensuring a balanced development of natural resources among sectoral
agencies is proving to be an impediment in environmental protection.

To achieve sustainable growth, we have to make pragmatic choices that balance the
benefits of development with the need to maintain and improve the environment. In
certain cases, development choice may conflict with environment concerns and in such
cases we have to tackle it pragmatically. We have to ensure that development takes
place in a planned and environmentally sustainable way.

Natural Resources
The multiple ecological economic, social and cultural roles of trees and forests are well
known. Only effective measures are required to protect them. The bio-industrial revolution
expected in the coming millennium would be entirely dependent on the availability,
richness and sustainable conservation and utilisation of our bio-resources. At present
nearly 31 million hectares of forest area has less than 40 per cent crown cover density.
The remaining forests are under intense biotic pressure.

Degradation of forest leads to soil erosion, flash floods, drought and famine and life
support systems. We have to reverse these adverse trends to ensure sustainable
development of forest resources for improving their productive and protective functions.

There are 14 major rivers in India. Most of them are badly polluted. The Ganga is
considered to be one of the most polluted rivers. A study conducted by the CPCB in 1984
indicated that nearly 75 per cent pollution of the river was on account of discharge of
untreated sewage into the river from the large and medium towns located along its
banks. The remaining 25 per cent pollution was caused by the discharge of partly treated
or untreated industrial effluent. The CPCB report also identified some of the non-point
sources of pollution such as run-off from areas used for open defecation, garbage dumps,
248 Law and Policies Pertaining to Environment

agricultural fields, discharge of un burnt or half-burnt dead bodies and animal carcasses.
Quantification of pollution from such sources is, however, difficult.

The river cleaning programme was started with the launching of the Ganga Action Plan
(GAP) in June, 1986 as a 100 per cent centrally sponsored scheme with the objective of
improving river water quality. This programme, administered by the Ministry of
Environment and Forests, has now been extended to the other polluted rivers of the
country as well under the National River Conservation Plan (NRCP). During the Eighth
Plan, the Ganga Action Plan Phase-II was started and the National River Conservation Plan
was approved in July, 1995 for covering 18 grossly polluted stretches of rivers in 10
States of the country. Now the National River Conservation Plan has been made a 100 per
cent Centrally- sponsored scheme.

With increasing awareness of the need for environmental protection, provisions were
added in the Directive Principles to the Constitution of India. Article 48 (A) of the
Directive Principles says “The State shall endeavour to protect and improve environment
and to safeguard the forest and wildlife of the country.” Article 51-A (g) says that it shall
be the duty of every citizen of India to protect and improve the natural environment
including forests, lakes, rivers, wildlife and to have compassion for all living creatures.

The Eleventh Schedule of the Constitution lists soil conservation, water management,
watershed development, social and farm forestry, drinking water, fuel and fodder, non-
conventional energy sources and maintenance of community assets in which specific
functions should be devolved by the State governments to the Panchayats.

The Twelfth schedule of the Constitution lists wildlife, protection of environment and
ecology, sanitation and solid waste management, parks and gardens and special areas in
which specific functions should be devolved by the State government to the urban local
bodies.

The Supreme Court has already provided a new dimension to the basic principles underlying
the water laws by reinterpreting Article 21 of the Constitution to include the right to air
and water as fundamental right to life.

A cleaner environment would not only result in greater productivity but would also lead
to sustainable development. Destruction of environment is bound to increase the costs
and create impediments in the way of development. All natural resources have to be
conserved and developed by ensuring their efficient, equitable and sustainable use.
People have to be educated on the need to preserve and protect our natural habitat and
environment.

The environmental challenges confronting us today are greater than ever before. But we
have potential to meet these challenges by command and regulation, public participation,
technological innovations and socio-economic developments. Let us now concentrate on
growth with full protection of environment and nature.
National Environmental Laws 249

14.2 Protection and Conservation of Environment in lndia

There was a time when environment was treated as a bottomless phenomenon. The
quantity of consumers was simply trifling before the sheer magnitude of natural resources
to be consumed. Management of natural resources such as forests or minerals was done
by locals who made use of them. There was no profit motive behind exploiting
environmental resources. There were no market forces driving the engines of mass
production. Environment was local. It was managed by locals based on local indigenous
knowledge. Time as well as modern science has proved that traditional local management
of environment and natural resources is the best. Whether it be Indians of Brazil or
Africans or Asians, they are the best caretakers of their resources because their knowledge
of their environment is time tested. Market forces, profit motive, mass production and
modern technology have damaged our natural environment to an alarming extent. Since
our attention has been drawn to this damage, we must use modern techniques, modern
communication and capital to preserve and improve our natural environment.

India is equipped with a solid brigade of legal provisions and policy documents designed
to protect and improve the natural environment. Article 48(a) directs the State to take
strong measures not only for its protection but also work actively for its improvement.
Article 51(a) incurs a corresponding duty on the citizen to do the same. We have an Air
(Prevention and Control of Pollution) Act and a similar Water Act. We have an Environmental
Protection Act of 1986 amended from time to time to control hazardous pollutants. Each
one of our nine five-year plans contains a chapter on safeguarding the environment. We
have Forest Acts stretching from 1861 to 1988. We have State and Central boards for the
prevention of pollution. Our Judiciary has been exceptionally active in allowing public
interest litigations that have resulted in the State being directed to take measures for its
improvement or to refrain from taking measures that would degenerate our ecology.
However, the core issues affecting or rather controlling India’s natural environment have
remained the same.

Who should control India’s forest wealth? Should the traditional local tribal manage
forest resources with his age-old knowledge reducing the government to a mere assistant?
On the other hand, should forests be managed by the Central government? Before the
British came to India, forests were the property of locals who survived on them as well
as took loving care of them. As British gained control of India, they simply threw the
tribal out of this management. Their concern was entirely different. They gave contracts
for felling forests and such felling was immense all across Indian sub-continent. They
wanted to increase revenue by selling timber and converting forestland into agricultural
land. Timber was required for the expansion of railways, construction of bridges and
buildings. Right from the forest Act of 1861 till 1927, the British disassociated the local
traditional dweller from its management. All these Acts contain a provision of arrest
without warrant for anyone who encroached upon forestland without permission from
the British officer. Whether it be a cattle grazier or a woman collecting dry wood for
fuel. The same practice has continued after independence. Forest wealth has been
centralised and local dwellers are angry with the administration as ever. Since he gets
250 Law and Policies Pertaining to Environment

no incentive by protecting his forest, he does not bother about it anymore. Until this
issue of local versus government control is resolved, forest resources will continue to be
exploited and mismanaged in India.

14.3 Premise to the Environment Protection Legislation

In modern times, concern for environment started taking its present shape during 1960s
due to factors such as:
♦ Increasing pollution levels - Air, Water, Land, Noise, etc.
♦ Loss of Vegetation/Forest cover & Biological Diversity
♦ Excessive concentration of Harmful Chemicals in the ambient atmosphere and food
chains
♦ Growing risks of hazardous waste accumulation, increased environmental accidents
and threat to life support systems
Major effort by the world community with respect to environment was in form of United
Nations Conference on the Human Environment, 1972. This conference popularly referred
to as Stockholm Conference was the 1st major international conference pertaining to the
state of international environmental issues. It called for action from all parties to take
appropriate steps for the protection and improvement of environment. The main issue
addressed in the Conference was ‘the protection of biosphere on the official agenda of
international policy and law’. The Conference acclaimed man’s fundamental right to
adequate conditions of life in an environment of a quality that permitted a life of dignity
and well-being.

The main agendas were:

♦ Planning and management of human settlements for the environmental quality.
♦ Environmental aspects of natural resources management.
♦ Identifications and control of pollutants and nuisances of broad international
significance.
♦ Educational, Information, Social and Cultural aspects of environmental issues.
♦ Balancing development and environment.
♦ International organisational implications of action proposals.
India was one of the 113 participants of the Conference. In 1972, as a part of the
founding parties, India took the following step:
♦ 1972 - National Council for Environmental Policy and Planning established within
the Department of Science and Technology.
♦ 1976 - The Constitution (Forty-second Amendment) Act was enacted that gave sanction
to environmental concerns by incorporating them into Directive Principles of State
Policy and Fundamental Duties.
National Environmental Laws 251

♦ 1980 - Department of Environment established to ensure healthy environment in the

country.
♦ 1985 - Department of Environment evolved into a MoEF, which is today the apex
administrative body for regulating and ensuring environmental protection.
Since 42nd amendment to the Indian Constitution, there has been growth of an extensive
network of environmental legislations. One of the first steps towards this was the
enactment of Air and Water legislations. Establishment of Pollution Control Boards, namely
the Central Pollution Control Board (CPCB) and various State Pollution Control Boards
(SPCBs) as under the Water Act was a very significant step in establishing a regulatory
and administrative core. Post 1972, India also started focussing on the development of
policy frameworks to complement the legislative provisions. Since then several sector-
specific legislations and policies have evolved.

Such frameworks for protection of environment was initiated with legislations that were
initially regulatory in nature. The premise to environment protection in India was marked
by a couple of regulatory laws that aimed at regulating and controlling pollution and
other environmentally degrading phenomenon. These laws were more reactive than
proactive.

These regulatory regimes, especially in air and water pollution in India have achieved
positive results in a very limited way. The Economic Survey (1998-99) in a chapter on
Sustainable Development and Challenges for Environment Policy has revealed that out of
the country’s total geographical area of 329 million hectares, 175 million hectares of land
is degraded. There is widespread air and water pollution. Deforestation and bio-diversity
erosion are also rampant.

In India the promotion of environmental quality and management began with the Fourth
Five Year Plan in 1969. With the establishment of Ministry of Environment, Forest and
Climate Change (MoEFCC), an apex administrative body for regulating and ensuring
environmental protection was established in the country. MoEFCC today also serves as
the nodal agency in the country for the United Nations Environment Programme (UNEP),
South Asia Co-operative Environment Programme (SACEP), and International Centre for
Integrated Mountain Development (ICIMOD) and for the follow-up of the United Nations
Conference on Environment and Development (UNCED). The Ministry is also entrusted
with issues relating to multilateral bodies such as the Commission on Sustainable
Development (CSD), Global Environment Facility (GEF) and of regional bodies like
Economic and Social Council for Asia and Pacific (ESCAP) and South Asian Association for
Regional Co-operation (SAARC) on matters pertaining to the 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
252 Law and Policies Pertaining to Environment

♦ Protection of the environment, and

♦ Ensuring the welfare of animals
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, the National Conservation Strategy and Policy Statement on
Environment and Development, 1992; National Forest Policy, 1988; Policy Statement on
Abatement of Pollution, 1992; and the National Environment Policy, 2006 also guide the
Ministry’s work.
Environmental management involves the management of all components of the bio-
physical environment, both living (biotic) and non-living (abiotic). This is due to the
interconnected and network of relationships amongst all living species and their habitats.
The environment also involves the relationships of the human environment, such as the
social, cultural and economic environment with the bio-physical environment.
The Water (Prevention and Control of Pollution) Act (1974) and Air (Prevention and Control
of Pollution) Act (1981) were meant to restore and maintain the environment. The Central
Pollution Control Board (CPCB) and the State pollution control boards were established
by these Acts to implement their provisions. Spurred by declining environmental quality
and the Bhopal gas disaster, the Environment (Protection) Act, (1986) was enacted to
empower the Central Government to take necessary measures to preserve and improve
the environment. Subsequently, the 1948 Factories’ Act was amended with a new chapter
on regulating hazardous industrial processes. Amendments were made to the Air Act and
Water Act, which further empowered environmental agencies and strengthened penal
provisions. A host of legislative, administrative and judicial initiatives have since been
launched to protect the environment.
In the Constitution of India it is clearly stated that it is the duty of the state to ‘protect
and improve the environment and to safeguard the forests and wildlife of the country’.
It imposes a duty on every citizen ‘to protect and improve the natural environment
including forests, lakes, rivers, and wildlife’. Reference to the environment has also
been made in the Directive Principles of State Policy as well as the Fundamental Rights.
The Department of Environment was established in India in 1980 to ensure a healthy
environment for the country. This later became the Ministry of Environment and Forests
in 1985.
The constitutional provisions are backed by a number of laws - acts, rules, and notifications.
The EPA (Environment Protection Act), 1986 came into force soon after the Bhopal Gas
Tragedy and is considered an umbrella legislation as it fills many gaps in the existing laws.
Thereafter a large number of laws came into existence as the problems began arising, for
example, Handling and Management of Hazardous Waste Rules in 1989.

14.4 Environment Protection Act, 1986

By all accounts the Bhopal gas leak on the night of 2-3 December 1984, is the worst
chemical disaster in history. As tragedy struck at the Union Carbide India Ltd (UCIL)
National Environmental Laws 253

pesticide plant in Bhopal, Madhya Pradesh, the leak of methyl isocyanate gas and other
chemicals from the plant resulted in the exposure of hundreds of thousands of people. It
took a heavy toll On human lives. People started dying within hours and more than 2000
lives were lost in the first few days. Though estimates vary on the death toll, the official
immediate death toll was 2,259 and the government of Madhya Pradesh had confirmed
a total of 3,787 deaths related to the immediate exposure to gas release. Others estimates
show that 3,000 died within weeks and another 8,000 have since died from gas-related
diseases.

The effects of the poisonous gas are still felt. Several genetic deformities and disabilities
have plagued generations of those exposed to the toxic chemicals released on the fateful
night. Several studies reveal that materials containing toxins and heavy metals has leeched
into the ground, contaminating groundwater - the only source of drinking water for
about 20,000 people in the vicinity.

In the wake of this unfortunate tragedy, India woke up to the need of bringing a
comprehensive and pro-active legislation that would aim at not just regulation and control
by also on the protection and improvement of quality of our environment. With this
premise, the Environmental Protection Act (EPA) was enacted by the Indian parliament in
1986.
EPA was enacted soon after the Bhopal Gas Tragedy as an umbrella legislation to -
♦ provide framework for co-ordination of central and state authorities established
under Water and Air Acts
♦ fills the gaps in the existing laws for tackling environmental problems
EPA was enacted under Article 253 of the constitution. The purpose of the Act is to act
as an “umbrella” legislation designed to provide a framework for Central government
co- ordination of the activities of various central and state authorities established under
previous laws, such as Water Act and Air Act.

The potential scope of the Act is broad, with “environment” defined to include water,
air and land and the inter-relationships which exist among water, air and land, and
human beings and other living creatures, plants, micro-organisms and property.

According to the Statement of Objects and Reasons, ‘EPA an Act which provides for the
protection and improvement of environment and for matters connected therewith.
The decision to bring in an Environment Protection Act was taken at the United
Nations Conference on the Human Environment held at Stockholm in June 1972, in which
India participated, to take appropriate steps for the protection and improvement of
human environment. And whereas it is considered necessary further to implement the
decision aforesaid in so far as they relate to the protection and improvement of
environment and the prevention of hazards to human beings, other living creatures,
plants and property’.
254 Law and Policies Pertaining to Environment

What does the Statement of Objects and Reasons of EPA state?

The decline in Environmental quality has been evidenced by increasing pollution, loss of
vegetation cover, biological diversity and in food chains, growing risk of environmental
accidents and threats to life support systems. The world community’s resolve to protect
and enhance the environmental quality found expression in the decisions taken at United
Nations Conference on the Human Environment held at Stockholm in June 1972.

Although there are existing laws dealing directly or indirectly with several environmental
matters, it is necessary to have a general legislation for environmental protection. Existing
laws generally focus on specific types of pollution or on specific categories of hazardous
substances. Some major areas of environmental hazards are not covered. There also
exist uncovered gaps in areas of major environmental hazards. There are inadequate
linkages in handling maters of industrial and environmental safety. Control mechanisms to
guard against slow insidious build-up of hazardous substances, especially new chemicals
in the environment are weak. Because of multiplicity of regulatory agencies, there is
need for an authority which can assume the lead role of studying, planning and implementing
long- term requirements of environmental safety and to give direction to and co-ordinate
a system of speedy and adequate response to emergency situations threatening
environment safety.

In the view stated above, there is an urgent need for the enactment of a general legislation
on environmental protection which, inter alia , should enable co-ordination of activities
of the various regulatory agencies, creation of an authority or authorities with adequate
powers for environmental protection, regulation of discharge of environmental pollutants
and handling of hazardous substances, speedy responses in the event of accidents,
threatening environment and deterrent punishment to those who endanger human
environment, safety and health.
Some of the important sections of the Act are as follows:
♦ SECTlON 2 - Definitions
Under Section 2, general definitions are provided. However, it states that such
definition is valid only unless the context otherwise requires. Some of these important
definitions are
Sec 2 (a) - “environment” includes water, air and land and the interrelationship
which exits among and between water, air and land, and human beings, other living
creature, plants micro-organism and property.
Sec 2 (b) - “environment pollutant” means any solid, liquid or gaseous substance
present in such concentration as may be, or tend to be injurious to environment.
Sec 2 (c) - “environment pollution” means the presence in the environment of any
environmental pollutant.
Sec 2 (d) “handling” in relation to any substance, means the manufacture, the
National Environmental Laws 255

processing, package, storage, transportation, use, collection, destruction, conversion,

offering for sale, transfer or the like of a substance.
Sec 2 (e) “hazardous substance” means any substance or preparation which by reason
of chemical or physic chemical properties or handling, is liable to cause harm to
human beings, other living creature plants and micro-organism, property.
Sec 2 (f) “occupier” in relation to any factory or premise, means a person who has
control over the affairs of the factory or the premises and includes, in relation to
any substance, person in possession of the substance.
♦ SECTlONS 3-6 - Powers Conferred to the Central Government
General powers conferred to Central government are provided under Sections 3 to
6. These powers include
 Making rules to regulate environmental pollution;
 Notifying standards and maximum limits of pollutants of air, water, and soil for
various areas and purposes;
 Prohibiting and restricting the handling of hazardous substances, and location of
industries.
Sec (3) - Empowers government to constitute authority/s for the purpose of exercising
powers and performing such functions (as conferred by the Act)
Sec (4) - Grants power to appoint a person for fulfilment of powers conferred under
Section 3 such as inspection, examination, collection of samples, etc.
Sec (5) - Grants power to issue directions in writing to any officers/authority to
comply
Sec (6) - Empowers government to make rules to achieve the object of the Act.
♦ SECTlONS 7-17 - General Provisions
Sections 7-17 pertain to general provisions for Prevention, Control and Abatement
of environmental pollution. These provisions empower central government to take
measures necessary to protect/improve quality of the environment by
 setting standards for emissions and discharges
 regulating the location of industries;
 management of hazardous wastes,
 protection of public health and welfare.
These provisions also provide directions to both public and concerned authorities
for-
 maintenance of environmental quality
 control and reduce pollution from all sources
256 Law and Policies Pertaining to Environment

 prohibition/restriction on setting up of and /or operation of any industrial facility/

unit on environmental grounds
♦ SECTlONS 15, 16, 17 - Penalties

While imposing penalties the onus lies on the occupier/owner of the unit polluting/
violating the Act. According to Sections 15, 16, 17, penalties are as follows
 Person contravening provisions of the Act is liable for punishment in form of
imprisonment for a term extending up to 5 years/ fine extending up to 1,00,00/
both
 If failure to comply/ contravention continues, a fine of 5000 per day shall be
imposed
 If still failure of compliance/ contravention continues even after one year form
this then imprisonment may extend up to 7 years
Section 17 - Onus will shift on the Head of Department/ in-charge of unit if owner /
occupier produces enough evidence of innocence. State government can close/
cancel/ deny the authorisation to run the unit causing pollution.

♦ Miscellaneous Provisions
One of the most striking features of EPA is that the locus standi to approach the
competent authority and make a complaint against any environmentally damaging
activity or offence or any such violation under the Act is granted to not just to the
victim or affected party but to every person who is genuinely concerned about the
environment. This is because protection and conservation of environment is not a
personal business but the duty of all as all are affected by its quality. Natural
resources that constitute the environment are not a personal but a public property.
It is our natural heritage, our common property. According to Section 19 of the Act,
any person, even an ordinary citizen has the right to approach a court provided he/
she gives notice of not less than 60 days of the alleged offense and his intention to
make a complaint to the Central Government or the competent authority.

14.5 Related Legal lnstruments

EPA is an umbrella legislation designed to provide a framework for the co-ordination of
central and state authorities established under the Water (Prevention and Control) Act,
1974 and Air (Prevention and Control) Act, 1981. Under this Act, the central government
is empowered to take measures necessary to protect and improve the quality of the
environment by setting standards for emissions and discharges; regulating the location
of industries; management of hazardous wastes, and protection of public health and
welfare.

From time to time the central government issues notifications under the EPA for the
protection of ecologically-sensitive areas or issues guidelines for matters under the EPA.
National Environmental Laws 257

Some notifications issued under this Act are:

♦ Doon Valley Notification (1989), which prohibits the setting up of an industry in
which the daily consumption of coal/fuel is more than 24 MT (million tonnes) per
day in the Doon Valley.
♦ Coastal Regulation Zone Notification (1991), which regulates activities along coastal
stretches. As per this notification, dumping ash or any other waste in the CRZ is
prohibited. The thermal power plants (only foreshore facilities for transport of raw
materials, facilities for intake of cooling water and outfall for discharge of treated
waste water/cooling water) require clearance from the MoEF.
♦ Dhanu Taluka Notification (1991), under which the district of Dhanu Taluka has been
declared an ecologically fragile region and setting up power plants in its vicinity is
prohibited.
♦ Revdanda Creek Notification (1989), which prohibits setting up industries in the
belt around the Revdanda Creek as per the rules laid down in the notification.
♦ The Environmental Impact Assessment of Development Projects Notification (1994
and as amended in 1997). As per this notification:
 All projects listed under Schedule I require environmental clearance from the
MoEF.
 Projects under the delicenced category of the New Industrial Policy also require
clearance from the MoEF.
 All developmental projects whether or not under the Schedule I, if located in
fragile regions must obtain MoEF clearance.
 Industrial projects with investments above Rs 500 million must obtain MoEF
clearance and are further required to obtain a LOI (Letter of Intent) from the
Ministry of Industry, and an NOC (No Objection Certificate) from the SPCB and
the State Forest Department if the location involves forestland. Once the NOC
is obtained, the LOI is converted into an industrial licence by the state authority.
 The notification also stipulated procedural requirements for the establishment
and operation of new power plants. As per this notification, two-stage clearance
for site-specific projects such as pit-head thermal power plants and valley
projects is required. Site clearance is given in the first stage and final
environmental clearance in the second. A public hearing has been made
mandatory for projects covered by this notification. This is an important step in
providing transparency and a greater role to local communities.
♦ Ash Content Notification (1997), required the use of beneficiated coal with ash
content not exceeding 34% with effect from June 2001, (the date later was extended
to June 2002). This applies to all thermal plants located beyond one thousand kilometres
from the pit-head and any thermal plant located in an urban area or, sensitive area
258 Law and Policies Pertaining to Environment

irrespective of the distance from the pin-head except any pit-head power plant.

♦ Taj Trapezium Notification (1998), provided that no power plant could be set up
within the geographical limit of the Taj Trapezium assigned by the Taj Trapezium
Zone Pollution (Prevention and Control) Authority.

♦ Disposal of Fly Ash Notification (1999) the main objective of which is to conserve
the topsoil, protect the environment and prevent the dumping and disposal of fly
ash discharged from lignite-based power plants. The salient feature of this notification
is that no person within a radius of 50 km from a coal- or lignite-based power plant
shall manufacture clay bricks or tiles without mixing at least 25% of ash with soil on
a weight-to-weight basis. For the thermal power plants the utilisation of the fly ash
would be as follows:
 Every coal-or lignite-based power plant shall make available ash for at least ten
years from the date of publication of the above notification without any payment
or any other consideration, for the purpose of manufacturing ash-based products
such as cement, concrete blocks, bricks, panels or any other material or for
construction of roads, embankments, dams, dykes or for any other construction
activity.
 Every coal or lignite based thermal power plant commissioned subject to
environmental clearance conditions stipulating the submission of an action plan
for full utilisation of fly ash shall, within a period of nine years from the publication
of this notification, phase out the dumping and disposal of fly ash on land in
accordance with the plan.
Rules for the Manufacture, Use, Import, Export and Storage of Hazardous Micro-
organisms Genetically Engineered Organisms or Cell were introduced in 1989 with
the view to protect the environment, nature and health in connection with gene
technology and micro-organisms, under the Environmental Protection Act, 1986.
The government in 1991, further decided to institute a national label scheme for
environmentally-friendly products called the ‘ECOMARK’. The scheme attempts to
provide incentives to manufactures and importers to reduce adverse environmental
impacts, reward genuine initiatives by companies, and improve the quality of the
environment and sustainability of available resources. Besides the above attempts,
notifications pertaining to Recycled Plastics Manufacture and Usage Rules, 1999
were also incorporated under the Environment (Protection) Act of 1986.

Most important notifications were the EIA notifications of 1994 (as amended in 1997)
and 2006. As per EIA process environmental clearance from MoEF is required for -
 Schedule I projects
 All developmental projects whether or not under the Schedule I, if located in
fragile regions
 Industrial projects with investments above Rs 500 million
National Environmental Laws 259

 A two-stage clearance for site-specific projects such as pit-head thermal power

plants and valley projects is required. In first stage site clearance is given and in
the second stage Environmental Clearance (EC) is given
 Public hearing is mandatory to provide transparency and a greater role to local
communities.
RELATED LEGISLATIONS

♦ The Environment (Protection) Rules, 1986

These rules lay down the procedures for setting standards of emission or discharge of
environmental pollutants. The Rules prescribe the parameters for the Central Government,
under which it can issue orders of prohibition and restrictions on the location and operation
of industries in different areas. The Rules lay down the procedure for taking samples,
serving notice, submitting samples for analysis and laboratory reports. The functions of
the laboratories are also described under the Rules along with the qualifications of the
concerned analysts.

♦ The National Environment Appellate Authority Act, 1997

This Act provided for the establishment of a National Environment Appellate Authority
(NEAA) to hear appeals with respect to restriction of areas in which any industry operation
or process or class of industries, operations or processes could not carry out or would be
allowed to carry out subject to certain safeguards under the Environment (Protection)
Act, 1986. NEAA addressed cases in which EC is required in certain restricted areas but
not granted. NEAA became defunct and the Act was repealed upon the enactment of the
National Green Tribunal Act, 2010.

♦ The National Green Tribunal Act, 210

The National Green Tribunal (NGT) has been established on 18.10.2010 under the National
Green Tribunal Act 2010 for effective and expeditious disposal of cases relating to
environmental protection and conservation of forests and other natural resources
including enforcement of any legal right relating to environment and giving relief and
compensation for damages to persons and property and for matters connected therewith
or incidental thereto. NGT is a specialized body equipped with the necessary expertise
to handle environmental disputes involving multi-disciplinary issues. NGT is not be bound
by the procedure laid down under the Code of Civil Procedure, 1908, but shall be guided
by principles of natural justice. The Tribunal’s dedicated jurisdiction in environmental
matters provides for speedy environmental justice and help reduce the burden of litigation
in the higher courts. The Tribunal is mandated to make and endeavour for disposal of
applications or appeals finally within 6 months of filing of the same.

In addition to these, various Acts specific to the coal sector have been enacted. The first
attempts in this direction can be traced back to the Mines Act, 1952, which promoted
health and safety standards in coal mines. Later the Coal Mines (Conservation and
260 Law and Policies Pertaining to Environment

Development) Act (1974) came up for conservation of coal during mining operations. For
conservation and development of oil and natural gas resources a similar legislation was
enacted in 1959.

Hazardous wastes
There are several legislations that directly or indirectly deal with hazardous waste. The
relevant legislations are the Factories Act, 1948, the Public Liability Insurance Act, 1991,
the National Environment Tribunal Act, 1995 and some notifications under the Environmental
Protection Act of 1986. A brief description of each of these is given below.

Under the EPA 1986, the MoEFCC has issued several notifications to tackle the problem of
hazardous waste management. These include :
♦ Hazardous Wastes (Management and Handling) Rules, 1989, which brought out a
guide for manufacture, storage and import of hazardous chemicals and for
management of hazardous wastes.

♦ Biomedical Waste (Management and Handling) Rules, 1998, were formulated along
parallel lines, for proper disposal, segregation, transport etc. of infectious wastes.

♦ Municipal Wastes (Management and Handling) Rules, 2000, whose aim was to enable
municipalities to dispose municipal solid waste in a scientific manner.

♦ Hazardous Wastes (Management and Handling) Amendment Rules, 2000, a recent

notification issued with the view to providing guidelines for the import and export
of hazardous waste in the country.

♦ Hazardous Wastes (Management and Handling) Amendment Rules, 2000 bring issues
of e-waste management into the ambit of hazardous waste management.

♦ Hazardous Waste (Management, Handling & Transboundary Movement) Notified 2008

gives procedure for handling hazardous wastes defining the responsibilities, grants
as well as authority to cancel authorization if failed to comply.

♦ Hazardous and Other Wastes (Management & Transboundary Movement) Rules, 2016
have been notified to distinguish between Hazardous Waste and other wastes.

Factories Act, 1948 and its Amendment in 1987

The Factories Act, 1948 was a post-independence statute that explicitly showed concern
for the environment. The primary aim of the 1948 Act has been to ensure the welfare of
workers not only in their working conditions in the factories but also their employment
benefits. While ensuring the safety and health of the workers, the Act contributes to
environmental protection. The Act contains a comprehensive list of 29 categories of
industries involving hazardous processes, which are defined as a process or activity
where unless special care is taken, raw materials used therein or the intermediate or the
finished products, by-products, wastes or effluents would:
National Environmental Laws 261

♦ cause material impairment to health of the persons engaged

♦ result in the pollution of the general environment.
Public Liability insurance Act (PLIA), 1991
The Act covers accidents involving hazardous substances and insurance coverage for
these. Where death or injury results from an accident, this Act makes the owner liable
to provide relief as is specified in the Schedule of the Act. The PLIA was amended in 1992,
and the Central Government was authorised to establish the Environmental Relief Fund,
for making relief payments.

National Environment Tribunal Act, 1995 (Note: The coming into force of the NGT Act
implied repeal of the National Environment Tribunal Act 1995)

The Act provided strict liability for damages arising out of any accident occurring while
handling any hazardous substance and for the establishment of a National Environment
Tribunal for effective and expeditious disposal of cases arising from such accident, with
a view to give relief and compensation for damages to persons, property and the
environment and for the matters connected therewith or incidental thereto.

The National Green Tribunal Act, 2010

The NGT Act under Section 15 has provision whereby the Tribunal may provide relief and
compensation to the victims of pollution and other environmental damage arising under
the enactments specified in the Schedule I (including accident occurring while handling
any hazardous substance) for restitution of property damaged, for restitution of the
environment for such area or areas, as the Tribunal may think fit. It is pertinent to
mention that such relief and compensation and restitution of property and environment
under this provision is in addition to the relief paid or payable under the Public Liability
Insurance Act, 1991.

14.6 Conclusion
An important recent development in environmental protection is the rise of judicial
activism in the enforcement of environmental legislation. This is reflected in the growth
of environment-related public litigation cases that have led the courts to take major
steps such as ordering the shut-down of polluting factories.

Agenda 21 highlights the need for integration of environmental concerns at all stages of
policy, planning and decision-making processes including the use of an effective legal
and regulatory framework, economic instruments and other incentives. These very
principles were fundamental to guiding environmental protection in the country well
before Rio and will be reinforced, drawing on India’s own experiences and those of other
countries.

Pollution has come to stay. The perpetuity of pollution has to be faced either with a
stoic fortitude or in prude pessimism, and ecological imbalance has to endured with
262 Law and Policies Pertaining to Environment

notification, since the man responsible for destruction of environment has not been able
to remedy it.

Ecological justice has emerged as a new form of social justice. There have been laws,
leading the all too gullible citizenry to believe that the laws would develop environment,
and credulous thoroughly though it is, it is yet highly incredible that the laws can ever
develop the man. The crisis is man-made, since men in their methodical madness for
industrialisation and the urbane mode of living have alienated themselves from nature.
The utility of pollution laws is ordered environment, but ‘the utility of positive law is
ordered human; and the human is never certain that he will ever be ordered’.

The laws for protection of environment are species of the natural resources laws, and
the natural resources restored to their innate potential from pollution can alone keep the
man safe from pollution.

14.7 References and Recommended Readings

Environment Protection Act, 1986- Bare Act, Law Publishers (India) Pvt. Ltd.

S. Shanthakumar’s, Introduction to Environmental Law, Second Edition, Jain Book

Depot, New Delhi.
National Environmental Laws 263

UNIT 15
ECOLOGY CONSERVATION
AND ENVIRONMENTAL
GOVERNANCE IN URBAN AREAS
Contents
15.1 Introduction 263
15.2 Urban Environment 265
15.3 Urban Problems and Management Initiatives 269
15.4 Urban Environmental Management Initiatives by India 276
15.5 Urban Environmental Problems in India 281
15.6 Conclusion 306
15.7 References and Recommended Readings 309

15.1 lntroduction
India’s urban areas are defined on the basis of two criteria. First, the state government
grants municipal status - corporation, municipal council, notified town area committee
or nagar panchayat, etc - to a settlement. Such settlements are known as statutory or
municipal towns in the census definition of urban areas. Second, if a settlement does not
have an urban civic status, but satisfies demographic and economic criteria, like a
population of more than 5,000, a density of 400 persons per square kilometre and 75%
male workforce in the non-agricultural sector, it can be declared urban. Such urban areas
are termed census towns. It is important to note that India’s urban definition is very
broad-based and closely reflects levels of development unlike several other developing
countries. For example, in south Asia, Nepal defines urban areas on the basis of population
size only a settlement with a population of more than 9,000 is declared urban. On the
other hand, countries such as Bangladesh, Sri Lanka and Pakistan apply only the civic
status criterion to declare a settlement urban.1 In each census, the rural-urban framework
is prepared based on the above definition of urban. Many new towns are added and
some existing towns revert to rural status if they do not satisfy the criteria. Thus the

1
United Nations (2009) “The World Urbanisation Prospects The 2009 Revision”, Department of Economic
and Social Affairs Population Division, New York.
264 Law and Policies Pertaining to Environment

rural-urban classification used in India is a dynamic process, although there are some
limitations to the definition.2

According to the 2011 Census3 , urbanisation has increased faster than expected. This has
reversed the declining trend in the growth rate of the urban population observed during
the 1980s and 1990s. The twenty-first century has been dubbed “The Urban Millennium”
by the United Nations Secretary General Kofi Annan in recognition of the fact that the
world is becoming increasingly urbanised. By 2007 over 50 per cent of all humanity will
be living in urban areas with the number rising to 61 per cent by 2030. Since urbanisation
offers both promise (as hubs of dynamism, change and opportunity), as well as peril (as
centres of exploitation, disease and unemployment), efforts to squarely meet the challenges
and maximise the opportunities afforded by urbanisation are essential. It is critical that
such efforts adopt a holistic view for achieving sustainable urban development.

As per the 2011 census, for the first time since independence in India, the absolute
increase in the urban population is higher than that in the rural population. This has huge
implications for providing infrastructure and other civic amenities in urban areas. Of
late, there has been a change in the thinking of policymakers about urbanisation. The
Eleventh Five-Year Plan argued that urbanisation should be seen as a positive factor in
overall development as the urban sector contributes about 62% of the GDP. There is also
a growing realisation that an ambitious goal of 9-10% growth in GDP fundamentally depends
upon a vibrant urban sector (Planning Commission 2008).4 As our country is on the verge
of preparing the Twelfth Five-Year Plan (2012-2017), the urban transition is considered
one of the major challenges, requiring a massive expansion in urban infrastructure and
services.

Demographically speaking, the level of urbanisation is measured by the percentage of

population living in urban areas. In order to have a better understanding of the urbanisation
process, it would be appropriate to examine which settlements are treated as urban by
the Census of India. There is no standard definition of urban; it varies from country to
country. A substantial increase in the urban population is due to a net rural-urban classification
and rural-to-urban migration5 . A huge number of new towns emerged during the last
decade, contributing significantly to the speeding up of urbanisation. On the other hand,
although the contribution of the natural increase in urban growth has declined in terms
of proportions, its share in absolute numbers (about 40 million) continues to be huge due
to the large base of the urban population.

2
Bhagat, R B (2005) “Rural-urban Classification and Municipal Governance in India”, Singapore Journal
of Tropical Geography, 26(1) 61-74.
3
Census conducted by Ministry of Home Affairs, Government of India.
4
Planning Commission (2008) Eleventh Five-Year Plan, Volume III Agriculture, Rural Development, Industry,
Services and Physical Infrastructure (New Delhi Oxford University Press).
5
Mitra Anup, Murayama Mayuri, “Rural to Urban Migration A District Level Analysis for India”, Discussion
Paper, The Institute of Developing Economies (IDE), J61, R23.
National Environmental Laws 265

15.2 Urban Environment

Cities are ecosystems they are open and dynamic systems that consume, transform and
release materials and energy; they develop and adapt; they are shaped by humans and
interact with other ecosystems. They must therefore be managed like any other type of
ecosystem.
Through rethinking urban design, architecture, transport and planning, we can put our
cities and urban landscapes at the forefront of climate change mitigation (e.g. sustainable
transport, clean energy and low consumption) and adaptation (e.g. floating houses,
vertical gardens). Furthermore, better urban planning will improve quality of life across
the board by designing quiet, safe, clean and green urban space. It also creates new
employment opportunities by stimulating the market for new technologies and green
architecture.
Due to their concentration of people and activities, cities matter. Their problems cannot
be solved at the local level alone. Better policy integration and new governance are
needed, involving closer partnership and coordination at the local, national and regional
levels. Indeed, effective, joined-up policy is crucial in the interconnected world we live
in.
Urban areas not only have local environmental impacts but also have large so-called
‘ecological footprints’.6 In their immediate vicinity, cities have a variety of impacts
conversion of agricultural or forest land for urban uses and infrastructure, reclaiming of
wetlands, quarrying and excavation of sand, gravel and building materials in large quantities
and, in some regions, deforestation to meet fuel demand. The use of biomass fuel also
causes indoor and outdoor air pollution. Other effects can be felt further afield such as
pollution of waterways, lakes and coastal waters by untreated effluent. Air pollution
from cities has an impact on residents’ health as well as on vegetation and soils at a
considerable distance. Urban transport contributes to air pollution and the large
concentration of cars and industries in cities causes the lion’s share of urban global
greenhouse gas emissions.

“All in this manifested world, consisting of moving and non-moving, are covered
by the Lord. Use its resources with restraint.”
-Ishopanishad, Circa 1500
An important concomitant of development, urbanisation has to be viewed in its regional
context. The city serves as an important service and exchange centre for its hinterland.
It draws upon the resources and assets - material, human and environmental - of the
hinterland. Urbanisation can be sustainable only if it has a symbiotic relationship with
developmental processes in the hinterland. Over the decade since Rio, India has taken a
number of noteworthy initiatives to address problems and issues of sustainable
urbanisation.7
6
WWF, 2000
7
Extracted from http //envfor.nic.in/divisions/ic/wssd/doc4/consul_book_ch7.pdf
266 Law and Policies Pertaining to Environment

Environmental factors have been given too little consideration in the thinking on
urbanisation in India. Yet they are extremely important and their importance will increase
with increasing urbanisation. The levels of water and air pollution are already high in
many Indian Cities and they could increase to intolerable levels with further increase in
their populations.

The only answer to the plaguing problem of uncontrolled degradation of urban environment
is to create ‘sustainable cities’. Building these ‘Sustainable Cities’ would involve a twofold
process. Firstly, it requires building such ideal city environments. The next and the most
important step lies in management of such cities. Most often than not, modern cities are
already established bursting centres of economy that are already built and developed.
In such cases, the trick to sustenance lies in proper ‘management’.

Concept of ‘Sustainable Cities’ derived from that of sustainable development. The world
is becoming increasingly urban and unfortunately has been accompanied by increased
consumption and ecological degradation across the globe. The ecological impact of such
an urban sprawl and its adverse impacts on the environment has become a major
justification for the concept of ‘Sustainable Cities’.

A sustainable cities are such eco-cities8 that are designed or at least managed with
consideration of environmental impact, inhabited by people dedicated to minimisation
of required inputs of energy, water and food, and waste output of heat, air pollution and
water pollution. A sustainable city can feed itself with minimal reliance on the surrounding
countryside, and power itself with renewable sources of energy. The crux of this is to
create the smallest possible ecological footprint, to produce the lowest quantity of
pollution possible and to efficiently use land; compost used materials, recycle it or
convert waste- to-energy, so that the city’s overall contribution to climate change is
minimal when such management practices are adhered to.

Large-scale urbanisation in the modern world has today presented both challenges and
opportunities for environmentally conscious urban managers. In order to make them
more sustainable, building design and practice, as well as perception and lifestyle must
adopt sustainability thinking.

While there is now widespread agreement that urban environmental issues are important,
there is little coherence in how international agencies and others define the urban
environment and identify its critical problems. This is not just a semantic question, as it
is intimately related to how and where funds are allocated and who can expect to
benefit from the resulting environmental improvements. Most of the confusion arises
from the qualifier ‘environmental’ and what it should mean in an urban context.

If urban environmental problems are defined and pursued too broadly, then almost all
urban development initiatives can be labelled environmental. On the other hand, if
urban environmental problems are defined too narrowly, many of the generalisations
8
Richard Register first coined the term “ecocity” in his 1987 book, Ecocity Berkeley: building cities for
a healthy future.
National Environmental Laws 267

noted in the introductory paragraph cease to be true. For example, defining urban
environmental problems as ‘the degradation of urban water, air and land’ excludes many
of the environmental health problems suffered predominantly by the poor, as well as the
extra- urban impacts that threaten regional and global sustainability.

While both very broad and very narrow usage are common in the literature, when
people complain of ‘environmental problems’ they are typically referring to damage to
the physical environment, mostly caused by other people, and usually with harmful
consequences for human welfare, either now or in the future. So common sense suggests
that urban environmental problems are threats to present or future human well-being,
resulting from human-induced damage to the physical environment, originating in or
borne in urban areas.

Hence the definition of urban environment includes, but is not limited to “Localised
environmental health problems such as inadequate household water and sanitation and
indoor air pollution”. Hence, urban environment includes:
a) City-regional environmental problems such as ambient air pollution, inadequate
waste management and pollution of rivers, lakes and coastal areas.
b) Extra-urban impacts of urban activities such as ecological disruption and resource
depletion in a city’s hinterland, and emissions of acid precursors and greenhouse
gases.
c) Regional or global environmental burdens that arise from activities outside a city’s
boundaries, but which will affect people living in the city.
Urban Environment shall not encompass
a) Problems in what are sometimes termed the ‘social’, ‘economic’ or ‘cultural’
environment.
b) Natural hazards that are not caused or made worse by urban activity.
c) The environmental impacts of urban activities that are of no concern to humans,
either now or in the future.
By and large, the definition given above is consistent with the perspective on urban
environmental problems taken by most international development agencies (a notable
exception being the Dutch government’s DGIS, which explicitly includes the urban social
environment as a focal area, alongside the urban physical environment).

Generally speaking, broad definitions are employed worldwide to illustrate the importance
of environmental issues but narrower definitions are used to construct environmental
indicators. Still narrower definitions are typically employed to identify environmental
programmes and projects. For example, consider this statement, ‘It is routinely noted
that millions of deaths every year from diarrhoea and respiratory infections could be
prevented by environmental improvements’. Here what should be the environmental
improvements is left ambiguous despite implicitly stating that in abstinence of taking
such steps, so and so will be the adverse consequences of the same. Another example is
268 Law and Policies Pertaining to Environment

that, that during collection and analysis of statistics normally, the household access to
water and sanitation are only sometimes included in lists of environmental indicators.

One of the reasons for doing so could be that most urban environmental projects that
target environmental improvements are generally infrastructure projects and are labelled
as such (i.e. they are rarely part of a donor agency’s ‘environment’ portfolio). This can
easily give the impression that environmental initiatives are responding to a far broader
set of environmental concerns than they actually are, while at the same time ignoring
environmental benefits that can come from ‘non-environmental’ initiatives.

Operationally, a distinction is often made between two different approaches to

environmental improvement investing in ‘stand-alone’ environmental initiatives and
attempting to ‘mainstream’ environmental concerns into all development activities. It
is generally held that ‘mainstreaming’ is ultimately more important. However, at least
in its early stages, mainstreaming tends to define the environmental agenda in terms of
reducing the environmental impacts of development in both urban and rural areas.
Thus, in the urban context, the cross-cutting environmental goal is often expressed in
terms of ‘protecting’ the environment or ‘preventing’ the degradation of urban water,
land and air. Again, this can easily detract from the local environmental threats that are
of particular concern to the urban poor.

Pressure from international community of environmentalists has been an important factor

in convincing international development agencies to address environmental issues. The
international community of environmentalists are usually more concerned with regional
and global issues involving the natural environment than with local environmental health
burdens faced by the urban poor. Again, many a times this reinforces a tendency to
ignore the environmental threats facing the urban poor, as it is a more local agenda
rather than a global one, although it does put pressure on development agencies to
address global environmental issues.

Off-late, as international and local interest and capacity to address urban environmental
problems increasing, new, more locally-driven environmental strategies are also emerging.
Many cities in Europe and America, and increasingly in Latin America, Asia and Africa are
experimenting with city-wide initiatives to address environmental problems. Bilateral
and even more often multilateral donors have been supporting a number of these
initiatives, often called Local Agenda 21s. There is still much to learn from these local
initiatives, including perhaps how best to define urban environmental problems in their
local context. This concept is an amalgamation of various independent processes the
urban environmental movement, the decentralisation of local governance, and Agenda
21 followed by Habitat II in 1996 is aiding in the emergence of better environmental
management and practices. Prior to Habitat II, urban environmental issues were addressed
by very few international efforts, namely the Sustainable City Programme (SCP), the
Urban Management Programme (UMP), the Urban Environment Forum (UEF), the
International Council for Local Environmental Initiatives (ICLEI), the Local Initiative Facility
for Urban Environment (LIFE), and the UNCHS (United Nations Centre on Human
National Environmental Laws 269

Settlements) Best Practices awards. Now things are slowly changing. Newer concepts
and definitions are emerging that bring with them newer management strategies.

Ultimately, while it may be useful to define urban environmental problems in the abstract,
operationally it may be more important to respond to local initiatives in a coherent
fashion, whether or not they fit some abstract definition.

15.3 Urban Problems and Management lnitiatives

“Great cities are planned and grow without any regard for the fact that they are
parasites on the countryside, which must somehow supply food, water, air, and
degrade huge quantities of wastes.”
-Eugene Odum

The below table lists out the various urban problems and the scale of their impact on the
urban environment.
Table 1: Range of city-related environmental hazards by scale and type9

Scale Type of Hazard Some Specific Examples(This list of examples

is not intended to be comprehensive)
Within house and Biological pathogens Water-borne, water-washed (or water-scarce),
its plot airborne, food-borne, vector-borne, including
some water-related vectors (e.g. Aedes
mosquitoes breeding in water containers where
households lack reliable piped supplied).
Chemical pollutants Indoor air pollution from fires, stoves or heaters.
Accidental poisoning from household chemicals.
Occupational exposure for home workers.
Physical hazards Household accidents - burns and scalds, cuts,
falls. Physical hazards from home-based
economic activities. Inadequate protection
from rain, extreme temperatures.
Neighbourhood Biological pathogens Pathogens in waste water, solid waste (if not
removed from the site), local water bodies.
Disease vectors,e.g. malaria-spreading
Anopheles mosquitoes breeding in standing
water or filariasis-spreading Culex mosquitoes
breeding in blocked drains, latrines or septic
tanks.
Chemical pollutants Ambient air pollution from fires, stoves....; also
perhaps from burning garbage if there is no
Contd...

9
Source: Satterthwaite, David (1999), The Links between Poverty and the Environment in Urban Areas
of Africa, Asia and Latin America, United Nations Development Programme (UNDP) and the European
Commission (EC), New York.
270 Law and Policies Pertaining to Environment

regular garbage collection service. Air and water

pollution and wastes from ‘cottage’ industries
and from motor vehicles.
Physical hazards Site-related hazards, e.g. housing on slopes
with risks of landslides; sites regularly flooded,
sites at risk from earthquakes.
Workplace Biological pathogens Overcrowding/poor ventilation aids transmission
of infectious diseases.
Chemical pollutants Toxic chemicals, dust......
Physical hazards Dangerous machinery, noise.....
City (or municipality Biological pathogens Pathogens in the open water bodies (often from
within larger city) sewerage); also at municipal dumps;
contaminated water in piped system.
Chemical pollutants Ambient air pollution (mostly from industry and
motor vehicles; motor vehicles’ role generally
growing); water pollution; hazardous wastes.
Physical hazards Traffic hazards. Violence. ‘Natural’ disasters and
their ‘unnaturally large’ impact because of
inadequate attention to prevention and
mitigation.
Citizens’ access to Important influence on housing quality directly
land for housing and indirectly (e.g. through insecure tenure
discouraging households investing in improved
housing, and discouraging water, electricity
and other utilities from serving them).
Heat island effect & Raised temperatures a health risk, especially for
thermal inversions vulnerable groups (e.g. elderly, very young). Air
pollutants may become trapped, increasing their
concentration and the length of people’s
exposureto them.
City-region Resource degradation Soil erosion from poor watershed management
(or city periphery) or land development or clearance;
deforestation; water pollution; ecological
damage from acid precipitation and ozone
plumes; loss of biodiversity.
Land or water Pollution of land from dumping of conventional
pollution from waste household, industrial and commercial solid
dumping wastes and toxic/hazardous wastes. Leaching
of toxic chemicals from waste dumps into
water. Contaminated industrial sites. Pollution
of surface water and groundwater from sewage
and surface runoff.
Contd...
National Environmental Laws 271

Pre-emption or loss Fresh water for city pre-empting its use for
of resources agriculture; expansion of paved area over good
quality agricultural land.
Links between city Non-renewable Fossil fuel use; use of other mineral resources;
and global issues resource use loss of biodiversity; loss of non-renewable
resources in urban waste streams.
Non-renewable Persistent chemicals in urban waste streams;
sink use greenhouse gas emissions, stratospheric ozone
depleting chemicals.
Overuse of ‘finite’ Scale of consumption that is incompatible with
renewable resources global limits for soil, forests, freshwater....

While there are numerous impacts of human activity on the quality of environment in
urban areas, urban designers and managers have developed many initiatives in design
and management. Different models of environmentally sustainable design, or simply
‘sustainable design’, is followed by urban designers worldwide, based on their local
conditions. Such a design model is the philosophy of designing physical objects, the
built environment, and services to comply with the principles of economic, social and
ecological sustainability.

While the practical application varies among disciplines, some common principles are
uniformly as follows :
♦ Low-impact materials preference is given to non-toxic, sustainable produced or
recycled materials which require little energy to process
♦ Energy efficiency manufacturing processes and produce products which require less
energy are used
♦ Quality and durability longer-lasting and better-functioning products will have to
be replaced less frequently, reducing the impacts of producing replacements
♦ Designing for reuse and recycling products, processes, and systems are be designed
for performance in a commercial afterlife
♦ Designers now a days follow design impact measure for total carbon footprint and
life-cycle assessment for any resource used.
♦ Sustainable design standards and project design guides are also increasingly available
and are vigorously being developed by a wide array of private organisations and
individuals. There is also a large body of new methods emerging from the rapid
development of what has become known as ‘sustainability science’ promoted by a
wide variety of educational and governmental institutions.
♦ Biomimicry The term refers to redesigning industrial systems on biological lines.
♦ Service substitution urban managers are opting for shifting the mode of consumption
from personal ownership of products to provision of services which provide similar
272 Law and Policies Pertaining to Environment

functions, e.g., departments encourage and make people aware of the advantages
of using carpooling or carsharing service to go to a common destination than from a
private automobile. Such a system promotes minimal resource use per unit of
consumption (e.g., per trip driven).
♦ Renewability materials are being preferred from nearby (local or bioregional),
sustainably managed renewable sources that can be composted when their usefulness
has been exhausted.
♦ Robust eco-design robust design principles are applied to the design of a pollution
sources.

Bill of Rights for the Planet

A model of the new design principles necessary for sustainability is exemplified by
the “Bill of Rights for the Planet” or “Hannover Principles” - developed by William
McDonough Architects for EXPO 2000 that was held in Hannover, Germany.
The Bill of Rights
♦ Insist on the right of humanity and nature to co-exist in a healthy, supportive,
diverse, and sustainable condition.
♦ Recognise Interdependence. The elements of human design interact with and
depend on the natural world, with broad and diverse implications at every scale.
Expand design considerations in recognising even distant effects.
♦ Respect relationships between spirit and matter. Consider all aspects of human
settlement including community, dwelling, industry, and trade in terms of existing
and evolving connections between spiritual and material consciousness.
♦ Accept responsibility for the consequences of design decisions upon human well-
being, the viability of natural systems, and their right to co-exist.
♦ Create safe objects of long-term value. Do not burden future generations with
requirements for maintenance or vigilant administration of potential danger due
to the careless creations of products, processes, or standards.
♦ Eliminate the concept of waste. Evaluate and optimise the full life-cycle of
products and processes, to approach the state of natural systems in which there
is no waste.
♦ Rely on natural energy flows. Human designs should, like the living world, derive
their creative forces from perpetual solar income. Incorporate this energy
efficiently and safely for responsible use.
♦ Understand the limitations of design. No human creation lasts forever and design
does not solve all problems. Those who create and plan should practice humility
in the face of nature. Treat nature as a model and mentor, not an inconvenience
to be evaded or controlled.
Contd...
National Environmental Laws 273

♦ Seek constant improvement by the sharing of knowledge. Encourage direct and

open communication between colleagues, patrons, manufacturers and users to
link long term sustainable considerations with ethical responsibility, and re-establish
the integral relationship between natural processes and human activity.
These principles were adopted by the World Congress of the International Union
of Architects (UIA) in June 1993 at the American Institute of Architects’ (AIA)
Expo 93 in Chicago. Further, the AIA and UIA signed a “Declaration of
Interdependence for a Sustainable Future.” In summary, the declaration states
that today’s society is degrading its environment and that the AIA, UIA, and their
members are committed to
♦ Placing environmental and social sustainability at the core of practices and
professional responsibilities
♦ Developing and continually improving practices, procedures, products, services,
and standards for sustainable design
♦ Educating the building industry, clients, and the general public about the
importance of sustainable design
♦ Working to change policies, regulations, and standards in government and business
so that sustainable design will become the fully supported standard practice
♦ Bringing the existing built environment up to sustainable design standards
In addition, organisation known as the Interprofessional Council on Environmental
Design (ICED), a coalition of architectural, landscape architectural, and engineering
organisations, developed a vision statement in an attempt to foster a team approach
to sustainable design. ICED states, “The ethics, education and practices of our
professions will be directed to shape a sustainable future. . . . To achieve this vision
we will join . . . as a multidisciplinary partnership.”

The conceptual problems that urban designers and managers face today are enumerated
below:
a) Waste Prevention - Experience has now shown that there is no completely safe
method of waste disposal. All forms of disposal have negative impacts on the
environment, public health and local economies. Landfills have contaminated drinking
water. Garbage burned in incinerators has poisoned air, soil and water. The majority
of water treatment systems change the local ecology. Attempts to control or manage
wastes after they are produced fail to eliminate environmental impacts. The toxic
components of household products pose serious health risks and aggravate the trash
problem.

One of the best ways to avoid environmental harm from waste is to prevent its
generation. Pollution prevention means changing the way activities are conducted
and eliminating, or at least reducing the source of the problem. It does not mean
doing without, but doing things differently. For example, preventing waste pollution
274 Law and Policies Pertaining to Environment

from litter caused by disposable beverage containers does not mean doing without
beverages; it just means using refillable bottles.

Any resource-related development is going to have two basic sources of solid waste
 materials purchased and used by the facility and those brought into the facility
by visitors. The following waste prevention strategies apply to both, although
different approaches will be needed for implementation
 use products that minimise waste and are nontoxic
 compost or anaerobically digest biodegradable wastes
 reuse materials onsite or collect suitable materials for offsite recycling
In planning for facilities, a comprehensive design strategy is needed for preventing
generation of solid waste. A good garbage prevention strategy would require that
everything brought into a facility be recycled for reuse or recycled back into the
environment through biodegradation. This would mean a greater reliance on natural
materials or products that are compatible with the environment.

b) Sustainable urban architecture - Sustainable architecture is the design of sustainable

buildings. Sustainable architecture attempts to reduce the collective environmental
impacts during the production of building components, during the construction
process, as well as during the life-cycle of the building (heating, electricity use,
carpet cleaning etc.) This design practice emphasizes efficiency of heating and
cooling systems; alternative energy sources such as solar hot water, appropriate
building siting, reused or recycled building materials; on-site power generation -
solar technology, ground source heat pumps, wind power; rainwater harvesting for
gardening, washing and aquifer recharge; and on-site waste management such as
green roofs that filter and control stormwater runoff. This requires close cooperation
of the design team, the architects, the engineers, and the client at all project
stages, from site selection, scheme formation, material selection and procurement,
to project implementation.

c) Sustainable landscape and garden design - Sustainable landscape architecture is a

category of sustainable design and energy efficient landscaping concerned with the
planning and design of outdoor space. Design techniques include planting trees to
shade buildings from the sun or protect them from wind, using local materials, on-
site composting and chipping to reduce green waste hauling, and also may involve
using drought-resistant plantings in arid areas and buying stock from local growers to
avoid energy use in transportation. A very important aspect of it is plantation of
local species of plants and trees rather than exotic and ornamental flora. Areas of
the garden and landscape can also be allowed to grow wild to encourage bio-diversity.

d) Sustainable graphic design - This concept considers the environmental impacts of

graphic design products (such as packaging, printed materials, publications, etc.)
throughout a life cycle that includes raw material; transformation; manufacturing;
National Environmental Laws 275

transportation; use; and disposal. Techniques for sustainable graphic design include
reducing the amount of materials required for production; using paper and materials
made with recycled, post-consumer waste; printing with low-VOC inks; and using
production and distribution methods that require the least amount of transport.

e) Sustainable Agriculture - Such agriculture adheres to three main goals namely,

environmental health, economic profitability as well as socio-economic equity. A
variety of philosophies, policies and practices have contributed to these goals.
People in many different capacities, from farmers to consumers, have shared this
vision and contributed to it. There are strenuous discussions among others by the
agricultural sector and authorities so as to whether existing pesticide protocols and
methods of soil conservation adequately protect the topsoil and wildlife or not.
Doubt has risen if these are sustainable, and if agrarian reforms would permit an
efficient agriculture with fewer pesticides, therefore reducing the damage to the
ecosystem.

f) Domestic machinery and furniture - Automobiles, home appliances and furniture can
be designed for repair and disassembly (for recycling), and constructed from recyclable
materials such as steel, aluminium and glass, and renewable materials, such as Zelfo,
wood and plastics from natural feedstocks. Careful selection of materials and
manufacturing processes can often create products comparable in price and
performance to non-sustainable products. Even mild design efforts can greatly
increase the sustainable content of manufactured items.

g) Improvements to heating, cooling, ventilation and water heating - This can be

achieved by the various methods such as absorption refrigerator, annualised
geothermal solar, earth cooling tubes, hot water recycling, passive cooling, renewable
heat, seasonal thermal storage, solar heaters and ACs, etc.

h) Disposable products - Detergents, newspapers and other disposable items can be

designed to decompose, in the presence of air, water and common soil organisms.
The current challenge in this area is to design such items in attractive colours, at
costs as low as competing items. Since most such items end up in landfills, protected
from air and water, the utility of such disposable products is debated.

i) Eco fashion and home accessories - Creative designers and artists are perhaps the
most inventive when it comes to upcycling or creating new products from old waste.
A growing number of designers upcycle waste materials such as car window glass and
recycled ceramics, textile offcuts from upholstery companies, and even
decommissioned fire hose to make belts and bags. Whilst accessories may seem
trivial when pitted against green scientific breakthroughs; the ability of fashion and
retail to influence and inspire consumer behaviour should not be underestimated.
Eco design may also use bi-products of industry, reducing the amount of waste being
dumped in landfill, or may harness new sustainable materials or production techniques
e.g. fabric made from recycled PET plastic bottles or bamboo textiles.
276 Law and Policies Pertaining to Environment

j) Sustainable use of energy - Sustainable technology in the energy sector is based on

utilising renewable sources of energy such as solar, wind, hydro, bioenergy, geothermal
and hydrogen. Wind energy is the world’s fastest growing energy source. It is captured
through the use of wind turbines that generate and transfer electricity for utilities,
homeowners and remote villages. Solar power can be harnessed through
photovoltaics, concentrating solar, or solar hot water and is also a rapidly growing
energy source.

The availability, potential, and feasibility of primary renewable energy resources

must be analysed early in the planning process as part of a comprehensive energy
plan. The plan must justify energy demand and supply and assess the actual costs and
benefits to the local, regional, and global environments. Responsible energy use is
fundamental to sustainable development and a sustainable future. Energy management
must balance justifiable energy demand with appropriate energy supply. The process
unites energy awareness, energy conservation, and energy efficiency with the use
of primary renewable energy resources.

k) Sustainable water technologies - Sustainable water technologies have become an

important industry segment with several companies now providing important and
scalable solutions to supply water in a sustainable manner.

Beyond the use of certain technologies, Sustainable Design in Water Management also
consists very importantly in correct implementation of concepts. Among one of these
principal concepts is the fact normally in developed countries 100% of water destined for
consumption, that is not necessarily for drinking purposes, is of potable water quality.
This concept of differentiating qualities of water for different purposes has been called
“fit-for-purpose”. This more rational use of water achieves several economies, that are
not only related to water itself, but also the consumption of energy, as to achieve water
of drinking quality can be extremely energy intensive for several reasons.

15.4 Urban Environmental Management: lnitiatives by lndia

For a developing agro based country like India, urbanisation is a necessity. Most developed
nations in the modern world have achieved growth through industrialisation. This growth
in most of the present developed countries have happened over the past 30-40 years.
While industrialisation (leading to urbanisation) in India is happening at a very rapid pace
to support the large population in a very short span of time, this rapid pace of urbanisation
has its own challenges which have resulted in pockets of growth and unidirectional
migration in most of our cities. The cities in India are the focal points of concentrated
growth that is based more on lure of opportunities available rather than the actual
facilities. This has resulted urban sprawl on a large scale.

Slums, inadequate and inferior basic facilities are a result of this unplanned rapid
urbanisation, clearly indicating the failure of the infrastructure planning mechanism
which has a limited carrying capacity. Urban Managers with proper utilisation of economics
of scale has a major role to play in cities; by decentralisation and creation of more
National Environmental Laws 277

opportunities in other locations. An immediate example of decentralisation is the concept

of SEZ, which are ideally located near a city, these help in decongesting a city at the
same time creating new opportunities. This also helps in reducing the pressures on existing
infrastructure to a certain extent.

For development activities planners always rely on available best practices as well as
learn from existing development of other cities, this helps in avoiding reinventing the
wheel. But no two cities can be compared to one another due to each cities own cultural,
geographical, population diversity. Hence the role of an urban planners become critical
in visualising the forecasting the problems and identifying the best practices that can
suit the city and at the same time one that meets the effective needs of the city.
Recognising the need for a better urban planning and management and to create better
urban managers at all levels, India has developed many initiatives.

Initiatives at international level- India’s status as signatory to a number of environment-

related agreements has encouraged better environmental performance in some areas,
notably in management of hazardous wastes, emissions of pollutants and Greenhouse
Gases by motor vehicles, in polluting industrial processes and in CFCs, all of which have
significant bearing on the urban environment.

Initiatives at national level - A legislative milestone in governance is the Constitution

74th Amendment Act (1992), which devolves significant functions and powers to Urban
Local Bodies, especially in respect of protection of environment and ‘promotion of
ecological aspects’. This amendment has created possibilities of building institutional
mechanisms to involve citizens more closely in local governance, and has also led to
some innovative urban finance mechanisms being attempted. The National Housing and
Habitat Policy, 1998, significantly lays down the role of all the stakeholders in achieving
the goal of providing shelter to all. Another important legislative initiative with far-
reaching implications, particularly in the area of habitat and shelter, was the repeal in
1999 of the Urban Land (Ceiling and Regulation) Act of 1976. Development of urban
infrastructure is an activity that is concomitant to the process of urbanization.
Development of urban infrastructure is an integral part of the central government’s urban
initiatives especially in Missions such as the Smart Cities, AMRUT, HRIDAY, and Swachh
Bharat.

The Constitution and its 74 th Amendment - The 74th Amendment to the Constitution of
India was inspired by the need to give constitutional status to urban local bodies for
facilitating local governance by them in urban areas.10 Accordingly, the amendment provided
for constitution of Municipality which included (a) Nagar Panchayat- for a transitional
area i.e. area in transition from a rural area to an urban area, (b) Municipal Council for
smaller urban area, and (c) Municipal Corporation for a larger urban area. Notably, the
amendment defined these Municipalities as institutions of self-government.11 Therefore,
the Municipalities were to be given powers and authorities ‘as may be necessary to

10
The amendment introduced Part IXA to the Constitution.
11
Articles 243-P and 243-Q of the Constitution of India.
278 Law and Policies Pertaining to Environment

enable them to function as institutions of self-government’ and which included preparation

of plans for economic development and social justice as well as a number of functions
listed in the 12th Schedule of the Constitution. These functions include -
♦ Urban planning including town planning
♦ Regulation of land use and construction of buildings
♦ Planning for economic and social development
♦ Slum improvement and upgradation
♦ Urban poverty alleviation
♦ Provision of urban amenities and facilities such as parks, gardens and playgrounds
It is also pertinent to note here that the amendment provided for constitution of district
Planning Committee to consolidate the plans prepared by the Panchayat and the
Municipalities in the district to prepare a draft development plan for the district as a
whole.12 Also, as per the amendment there shall be constituted in every metropolitan
area, a Metropolitan Planning Committee to prepare a draft development plan for the
metropolitan areas as a whole.13 The amendment defined a metropolitan area as an area
having a population or ten lakhs or more, comprised in one or more districts and consisting
of two or more Municipalities or Panchayats or other contiguous areas, specified by the
Governor by public notification to be a Metropolitan Area. In the backdrop of this
constitutional amendment with far reaching implications, the role of the urban local
bodies - as interpreted and determined by the courts can also be examined.

Prior to 1992, Indian local governments did not have a constitutional status but only a
statutory status under state law. Therefore, the governance of urban areas was directly
under the control of the state government. This changed with the enactment of the 74th
Constitution Amendment Act, 1992. For the first time in the history of urban governance,
Urban Local Bodies (ULBs) were granted a constitutional position as the third tier of
government.

These bodies were given a constitutional outline for conducting regular elections, powers
and financial devolution. The Amendment assigned local bodies with the responsibility
of providing basic services.
Urban Local Bodies (ULBs) are classified depending on the population
♦ Nagar Panchayats for ‘urban’ areas
♦ Municipal Councils for smaller urban areas
♦ Municipal Corporations for metropolitan areas
“In many States local bodies have become weak and ineffective on account of a
variety of reasons, including the failure to hold regular elections, prolonged

12
Article 243-ZD.
13
Article 243-ZE.
National Environmental Laws 279

supersession and inadequate devolution of powers and functions. As a result,

Urban Local Bodies are not able to perform effectively as vibrant democratic
units of self-government.”
-Constitution Amendment Act, 1992

Municipalities were designed to incorporate elected representatives, experts and the

Municipal Chairperson. They were awarded a five-year term with re-election scheduled
for within 6 months of dilution. Towards this, a state-level Election Commission was
established.

The 74th Constitution Amendment Act also sought to institute the Directive Principle of
decentralisation in the urban context. ULBs were granted powers and responsibilities in
terms of preparation of plans, implementation of development schemes, and
administration of taxes. A state level Finance Commission was established to review the
finances of ULBs falling within its purview.

In addition to these three tiers of local government, two other important organisational
structures - the District Planning Committee and the Metropolitan Planning Committee -
have been created under the Constitution. The 74th Constitution Amendment Act also
added the ‘Twelfth Schedule’ to the Constitution. The Schedule (Article 243W) enumerates
the functional responsibilities that the municipalities are meant to shoulder.

Today, there are around 3,700 ULBs with 100 municipal corporations, 1,500 municipal
councils and 2,100 Nagar Panchayats, besides 56 cantonment boards. While these figures
might be indicative of a decentralising policy environment, a cursory survey of
contemporary city-level institutions throws light of how much ground is yet to be covered.

A study by a prominent research institute in Delhi assessed the impact of the 74th
Constitution Amendment Act in twenty-seven states and one union territory. It concluded
that, municipalities in India are confronted with a number of problems, such as inefficiency
in the conduct of business, ineffective participation by the weaker sections of the
population in local governance, weak financial condition, lack of transparency in the
planning and implementation of projects, etc., which affect their performance adversely.”

Initiatives at local level - The various notifications issued by the Government, are being
progressively implemented in several urban areas. Besides this, a few cities have published
annual reports on the state of their environment. Partnerships between Urban Local
Bodies, NGOs, and stakeholder groups and, in some cases corporate entities, in critical
aspects of environment such as solid waste management, reduction of industrial pollution,
water harvesting, urban greening and slum improvement have emerged in some places.
Initiatives at varying stages of fruition are on to corporatize urban services in order to
make them functionally and financially more efficient and accountable. Some, such as
slum-networking and corporatisation of water supply and sanitation, seek to integrate
cross-sectoral demands and needs, for example between the industrial and the domestic
sectors. There have also been efforts by corporate providers of some urban services
(notably electric supply) to promote reduction of waste and introduction of efficient
280 Law and Policies Pertaining to Environment

practices by shifting focus from Supply Side to Demand Side Management. The Local
Agenda 21 mechanism, emanating from Rio, does not appear to have worked as well in
Indian urban centres as it is reported to have worked in some other parts of the world.
But wherever stakeholder groups with focused agendas have acted, the outcomes have
often been promising, in keeping with the spirit of Local Agenda 21 objectives. Among
the various post-Rio urban initiatives at the global level, the Sustainable Cities Programme
(UNCHS-UNEP) is being implemented with varying degrees of intensity and effectiveness
in five major cities, with official as well as spontaneous actions in the areas of
environmental sustainability through legal, infrastructural and environmental
management actions; social equity through affirmative policies and rights movements;
economic growth with redistribution through poverty alleviation, housing and shelter
programmes; and political empowerment through decentralisation of urban governance
and NGO-led capacity-building activities. Some cities have received the UNCHS Best
Practice Awards for particular projects. However, all these achievements have been
isolated events, not part of a countrywide process of mobilisation to address urban
environmental concerns.

THE ROLE OF THE LOCAL DEVELOPMENT AUTHORITIES- The fact that the municipalities
have a mandatory duty to protect the people from environmental hazards has been
repeatedly reaffirmed by number of judgments. The most important case in this context
is that of Municipal Corporation, Ratlam v. Vardhichand.14 The case lays down the guidelines
identifying the primary responsibilities of local bodies for sanitary environment
management while clarifying that the plea of financial inability is totally untenable for
not discharging these responsibilities. Therefore, cleaning public streets and sewers,
removing filth, noxious and offensive matters, from the spaces vested in the Municipal
or not, and providing drainage systems cannot be evaded if the municipality is to justify
its existence.

The Ratlam case also read the law of public nuisance into the Code of Criminal Procedure
and this had a major impact on subsequent cases where municipalities’ role was
questioned. The facts of Ajay Construction v. Kakateeya Nagar Co-op Housing Society
Ltd,15 exemplifies the point in unmistakable terms. In this case, contrary to the conditions
for adequate septic tanks and sewerage system set by the Urban Development Authority,
the municipal council permitted connection of sewerage lines of a multi-storeyed building
to an underground pipeline meant only for rain water and cattle wash. The court held
that those who were engaged in construction, especially of multi-storeyed flats, had
absolute liability for committing nuisance by letting out effluents from the drainage
system. Accordingly, the court directed the municipality to disconnect the line and the
builders to complete construction of septic tanks and soakage pits within one month.
The observation of the court in Madhvi v. Thilakan 16 in an action against nuisance
created by an automobile workshop in a residential area provides the strong rationale

14
AIR 1980 SC 1622
15
AIR 1991 AP 294
16
1988 (2) Kerala LT 730.
National Environmental Laws 281

in these cases. The court held in eloquent terms that ‘We recognise every man’s home
to be his castle which cannot be invaded by toxic fumes, or tormenting sounds. This
principle expressed through law and culture, consistent with nature’s ground ruled for
existence, has been recognised in Section 133 (1) (b) of the Code of Criminal Procedure.’
In another case, it was held that the dumping of garbage is nuisance. Where Municipal
Corporation was dumping garbage at a particular place in residential colony, the
corporation was directed to clear all garbage and was also reminded that they are under
statutory obligation to clear the garbage so as to keep the city clean. Likewise, where
a restaurant had been functioning in mainly residential premises, it was held that nuisance
caused by fumes smoke from the kitchen amounts to air pollution and directions were
given for removal of such business.17 The point was emphasized in stronger terms by
Rajasthan High Court,18 which held that Article 51A (g) of the Constitution though termed
as a duty, gives citizens right to approach the court for direction to the municipal
authorities to clean the city. Maintenance of health, sanitation and environment falls
within Article 21 thus rendering the citizens, the fundamental right to ask for affirmative
action.

15.5 Urban Environmental Problems in lndia

“Civilization in the real sense of the term consists not in the multiplication, but
in the deliberate and voluntary reduction of wants.”
-Mahatma Gandhi

Urbanisation in India is characterised by unplanned and uncontrolled growth leading to

urban sprawl. Land use planning and the pattern of development, relationship between
residential areas and industrial, commercial and office complexes have a considerable
impact on the environment. Most of all, appropriate infrastructure provision has not
kept pace with economic growth. Consequently, the environment of urban areas,
particularly of larger cities, has been deteriorating rapidly. Urban local bodies (ULBs) in
India are faced with a plethora of issues that directly impact their capacity to manage
municipal service delivery while simultaneously addressing environmental concerns.
These include
♦ Multiplicity of organisations;
♦ Inadequate resource mobilisation;
♦ Lack of capability to adopt proper corporate planning;
♦ Lack of information and information systems; and
♦ Inadequate monitoring of policy implementation.
Where the municipalities are struggling to provide basic amenities to citizens, issues of
environmental pollution or hazard management are not accorded priority till matters
reach the proportions of a crisis.
17
Arun Sayal v. State of West Bengal AIR 1998 Cal 331.
18
LK Koolwal v. State of Rajasthan AIR 1988 Raj 2.
282 Law and Policies Pertaining to Environment

People must be placed at the centre of planning concerns. The quality and efficiency of
infrastructure play a major role in determining the quality of urban environment, and
consequently the quality of life of citizens. Sustainable urbanisation is not possible
without appropriate physical, economic, social and environmental infrastructure. Such
infrastructure includes water and sanitation, public health and education facilities,
recreational spaces, open spaces and transport.
♦ Scarcity of potable water is an emerging crisis area. Approaches to addressing it,
such as new and better methods of reduction of waste, managing demand, harvesting
rainwater, recharging aquifers, and recovery of water from sewage, sullage and
industrial effluents should be seriously explored.
♦ The existence of a number of coastal urban settlements also calls for exploration of
viable desalination technologies to augment water supply.
♦ Inherently interdependent infrastructural services, such as water supply and sanitation,
must be integrated to derive maximum equity, performance efficiency and investment
returns. Integrated planning of urban water supply and sanitation networks is an
important first step towards addressing water scarcity.
♦ The provision of adequate water and sanitary facilities for the urban poor must be
a high priority item on the agenda for urbanisation.
♦ Slum Networking Programmes in some Indian cities such as Indore and Vadodara
have demonstrated that a sewerage network servicing the most deprived pockets
of the city can in effect service the entire city economically. (Slums are usually
spread across the city in low-lying areas which naturally attract, under gravity,
flow from the entire city; laying sewers mainly along natural gradients minimises
both their depth below ground level and the need for pumping stations, while
extending the area serviced to include no slum pockets built on higher ground). The
gains of and learnings from such initiatives must be consolidated, improved upon
and applied in other cities.
♦ The emphasis in the role of public health services should progressively shift from
curative to preventive and positive health care. A significant proportion of morbidity
in society is environment-related. It is more appropriately addressed through
emphasis on education and awareness of the served population and empowering it
to participate in managing preventive health care related to environmental
sanitation and hygiene.
♦ The focus of urban transport must shift from private to public modes, and the shift
made viable with effective incentives and disincentives (including investment in
public transport reinforced by cross-subsidisation from private transport, modification
of land-use and building density regulations, Floor Space Index, vehicular access
restriction and other regulations). According to some estimates, the urban poor
spend as much as 25 per cent of their income on essential transport. It is necessary
for urban policy and planning to provide them access to affordable transport.
National Environmental Laws 283

♦ Ways and means to reverse the trend of sacrificing pedestrian thoroughfares to

facilitate vehicular traffic should be explored. Traffic arteries and parked vehicles
must not dominate over the urban fabric at the cost of pedestrian and civic spaces.
♦ Use of bicycles must be encouraged where possible, with infrastructure (such as
dedicated bicycle tracks) to facilitate it and incentives to encourage it.
♦ Travel reduction strategies must be explored and encouraged through the urban
planning process. Intermediary public transport (e.g. taxis and autorickshaws) must
be regulated to make it complementary to and not a substitute for public transport.
♦ While progressively stringent emission standards for new motor vehicles entering
the market will fulfil part of objective of reducing pollution, this achievement must
be reinforced and sustained by evolving and enforcing similarly progressive standards
for the maintenance of vehicles in use, and the creation of appropriate monitoring,
training and certification mechanisms towards this end.
♦ For large urban agglomerations, the feasibility of providing appropriate mass-transit
systems must be explored and translated into ground reality. In places where the
rudiments of such systems already exist (Mumbai, Chennai, Kolkata) they must be
extended and updated using state-of-the-art technology). The town planning and
management interventions necessary to make a success of mass-transit systems must
also be actively pursued.
♦ New and emerging information and communication technologies are leading to a
gradual decrease in the premium on location in urban areas, making the distinction
between ‘place of work’ and ‘place of residence’ less critical to urban dynamics and
form. They have the potential to effect changes in land use and traffic patterns.
Transport and land use planning must harness this potential to influence the course
of sustainable urbanisation.

Greening of GDP19 - One of the first projects in India on natural resource accounting,
completed in 1994 called ‘adjusting gross domestic product for depreciation of coal,
soil, and forests’ was developed by TERI. This study provided perhaps the first
empirical estimates of natural resource degradation in India. The study estimated
the value of depletion of coal, forest and soil reserves in the country. In an ongoing
effort by the Green Accounting for Indian States Project (GAISP), Green Indian States
Trust (GIST), a Chennai based NGO developed the green report in which proper
accounting of forest resources was done. Under GAISP, the value of timber, carbon,
fuelwood and non-timber forest products in India were studied to evaluate the gross
state domestic product and a monograph for the same was prepared and published.
According to GAISP, states should use Environmental Adjusted State Domestic Product
(EASDP) to evaluate the Net State Domestic Product (NSDP) since it takes into account
changes arising from environmental degradation. The gap between NSDP and EASDP
Contd...

19
Soumya Bhowmick, “Greening the GDP: Valuing Natural Capital in India”, ORF Issue Brief No. 282,
March 2019, Observer Research Foundation
284 Law and Policies Pertaining to Environment

indicates the extent of environmental degradation caused by economic activity like

illegal logging.

According to the Green Accounts report, if the ratio of EASDP to NSDP is less than
one, the economy is doing well in terms of environment. But if it is higher, then it
means that economic growth has come at the expense of environmental degradation
in these states. There have also been several efforts towards developing natural
resource accounting for the forestry sector in India. Accounting for forest resources
in the Yamuna basin was undertaken by Kanchan Chopra and Gopal Kadekodi from
Institute of Economic Growth in 1997. In December 2001 Institute of Economic Growth
again under Kanchan Chopra, B.B. Bhattacharya and Pushpam Kumar has calculated
the contribution of forestry sector to GDP in India. TERI followed this up with ‘Natural
resources accounting in the Yamuna sub-basin’ in which it prepared accounts for
minerals, energy, and emissions; assessed health impacts of air pollution; and
analyzed the environmental impact of agricultural activities. The other participating
institutions in the project were National Environmental Engineering Research Institute
(NEERI), Institute of Economic Growth (IEG), Centre for Atmospheric Sciences (CAS)
in IIT (Delhi), Indian Institute of Public Administration (IIPA), Operations Research
Group (ORG, Vadodara), Centre for Interdisciplinary Studies of Mountain and Hill
Environment (CISHME, Delhi University), World Wide Fund for Nature and Kalpavriksh
(New Delhi).

An unpolluted, healthy and aesthetically satisfying environment, natural as well as

built, conducive to overall well-being, is a fundamental right of every citizen. In urban
areas health, in its broadest sense of physical, mental and spiritual well-being, is to a
great extent dependent on the access of the citizen to environmental assets which
support such well-being.

♦ Clean air and water, and places for recreation and relaxation in the public domain
(such as waterfronts, parks, lakes, wooded areas, hills etc.) are necessary components
of a sustainable urban environment, and must be provided for in the planning for
that environment, both in terms of conserving existing assets and developing new
ones.

♦ Tree plantation in urban open spaces (common and waste lands, lands subject to
inundation, lands on the margins of roads and railway tracks etc.) should be
encouraged, to serve (a) the biomass fuel needs of the poor who, for want of
affordable alternatives, use toxic forms of fuel such as rubber tyres and plastics; (b)
as green cover; (c) as a deterrent to environmentally incompatible encroachment;
(d) as livelihood opportunity for the poor (in partnership with various stakeholders
in the urban environment); and (e) as a protective measure against the destruction
of forests to meet urban fuel wood demands.

♦ Clear policies, and planning and implementation mechanisms, should be laid down
for the protection and conservation of urban water bodies.
National Environmental Laws 285

♦ Monuments, precincts and civic artefacts forming the cultural and historical heritage
of urban areas, which are important as aesthetic features of the built environment
and as symbols and rallying points of civic pride, must be conserved and protected
from encroachment and vandalism, awareness about them promoted among citizens
and visitors, and ways and means explored to involve citizens as well as urban local
bodies in this process.

The conceptual challenges that India’s urban environment faces today are numerous.
Below is listed a few of such problems along with some of the initiatives towards tackling
the same

a) Land Management- Cities are often located in prime agricultural areas. If this land
is converted for urban uses, this puts additional pressure on nearby areas that may
be less suitable for agriculture. Urbanisation in coastal areas often leads to the
destruction of sensitive ecosystems and can also alter the hydrology of coasts and
their natural features such as mangrove swamps, reefs and beaches that serve as
barriers to erosion and form important habitats for species. Low to medium density
residential areas (urban sprawl) around urban centres are common in the developed
world. Well-developed infrastructure and the increasing use of the car have facilitated
this trend. Urban sprawl has an especially damaging effect on the environment
associated with the increase in use of private motorised transport. Furthermore,
low density development occupies proportionally larger areas of land per capita.

Statutory Measures for Land Use and Planning- An important aspect of land pollution
which requires statutory regulation is the land use and planning. Management of
land use has, in fact, been a major cause of haphazard urbanisation and deforestation,
dereliction and despoliation of landscapes and increase in waste lands. In India, land
use is a state subject under entry 18 of the state list in the seventh schedule of the
constitution; hence, numerous state legislations dealing with urban land use and
planning have been enacted.

Land use in urban areas involve complex questions of planning, housing, development
and associated questions of acquisition of land, sanitation, public health,
transportation and the supply of other basic civic amenities. On this aspect there
exists many state legislations. For instance, a number of states have enacted laws
for zoning and town planning as a part of urban development programmes.
Improvement trusts have been created by statutes for urban planning. The earliest
attempt at devising a machinery to deal with the problems of urban growth were
made by the Bombay Improvement Trust Act, 1898 which set up an Improvement
Trust for the premier city. This was followed by Calcutta Improvement Act, 1911 and
the latter by Omnibus Act for the then United Province of Agra and Oudh. The Uttar
Pradesh Town Improvement Act, 1919 was extended to Delhi and was the basis for
improvement Trusts Act in Punjab. Bangalore had an improvement trust under a
special Act in 1945 and Trivandrum in 1960. The Howrah and Madhya Bharat Town
Improvement Acts were passed in 1956 and the latter was replaced by the Madhya
Pradesh Town Improvement Trust Act, 1960. All these acts except the Bombay Act
286 Law and Policies Pertaining to Environment

are still in force and the Improvement Trusts continue to function in a large number
of towns and cities. The basic structure and functions of these trusts are practically
the same. The trusts have about 5-10 members out of which 3-4 are usually nominated
by the Municipal Councils of the city concerned, while the Chairman and other
members are appointed by the State Government and they include technical officers
such as the Director of Town Planning or Public Health Engineers. The Improvement
Trusts have functioned purely as executive agencies for acquisition and development
of land within the city limits or at the periphery under limited town expansion
schemes. They generally undertake planning and development of isolated
neighbourhood without drawing up an overall master plan for the growing city with
a city-wise system of communications and zoning of land uses. The developments of
water supply and sewage facilities, etc., however, are responsibilities of the municipal
authorities.

The Improvement Trusts have now been replaced by the Development Authorities,
for example in Delhi the Improvement Trust was replaced by the Delhi Development
Authority. The Development Authorities are vested with the responsibility of
enforcement of master plan and undertaking all development activity in accordance
with the plan. The municipal corporations acting under their respective statutes are
responsible for the sanitation and supply of some civic amenities and facilities.
Apart from the above mechanism for urban planning, there existed town planning
Acts in many of the former provinces even prior to the independence. For example,
the Bombay Town Planning Act of 1917 and the Madras Town Planning Act of 1919
dealt with land use and development under which it was possible for a town planning
scheme to be prepared for any urban area either by state government or by a local
authority and as a part of schemes, zoning regulations were framed and enforced.
But as the town planning schemes were for parts of a town or city and rarely for the
whole town, zoning was partial and not comprehensive either in scope or extent.
The control over buildings was mainly through building bye-laws which enabled
partial zoning to be exercised on the grounds of public health, sanitation and public
nuisance.

In the post-independence period there has been a concerted effort on the part of
governments to enact comprehensive planning legislation which would enable zoning
to be applied more systematically and effectively to achieve the objects of the
comprehensive plan and at the same time in conformity with the rights if property
ownership conferred by the Constitution. As a part of planning process a model
town and country planning law was approved by the second conference of the state
Ministers on Town and Country Planning held in 1962 and it was commended for
adoption by the state governments. This model Act did help to influence thinking in
the states and a number of states have legislated town and country planning acts on
these lines. For instance, the Maharashtra Regional and Town Planning Act, 1966, the
Mysore Town and Country Planning Act, 1961 are some of the legislations. Similar
legislations are in existence in some other state as well. Under these Acts the state
governments in order to secure the orderly development and use of any area may
National Environmental Laws 287

declare that area to be controlled area and issue directions concerning the use of
land, the division of any site into areas for the erection of buildings, the allotment
or preservation of land for services or utilities, the development of any site for a
township, excavation, access to roads and any other matters necessary for orderly
development. The responsibility for enforcing such legislations usually vests in the
city administration or a specialist planning authority. The executive authorities are
empowered under these acts to conduct surveys for the preparation of regional
plans or sectorial plans. After the preparation of final plans of development, a
restriction on the development or the use of land without permission and in non-
conformity of the plans is prescribed. The state governments can acquire the land
for the purpose of development of town expansion or town improvement or for
public utility services under the provisions of the Right to Fair Compensation and
Transparency in Land Acquisition, Rehabilitation and Resettlement Act, 2013 and in
conformity with the constitutional requirements of the acquisition of property or
land. Unauthorised development of use land otherwise than in conformity with the
development plan or in contravention with the permission granted, entail penalties
of imprisonment or fines under the town and country planning legislations. The
authorities under these Acts are conferred with a power to require the removal of
unauthorised constructions or development.
Besides the zoning and planning laws the state legislatures have enacted legislations
for human settlement particularly dealing with the improvement of slum areas with
a view to provide for better urban development. For instance, there are the
Andhra Pradesh (Andhra Area) Slum Improvement (Acquisition of Land) Act, 1956,
The Maharashtra Slum Areas (Improvement Clearance and Redevelopment) Act,
1971, The West Bengal Slum (Clearance and Rehabilitation of Slum Dwellers) Act,
1958 and the acts of Mysore, Punjab and Haryana, Uttar Pradesh, of 1958, 1961 and
1962 respectively.
It is noteworthy that despite having laws on urban planning and slum developments,
the urban scenario in India presents a picture of unplanned and haphazard
development, the agencies or local bodies that are empowered to undertake planning
functions have shown lack of will to exercise powers within their respective
jurisdiction. Consequently, in many of the growing cities and towns, actual urban
growth or development has left their frozen legal limits somewhere behind. This
situation has created an unabridged gulf between the planning area and the plannable
limits and leaves scope for the violation of legislations. The violation of the statutory
provisions of planning laws is noticeable on the part of governmental agencies and
the public sector authorities. While the citizen’s actions have brought to book the
cases of violations of planning laws, the concerned agencies have in a number of
cases failed to perform their enforcement duties under the Acts. The failure to
implement all these legislations have resulted in degradation of urban environment.
Additionally, our town planning legislations suffer from some weakness. One
conspicuous weakness of most of our planning legislations has been that the seek to
treat planning and tasks of implementation of urban master plan and urban development
as two separate authorities. In fact, there is a multiplicity of implementing and
288 Law and Policies Pertaining to Environment

development authorities which include the municipal body, an improved trust, a

separate water and sewage authority, a housing board, etc. all operating in the
same area. The lack of coordination between these bodies tend to make planning
dilatory and unreal.
Zoning and Town Planning - Zoning refers to the division of a city into districts
within which building activity and land use are regulated by legislation. The
responsibility for enforcing zoning laws usually vests in the city administration or a
special planning authority. Following is a case where the concerned agency had
failed to perform its enforcement duties.
The case of T. Damodhar Rao 20 involved a municipal development plan earmarking
150 acres for a recreational park. Two public agencies bought 37 of these acres to
build residential homes and the municipal corporation had already allowed several
of these homes to be built.
The court held that neither the municipal corporation’s permission nor the State
Government’s relaxation of layout rules and building bye-laws could grant what the
development plan prohibited, viz., residencies on an area set aside for a park. Once
approved, the development plan could only be altered by a complex procedure
specified in the A.P. Urban Areas (Development) Act of 1975.
Land Contamination by Toxic Waste21
During 1988-9, M/s Silver Chemicals and Jyoti Chemicals located at Village Bichhri
in Rajasthan were engaged in production of about 375 tonnes and 20 tonnes of H-
acid (a naphthalene sulphonic acid based azo dye), respectively. This resulted in
some 8250 cu m of wastewater and some 2400-2500 tonnes of process sludge. The
toxic wastewater was let out without treatment and the process sludge was dumped
on the plant premises. The wastewater flowed through Udaisagar canal across the
entire region while rainwater washed the sludge across the soil into the groundwater.
An official survey indicates that groundwater up to 70 feet (21.3 meters) below the
ground level had been contaminated over an area of 7 sq km, affecting 8000 people
in seven villages. The National Environmental Engineering Research Institute, Nagpur,
studied the extent of contamination in this area and reported that an amount of Rs
44 crore will be needed for rehabilitation of 350 hectares of contaminated land.
A few years back, the Hindustan Lever Limited owned unit at Kodaikanal
manufacturing mercury-based thermometers was found to be dumping mercury-
contaminated glass waste in and around the site and was closed by the order of
Tamil Nadu Pollution Control Board in 2001. It is reported that even 1/70th of a
teaspoon of mercury can contaminate a 25-acre lake and render the fish unfit for
consumption. The company has now agreed to dig all the contaminated soil and
glass waste and ship them to US for safe recovery and disposal of mercury.

20
T.Damodar Rao v. Special Officer, Municipal Corporation of Hyderabad, AIR 1987 AP 171.
21
Extracted from Sharma and Bannerji (1996) and IANS (2003).
National Environmental Laws 289

b) Water and Sanitation - Pollution of [often low flowing] river waters, by discharges
of untreated sewerage by cities and towns, by industrial effluents and by chemicals
dissolved in the soil wash from the fields is also increasing rapidly with urbanisation,
industrial growth and ‘modernisation and intensification’ of agriculture. The latter
has meant increasing irrigation and use of chemical fertilisers and pesticides.

In the Koowal case 22, a writ petition was filed in Rajasthan High Court by citizens of
Jaipur to compel municipal authorities to provide adequate sanitation. In this case
the court held that “maintenance of health, preservation of the sanitation and
environment falls within the purview of Article 21”. Court pointed out that Jaipur
City had violated residents’ right to life by failing to implement adequate sanitation
measures. It also held that when every citizen owes a constitutional duty to protect
the environment (Article 51A), the citizen must be entitled to enlist the court’s aid
in enforcing that duty against recalcitrant state agencies.23

Although 89 per cent of the urban population has access to water supply, the average
availability is less than four hours a day, and in some areas water is supplied only for
one hour on alternate days.24 The per capita water supply ranges from a low of 9
lpcd to a high of 584 lpcd across urban India.25 The poor quality of transmission and
distribution networks results in higher operating costs and physical losses ranging
between 25 per cent to over 50 per cent. Low pressure and intermittent supply leads
to the contamination in the distribution network. This also has direct impact on
system efficiency, especially administrative losses.

22
L.K Koolwal v. State of Rajasthan, AIR 1988 RAJ 2.
23
Order states that - Article 51-A has been inserted in the constitution of India vide 42nd amendment in
1976. We can call that Article 51-A ordinarily as the duty of the citizens, but in fact it is the right of
the citizens as it creates a right in the favour of the citizens to move the court to see that the state
performs its duties faithfully and the obligatory and primary duties are performed in accordance with
the law of [the] land. Omissions or commissions are brought to the notice of the court by the citizen
and thus, Article 51-A gives a right to the citizen to move the court for the enforcement of the duty
cast on the state, instrumentalities, agencies, departments, local bodies and statutory authorities
created under the particular law of the state.
Every citizen has a right to know about the activities of the State, the instrumentalities, the
departments and the agencies of the state. The privilege of secrecy which existed in the old times
that the state is not bound to disclose the facts to the citizens or the state cannot be compelled by the
citizens to disclose the facts, does not survive now to a great extent. Under Article 19(1)(a) of the
constitution there exists the right of freedom of speech. Freedom of speech is based on the foundation
of the freedom of right to know. The state can impose and should impose the reasonable restriction in
the matter like other fundamental rights where it affects the national security and any other allied
matter affecting the nation’s integrity. But this right is limited and particularly in the matter of
sanitation and other allied matter every citizen has a right to know how the state is functioning and
why the state is withholding such information in such matters.
Maintenance of health, preservation of the sanitation and environment falls within the purview of
Article 21 of the constitution as it adversely affects the life of the citizen because of the hazards
created, if not checked.
24
Asian Development Bank Report, 1997.
25
CPCB, 2001.
290 Law and Policies Pertaining to Environment

A survey of 241 class 2 towns26 in 17 states of India undertaken by the Central Pollution
Control Board indicates that 90 per cent of the water supplied is polluted (CPCB
2000). Absence of technically qualified personnel and inadequate laboratory facilities
for the periodic analysis of water are identified as the reasons behind the substandard
quality of water supplied.
However, comparing the last two census data reveals that there has been significant
improvement in access to safe drinking water in urban India since 2001. This increase
can be attributed to increased access to tap water across the country. While in 2001,
68.7 % of households had access to safe drinking water, in 2011, it was increased to
70.6 percent. (Water Aid India, State of Urban Water Supply in India 2018)
While the waste generation in class 1 cities has more than doubled from 1978 to
1995, the treatment capacity has decreased from 39 per cent to 24 per cent during
the same period. Of the total wastewater generated in the metropolitan cities,
barely 30 per cent is treated before disposal. Untreated water finds its way into
water systems such as rivers, lakes, groundwater, and coastal waters (GOI 2002). In
118 cities, it is discharged indirectly into rivers, lakes, ponds or creeks, while in 63
cities it is used for agriculture. This lack of adequate sewerage network and proper
sanitation facilities leads to degradation of the environment in the catchment of the
natural drains, which has a detrimental effect on the quality of life of the inhabitants,
besides polluting the water bodies. It is estimated that 75 to 80 per cent of the
water pollution by volume is caused by domestic sewage (TERI 2003).
Water pollution has been on a rise with the continued rapid expansion of Indian
cities. As per Central Public Health and Environmental Engineering Organization
(CPHEEO), about 70-80% of total water supplied for domestic use gets generated as
wastewater. The per capita wastewater generation by the class-I cities and class-II
towns, representing 72% of urban population in India, has been estimated to be
around 98 lpcd while that from the National Capital Territory-Delhi alone is over 220
lpcd (CPCB, 1999). As per CPCB estimates, the total wastewater generation from
Class I cities (498) and Class II (410) towns in the country is around 35,558 and 2,696
MLD respectively. While, the installed sewage treatment capacity is just 11,553 and
233 MLD, respectively, a shortfall of about 68 % and 92 % respectively. Maharashtra,
Delhi, Uttar Pradesh, West Bengal and Gujarat are the major contributors of
wastewater (63%; CPCB, 2007a). Further, as per the UNESCO and WWAP (2006) estimates
(Van-Rooijen et al., 2008), the industrial water use productivity of India (IWP, in
billion constant 1995 US$ per m 3 ) is the lowest (i.e. just 3.42) and about 1/30th of
that for Japan and Republic of Korea.
It is projected that by 2050, about 48.2 BCM (132 billion litres per day) of wastewaters
(with a potential to meet 4.5% of the total irrigation water demand) would be
26
According to the 2001 census, there are over 5,161 towns and cities in India. Of these, 35 are
metropolitan cities (population of 1 million plus), home to 37% of the urban population or around 108
million people. Next come the 388 large towns or Class I cities with populations ranging from 1,00,000-
10,00,000. These are the most populous with around 68.9% of the total urban population. The rest live
in the 4,738 Class II towns with population of less than 100,000.
National Environmental Laws 291

generated thereby further widening this gap (Bhardwaj, 2005). Thus, overall analysis
of water resources indicates that in coming years, there will be a twin edged problem
to deal with reduced fresh water availability and increased wastewater generation
due to increased population and industrialization. ( R Kaur et al., 2012)
c) Air and Vehicular pollution - Anyone familiar with large Indian cities is well aware
of the high levels of air pollution, caused by smoke from domestic fires, factories
using coal as fuel, and by motor vehicle exhausts. In north Indian cities, dust and
atmospheric inversion combine to create a semi-permanent smog through much of
the cool season. These conditions have worsened during the last 30 years due to
rapid increase in the numbers of motor vehicles, and of factories located within the
cities or in their suburbs.

Neglect of environmental factors has led to location in or very near the cities, of
industrial units whose chimney exhausts or liquid effluents are highly polluting or
whose proximity to centres of population constitutes a serious hazard to human
life.

Studies27 confirm that levels of sulphur dioxide and particulate matter in certain
cities exceed permissible limits set by organisations such as WHO.

Air pollution has been aggravated by developments that typically occur as countries
become industrialised growing cities, increasing traffic, rapid economic development
and industrialisation, and higher levels of energy consumption. The high influx of
population to urban areas, increase in consumption patterns and unplanned urban
and industrial development have led to the problem of air pollution.

Currently, in India, air pollution is widespread in urban areas where vehicles are the
major contributors and in a few other areas with a high concentration of industries
and thermal power plants. Vehicular emissions are of particular concern since these
are ground level sources and thus have the maximum impact on the general
population. Also, vehicles contribute significantly to the total air pollution load in
many urban areas.

Vehicular Pollution and reduction initiatives in Delhi -

In a writ petition was filed in 1985, a writ petition was filed28 with regard to the
growing vehicular pollution in Delhi. This writ petition focussed on our fundamental
right to life guaranteed under Article 21 of the Constitution of India. The Petitioner
challenged the inaction on the part of the Union of India, Delhi Administration
(now known as Government of National Capital Territory of Delhi) and other
Authorities whereby smoke, highly toxic and other corrosive gases were allowed
to pass into the air due to which the lives of the people of Delhi were put to high
risk especially in thickly populated areas where most of the hazardous industries
were functioning. The residents of the area were suffering from chronic ailments
27
Study conducted by the National Environmental Engineering Research Institute (NEERI).
28
M.C.Mehta v. UOI & Ors., Writ Petition (Civil) No.13029/1985.
292 Law and Policies Pertaining to Environment

of nose, throat and eyes due to air pollution. The Petitioner prayed before the
Hon’ble court that pollution is due to industries and vehicles and appropriate
directions might be issued to the owners of vehicles emitting noxious carbon
monoxides, oxides of nitrogen, lead and smoke from their vehicles. During the
pendency of this Writ Petition, the Hon’ble Supreme Court passed several orders/
directions to deal with the situations arising from time-to-time and impressed
upon the concerned authorities to take urgent steps to tackle the acute problem
of vehicular pollution in Delhi.
The important directions issued by the Hon’ble Court on 26.7.1998
i) Augmentation of public transport to 10,000 buses by 1.4.2001;
1) Elimination of leaded petrol from NCT Delhi by 1.9.1998;
2) Supply of only pre-mix petrol by 31.12.1998 for two stroke engines of two
wheelers and autos;
3) Replacement of all pre-1990 autos and taxies with new vehicles on clean fuels
by 31.3.2000;
4) No 8-year-old buses to ply except on CNG or other clean fuels by 1.4.2000;
5) Entire city bus fleet (DTC & private) to be converted to single fuel mode on
CNG by 31.3.2001;
6) New ISBTs to be built at entry points in North and South-West to avoid pollution
due to entry of interstate buses by 31.3.2000;
7) GAIL to expedite and expand from 9 to 80 CNG supply outlets by 31.3.2000;
8) Two independent fuel testing laboratories to be established by 1.6.1999;
9) Proper inspection and maintenance facilities to be set up for commercial vehicles
with immediate effect;
10) Comprehensive inspection and maintenance programme to be started by
transport department and private sector by 31.3.2000; and
11) CPCB/DPCC to setup a few more stations and strengthen the air quality
monitoring stations for monitoring critical pollutants by 1.4.2000. The Hon’ble
Court also directed that the time frame as fixed by the Environment Pollution
(Prevention and Control) Authority should be strictly adhered to by all the
authorities.
The Hon’ble Supreme Court on 26.3.2001 further directed that in public interest
and with a view to mitigate the sufferings of the commuter public in general and
the school children in particular some relaxation and exemptions were given.
While dealing with the issues relating to conversion to CNG mode of public transport
in NCT Delhi, the Hon’ble Supreme Court on 5.4.2002 further directed that under
Articles 39(e), 47 and 48-A it is the duty of the State to secure the health of the
people, improve public health and protect and improve the environment. The
National Environmental Laws 293

Hon’ble Court observed that the Environment (Prevention and Control) Authority
was a statutory Authority constituted u/s 3 of the Environment (Protection) Act,
1986 and its directions were final and binding on all persons and organisations
concerned. The directions of the said authority should be complied with.
The Hon’ble Supreme Court earlier extended the limit for the conversion of
commercial vehicles to avoid the unnecessary hardship, the first time it was
extended to 31.5.2001 and then to 31.1.2002. On 5.4.2002, the Hon’ble Supreme
Court has relied on the judgment of Vellore Citizen Welfare Forum v. Union of
India E Others (1996) 5 SSC 64 in which precautionary principle and ‘polluter pays
principle’ was discussed. The Hon’ble Court also referred various studies which co-
related the increase of air pollution with increase in cardiovascular and respiratory
diseases and also the carcinogenic nature of respirable suspended particulate
matter (RSPM) - PM-10 (i.e. matter less than 10 microns in size). The Hon’ble
Supreme Court also referred the CPCB Newsletter “Parivesh”, published in
September, 2001 relating to air pollution and human health, and observed that
there was need to control air pollution, and one of the measures was to reduce the
use of diesel.
The Hon’ble Supreme Court issued the following directions for compliance
1) The Union of India would give priority to Transport Sector including private
vehicles all over India with regard to the allocation of CNG, i.e. first the
transport sector in Delhi, and in other polluted cities of India.
2) Those persons who have placed orders with the bus manufacturers and not
taken the delivery of the bus should do so within 2 weeks failing which their
permits should stand automatically cancelled.
3) Those owners of the diesel buses continued to ply diesel buses beyond 31.1.2002,
in contravention of this Court’s orders, the Director of Transport, Delhi would
collect from them costs @ Rs.500/- per bus per day increasing to Rs.1000/- per
day after 30 days of operation of the diesel buses w.e.f. 6.4.2002.
4) The NCT of Delhi should phase out 800 diesel buses per month from 1.5.2002 till
all the diesel buses are replaced.
5) The Union of India and all Government Authorities including Indraprastha Gas
Limited (IGL) should
a) Allocate and make available 16.1 lacs kg per day of CNG in the NCT of Delhi
by 30.6.2002 for use by the transport sector.
b) Increase the supply of CNG whenever the need arises.
c) Prepare a scheme containing a time schedule for supply of CNG to the other
polluted cities of India which includes Agra, Lucknow, Jharia, Kanpur, Varanasi,
Faridabad, Patna, Jodhpur and Pune.
d) The Union of India might supply LPG in addition to CNG as an alternate fuel
or to supply any other clean non-adulterable fuel as the Bhure Lal Committee
might recommend.
294 Law and Policies Pertaining to Environment

Consequent to the above directives, for the first time in India, a major initiative
for vehicular emission control and auto fuel quality improvement was taken in the
country when emission standards for vehicles were notified under the Environment
(Protection) Act in 1991. Also, efforts for improving the vehicular emission control
technology were introduced to meet the progressive tightening of vehicular
emission standards, which were enforced from 1996 and 2000 respectively. Fuel
quality standards were notified first time in 1996 under the Environment (Protection)
Act, 1986. Within a span of less than 5 years, significant improvements in vehicular
emission norms and auto fuel quality was achieved particularly through total phasing
out of lead additive in petrol and reduction of sulphur in diesel.
A three-judge bench of the Hon’ble Supreme Court of India while ruling that the
need of the hour was to move to a cleaner fuel directed that no Bharat Stage IV
vehicle shall be sold across the country with effect from April 1, 2020. It is submitted
that this initiative is expected to bring down sulphur by 5 times from the current
BS-IV levels – this is an 80 percent reduction which makes it extremely clean.
In a bid to improve the emission levels in the country, the Hon’ble Supreme Court
of India has made valid Pollution Under Control (PUC) certification mandatory for
renewal of the annual insurance for vehicles.
Delhi notifies first-ever parking rules to restrain vehicle use, cut air pollution. The
Rules are called as ‘Delhi Maintenance and Management of Parking Places Rules,
2019,’. These Rules and the guidelines attached to them attempt to find parking
area management plans across wards to identify and demarcate legal parking areas
(on- and off-street) without encroaching upon green areas, footpaths, bus stops or
intersections and keep lanes free for emergency vehicles.

d) Noise Pollution - Noise is more than just nuisance. It constitutes a real danger to
people’s health as it can produce serious physical and psychological stress. Noise is
a type of atmospheric pollution. In the urban areas noise has become one of the
major pollutants. The effect of noise depends on a sound’s pitch, frequency and the
length of exposure. Noise has both auditory and non-auditory effects depending
upon the intensity and the duration of noise level. It affects sleep, hearing,
communication & mental and physical health. Noise Pollution like other pollutants
is also a by-product of industrialisation and urbanisation. Broadly speaking, noise
pollution has two sources:

1) Industrial Sources

2) Non-Industrial Sources

The control measures of noise pollution include use of silencer in vehicles, taking
precautions during establishment of industries such as better technology adoption,
use of ear plugs by workers, minimising use of loudspeakers and growing of more
trees as they help absorb sound.
National Environmental Laws 295

In India, various legislations contain provision for abatement of noise. Certain legal
provisions are as follows:
♦ Constitution of India - Articles 21, 48A, 51A (g) have been said to have provisions for
controlling noise pollution.29 In the case of Free Legal Aid Cell Shri Sugan Chand
Aggarwal alias Bhagatji v. Government of NCT of Delhi and Other 30 it was said that
pollution being wrongful contamination of the environment which causes material
injury to right of an individual, noise can well be regarded as a pollutant because it
contaminates environment, causes nuisance and affects the health of a person and
would therefore, offend Article 21, if it extends to a reasonable limit. In Burrabazar
Fireworks Dealers Associates v. Commissioner of Police, Calcutta 31 it has been held
that Article 19 (1) (g) of the Constitution of India does not guarantee the fundamental
right to carry on trade or business which creates pollution or which takes away the
community’s safety, health and peace. A citizen cannot be made a captive listener
to hear the tremendous sound caused by noisy fireworks. It may give pleasure to one
or two person/persons but others have to be captive listeners whose fundamental
right guaranteed under Article 19 (1) (a) and other provisions of the Constitution are
taken away or made meaningless. Under Article 19 (1) (a), read with Article 21 of
the Constitution of India, the citizens have a right to a decent environment and
they have a right to live peacefully.
♦ Air Act, 1981 -
1) Noise is included in the definition of “Air Pollution” in Air (Pollution and Control
of Pollution) Act, 1987.
2) The 1987 amendments to the Air Act, 1981, specifically extend the provisions of
the Act, including increased penalties, citizens’ suit and the issuance of injunctions
by magistrates, to noise pollution. Under Sections 16, 17, 18 of the Act the State
Board laid down standards for automobiles and others. Thus, the provisions of
the Act become applicable in respect of noise pollution also.
♦ The Environment Protection Act, 1986 -
Section 3, read with Section 6 of the Act gives power to the Central Government to
make rules for protecting the environment. Although there are no specific provisions
for dealing with noise pollution, the Act confers powers on Government of India to
take measures to deal with various types of pollution including noise pollution.
♦ The Factories Act, 1948 -
The Factories Act does not contain any specific provision for noise control. Section
11 of the Act provides that occupiers must keep their places clean and nuisance
free. Since noise is considered to be nuisance it is submitted that noise is included
under this provision.

29
P.A. Jacob v. The Superintendent of Police; AIR (1993) Kerala.
30
AIR (2001) Delhi 455.
31
AIR 198 Calcutta 12.
296 Law and Policies Pertaining to Environment

♦ Motor Vehicles Act, 1988 & Rules framed there under -

Sections 110 & 111 of the Act give power to the Central Government, State
Government & the Central and State Pollution Control Boards to lay down standards
for automobiles.
Rule 119 Relating to Horns
1) On and after expiry of one year from the date of commencement of the Central
Motor Vehicles (Amendment) Rules 1999 every motor vehicle and agricultural tractor
manufactured shall be fitted with an electric horn or other device conforming to
requirements of IS 1884-1992 specified by the Bureau of Indian Standard for use by
driver of the vehicle and capable of giving audible and sufficient warning of the
approach or position of the vehicle.

Provided that on and from 1st January 2003 the horn installation shall be as per AIS-
041 specifications as may be amended from time to time till the time corresponding
Bureau of Indian Standard specifications are notified.

2) No motor vehicle shall be fitted with any multi toned horn giving a succession of
different notes or with any other sound producing device giving an unduly harsh
shrill loud or alarming noise.

Rule 120 Silencers

This rule states that every motor vehicle including agricultural tractor shall be fitted
with a device i.e. a silencer which by means of an expansion chamber or otherwise
reduces as far as possible the noise that would otherwise be made by the escape of
exhaust gases from the engine.
Noise Standards - Every motor vehicle shall be constructed and maintained so as to
conform to noise standards specified in Part E of Schedule VI of the Environment
(Protection) Rules, 1986 when tested as per IS 3028-1998 as amended from time to time.

♦ Aircraft Act, 1934

Section 8 of the Act read with the Aircraft Public Health Safety Rules provided that
pollution should be controlled to avoid causing adverse effect on the health of the
public.

♦ Indian Penal Code, 1860

Noise pollution can be dealt with under Sections 268, 290 & 291 of the Indian Penal Code,
as public nuisance. Under Section 268 of the Code, it is mentioned that a person is guilty
of public nuisance when he does any act or is guilty of an illegal omission which causes
any common injury, danger or annoyance to the public or the people in general who
dwell or occupy property or who may have occasion to use any public right. Sections 290
& 291 of the IPC deal with the punishment for public nuisance.
National Environmental Laws 297

♦ Criminal Procedure Code, 1973

Under Section 133 of the Code, the magistrate has the power to make conditional order
requiring the person causing nuisance to remove such nuisance.
Measures to curb Noise Pollution
i) Strict enforcement of the prescribed standard by the Government of India;
ii) Enactment of a separate and comprehensive legislation which will deal with all
aspects of noise pollution;
iii) Establishment of separate courts regarding noise pollution;
iv) Decision of cases regarding noise pollution within a prescribed time limit.
v) The press and media should play a constructive role to highlight the disastrous
effects of noise pollution and its remedy.
Section 6 (2) (g) of Environment Act, 1986, provides that the rules for regulating
environmental pollution may provide for the maximum allowable limits of concentration
of various environmental pollutants (including noise) for different areas. In 1989, the
Environment (Protection) Rules were amended to prescribe ambient air quality standard
during day time and night time. Limits to avoid noise pollution in industrial, commercial
and residential areas as well as in “silence zones” have also been set.

NOISE POLLUTION (REGULATION AND CONTROL) RULES, 2000 - There was no direct provision
for noise pollution under the Environment (Protection) Act, 1986. The increasing ambient
noise levels in public places from various sources like industrial activity, construction
activity, generator sets, loudspeakers, music systems, vehicular horns and such other
electromechanical devices have harmful effects on human health and psychological
wellbeing of the people. It was the need of the hour to come with a law which would
regulate and control noise producing and generating sources with the objective of
maintaining the ambient air quality standards in respect of noise. Therefore, the central
government framed Noise Pollution (Regulation & Control) Rules, 2000 to deal with the
above mentioned problems. Rules 2 to 8 provide definitions, ambient air quality standards,
responsibility as to enforcement of regulation, restrictions on use of loudspeakers,
consequences of any violation in silence zone, complaints to the authority and prohibitory
powers of the authority respectively.
The rules prescribe two types of air quality standards in respect of noise and emission
limits for designated types of machinery, appliances and fire crackers. Earlier noise
standards were prescribed in Schedule III of Environment Rules, 1986.
Under the Noise Pollution (Regulation & Control) Rules, 2000, separate ambient levels are
fixed for industrial, commercial and residential areas and silence zones. The prescribed
day time levels are approximately 10 bd higher than the corresponding levels prescribed
for night time. Any area within 100m of hospitals, courts or educational institutions is
declared as silence zone (Rule 3(5)). According to Rule 4, the states are required to
designate an authority or officer responsible for maintaining the ambient standards.
298 Law and Policies Pertaining to Environment

Rules 3(3) and 3(4) require that States take measures to ensure whether ambient quality
standards are met or not and to impose a duty on local bodies to consider noise pollution
standard while planning developmental activity or carrying out functions relating to
town and country planning. The States are also required to take measure for minimising
noise including noise emanated from vehicular movements.

Rule 5 prohibits the use of loudspeaker or public address system or sound producing
instruments or a sound amplifier at night except in closed premises. A loudspeaker or the
public address system shall not be used without obtaining written permission from the
authority. However, the proviso to this Rule empowers the State Government to permit,
subject to such terms and conditions as are necessary to reduce noise pollution, use of
loud speakers or public address systems and the like during night hours (between 10.00
p.m. to 12.00 midnight) on or during any cultural, religious or festive occasion of a
limited duration not exceeding fifteen days in all during a calendar year and the concerned
State Government or District Authority in respect of its jurisdiction as authorized by the
concerned State Government shall generally specify in advance, the number and particulars
of the days on which such exemption should be operative.

Rule 6 prohibits the use of music, sound amplifiers, horns, bursting sound emitting fire
crackers and the use of loud speaker or a public address system in any area covered
under silence zone/area.

Rule 7 provides that the authority has jurisdiction to entertain complaints about excess
noise. Rule 8 empowers the authority to issue directions to abate the nuisance if it is
satisfied from the report of a police officer that it is necessary to do so in order to
prevent annoyance, disturbance, discomfort or injury to the public or to any person who
dwell in that vicinity. The enforcement of such rules is very important as people are
often ignorant about the harmful effects of noise.

The case of Rabin Mukherjee v. State of West Bengal 32 dealt with noise pollution-
specifically noisy electric and air horns used in buses and trucks. An excerpt from the
order of the Court in this case read as follows

“This writ petition was moved by the petitioners for protection of their own
rights and also in public interest being aggrieved by the nuisance and noise pollution
which was being created... by the transport operators by indiscriminate installation
and use of electric and artificially generated air horns which cause unduly rash,
shrill, loud and alarming noise. In the writ petition, the petitioners prayed for a
writ in the nature of Mandamus commanding the respondents to enforce the
provisions of Rule 114 of the Bengal Motor Vehicles Rules, 1940 and to enforce the
restrictions against the use of such electric and other loud and shrill horns including
air horns by operators of the transport vehicles... Considering the facts and
circumstances of the case and considering the mandatory provision of Rule 114(d)
of the set rules and considering the fact that in the congested State like the State

32
Citation AIR 1985 Cal 222.
National Environmental Laws 299

of West Bengal, sudden blowing of such horn by transport vehicles produces rude
shock in the human system and is acknowledged to have serious effects on various
aspects of human life. It is the duty of the respondents to enforce the provisions
of the said rules. It is also a matter of common knowledge that such transport
vehicles even for overtaking another vehicle on the road continuously blow such
electric and/or air horn which produces a shrill and loud noise and which creates
annoyance to everyone who resides by the side of the road and to all pedestrians
including the persons travelling in the vehicles... The respondents are under a
statutory obligation and duty under Section 112 of the Motor Vehicles Act to
punish the person who contravenes the provision of Rule 114(d) of the said Rules
but unfortunately, no positive step had yet been taken in the matter.”

Under these circumstances the application was allowed and the respondents were
directed to enforce strictly the provisions of the said Rules. The State Government was
directed to issue notice and/or notification immediately notifying to all the transport
vehicle operators about the restrictions provided under the said rules and direct them to
remove the electric, air and other loud and shrill horns. The operators were given 15
days’ time to change the electric and air horns and to fit vehicles with bulb horns. The
respondents were also directed to proceed against the vehicle operators by taking penal
action if they fail to remove such types of prohibited horns after the expiry of the
period of 15 days. Such operators were also warned that failure to change such types of
prohibited horns would result in their prosecution in accordance with law.
The Noise Pollution (Regulation And Control) Amendment Rules 2017 notified by the
Government have given the power to State Governments to declare silence area / zone
which is less than 100 meters around hospitals, educational institutions and courts. The
term “festive occasion” has been specifically defined in the amended rules. The omission
of Note (3) to Schedule to the Principle Rules has broadened the scope of “silence zone”
and now only State Governments can notify silence area / zone.
The issue for consideration in the case of Hardeep Singh & Ors. Vs SDMC & Ors. before
the NGT was the failure of the statutory authorities in controlling the noise pollution as
per statutory mandate of Noise Pollution (Regulation and Control) Rules 2000. The
application was filed alleging that there were use of DJ systems, music systems, public
address systems during weddings or other functions and noise was being created at odd
hours adversely affecting the health of the citizens. The NGT while observing failure of
authorities to comply with the directions of the Tribunal and directing the Delhi
Government to deposit a sum of Rs. 5 Lakhs with the Central Pollution Control Board
(CPCB) within one week observed,
“8. Need for strict compliance of environment norms has been repeatedly
mentioned in the interest of right of citizens to clean and peaceful environment.
The Tribunal is constrained to take punitive measures to uphold the rule of law
instead of remaining mute spectator when faced with failure of authorities in
carrying out their obligation. Disobedience and disregard of law ought not to be
taken lightly.
300 Law and Policies Pertaining to Environment

9. In view of clear failures as recorded above, while granting further opportunity

to file fresh compliance report within one month we require the Delhi Government
to deposit a sum of Rs. 5 Lakhs towards cost with the Central Pollution Control
Board (CPCB) within one week. The amount may be spent on restoration of
environment.”

e) Waste disposal - Waste is generated by both individuals and industry - and emissions
from urban transport on the quality of the water we consume and air we breathe.

Ship-breaking Activities33
The ship-breaking industry disposes of old obsolete ships and recovers material and
equipment for recycling. India is one of the major countries in the ship-breaking
industry in the world. The ship breaking which was in 1960s confined to dismantling
of small barges and coastal wrecks grew to full-fledged industry by 1979 when the
Government of India recognised the activity as small-scale industry. This activity
presently is carried out at following locations in the country.
♦ Alang and Sachana (Gujarat)
♦ Tadri and Maipe (Karnataka)
♦ Baypore, Cochin, and Azhical (Kerala)
♦ Vishakhapatnam (Andhra Pradesh)
♦ Valinokan and Tuticorin (Tamil Nadu)
Ship breaking generates resources such as re-rolling scrap, melting scrap, cast iron
scrap, non-ferrous metals, machinery and wooden articles. Currently, the ship-breaking
activity produces around 2 million tonnes of re-rollable steel per annum. The industry
also provides employment to around 40,000 people in direct and ancillary business.
However, the industry also generates solid and hazardous wastes such as paint chips,
scale produced during cutting of steel, ceramic tiles, glass wool and fibrous insulation
material, oil sludge and waste oil, asbestos sheets, ropes, thermocole, plastics, fibre
glass, linoleum, and sun-mica. Currently, it’s estimated that ship-breaking activity
produces around 4000 tonnes of solid waste per annum. These wastes are disposed
of on seashores and are potential health and environmental hazards to terrestrial
and marine environments.

The number of vehicles available for waste collection falls short of the requirement.
Further, appropriately designed collection vehicles are rarely used. Transporters do not
regularly collect Bio Medical Waste (BMW) from all hospitals, particularly the smaller
ones. Transporters do not maintain records of the waste collected from individual operators
on a category and weight basis.
Handling and storage of waste before treatment is inadequate. Most facilities lack
technical support to address operational problems. Records of incinerator operation

33
Source CPCB (2001).
National Environmental Laws 301

including temperature, waste received and treated, time of operation and fuel
consumption are not maintained at the site. Majority of BMW incinerators installed
earlier did not meet the specification of the 1998 Rules. Incinerators are found to be
operating improperly - in most cases the required temperatures are not achieved.
Functioning is also impaired due to lack of proper segregation of waste. In many of these
facilities there are no alternative disposal technologies such as autoclaving/ hydroclaving/
microwaving for waste that should not be incinerated for example, chlorinated plastics.
The common facilities are often not equipped to manage all steps in waste management.
For instance, some have only incineration facilities with no proper arrangement for ash
disposal. Scrubbed water and floor washings are not adequately treated.
There are many policies, rules, and manuals apart from legislation, which empowers
states and local bodies for proper waste management in the country. The thrust of these
documents, which are bound to have an impact on the urban environment and the roles
of urban local bodies in the provision of infrastructure are also highlighted.
♦ Aseem Burman Committee
In January 1998, Aseem Burman Committee was formed under the Supreme Court of
India to review the solid waste management conditions in class I cities in India. The
key recommendation of this committee’s report was to enable private sector
participation in SWM.

♦ The Biomedical Wastes Rules

Deal with segregation, treatment and disposal of biomedical waste and provide
deadlines for health care facility with more than 30 beds or serving more than 1000
patients per month.

♦ The Municipal Wastes (Management and Handling) Rules

The rules lay the procedure for waste collection, segregation, storage, transportation,
processing and disposal. Municipalities will be required to submit annual reports
regarding municipal waste management in their areas to the Central Pollution
Control Board. Further these rules mandate that all cities set up suitable waste
treatment and disposal facilities by 31 December 2001 or earlier.

♦ Manual on Hospital Wastes Management

CPCB provides information on waste characterisation, segregation, storage, and
treatment technologies. It was meant to acquaint concerned authorities and
personnel in the health care facilities with the methods and technologies required
for the implementation of the Biomedical Waste Rules.

♦ Manual on Solid Waste Management by Local Bodies

In January 2000, the CPHEEO (Central Public Health Environmental Engineering
Organisation) under Ministry of Urban Development brought out a manual on solid
waste management to provide guidance to local bodies.
302 Law and Policies Pertaining to Environment

♦ Mashelkar Committee (Auto-Fuel Policy)

The committee was constituted to recommend an ‘auto-fuel policy’ for the major
cities in the country, to devise a road map for its implementation and recommend
suitable auto fuels, automobile technologies and fiscal and institutional measures.

♦ The Hazardous Wastes (Management and Handling) Amendment Rules

Broadening the definition of hazardous waste and harmonising the Rules with
provisions of Basel Convention which were not part of Rules of 1989. The amended
Rules also proposed the list of waste, which is prohibited for import and export in
the country (Schedule 8) as per provisions of Basel Convention.

♦ Jawaharlal Nehru National Urban Renewal Mission

The thrust of this mission is on urban infrastructure and basic services for the poor.
This mission plans to cover only 63 cities including 7 mega cities, 28 million plus
cities, and 28 other cities over a 5 year period. The mission proposes an agreement
between the states, urban local bodies and the central government to undertake
reforms before delineation of funds from JNNURM to the ULBs.

♦ Solid Waste Management Rules (SWM), 2016, notified by the Ministry of Environment,
Forests and Climate Change replaces the previous Municipal Solid Wastes (Management
and Handling) Rules, 2000. In the said rule, the jurisdiction of the rules have been
extended beyond Municipal area and extend to urban agglomerations, census towns,
notified industrial townships, areas under the control of Indian Railways, airports,
airbase, Port and harbour, defence establishments, special economic zones, State
and Central government organizations, places of pilgrims, religious & historical
importance.

♦ The E-Waste (Management) Rules, 2016 are applicable to each producer, consumer,
dismantler, recycler, bulk consumer and collector of E-waste involved in the sale,
manufacture, purchase, processing and use of the electrical and electronic equipment
or components as are specified in the schedule-1 of the said rules.

♦ Plastic Waste Management Rules 2016 are comprehensive and seek to effectively
address the issue of plastic waste. These Rules extended its purview and applicability
to rural areas and plastic importers in the supply chain. Further, the minimum
thickness of plastic carry bags in these Rules was increased from 40 micron to 50
micron.

♦ The Construction and Demolition Waste Management Rules, 2016 apply to every
waste resulting from construction, re-modelling, repair and demolition of any civil
structure of individual or organisation or authority who generates construction and
demolition waste such as building materials, debris, rubble.
National Environmental Laws 303

Environmental Governance and Indian industry - The Indian industry suffers from
less energy efficient and high emission prone technologies. Environmental governance
suffers from low capacity and is overly dependent on command and control type of
environmental management. As a result, the monitoring of the small and medium
scale industries, that comprise bulk of the production capacity and waste generation,
has not been very successful. The general attitude towards management of
industrial waste is pathetic due to weak legislation, poor policy implementation
and knowledge or information gap. Exclusion of environmental consideration in
existing legislation The rules of 1989 and the amendments dealing with hazardous
waste management fail to provide any incentive for waste reduction/minimisation
efforts.34 Industries are therefore reluctant to adopt such measures, which would
lead to resource conservation even though they result in an overall reduction in
cost.
Experiences in a number of developed countries suggest that cleaning up of hazardous
wastes at a later stage is much more expensive in the longer term than its prevention
at source. For instance, in the United States, cleaning of improperly managed wastes
has been estimated to cost 10-100 times compared to prevention at source35 . Also
there is no incentive built into the existing regulations for the industry to reuse the
waste. Though there are Waste Minimisation Circles (WMCs) established in the
country to facilitate waste exchange and waste reduction, these are not very
effective in terms of reaching out to different industry types. There is a database
on waste exchange activities maintained by CII and Assocham36 , but it suffers from
low awareness in smaller units in remote places. There is no information on how
much waste has been utilised by such initiatives in the country. The rules of 1989
covered aspects related to maintaining an inventory of hazardous waste sites by
states but did not specify that states will also be responsible for maintaining waste
inventories. The subsequent amendments also remain silent on this. The hazardous
waste inventories made by most of the states are based on Rules of 1989. Very few
states have been able to revise their inventories based on amended HWM Rules of
2003. The state pollution control boards also lack the basic infrastructure and
trained manpower to carry out waste characterisation and inventory based on
requirements of the amended Rules. The Rules of 1989 and its amendment do not
cover management of non- hazardous waste from industries. Neither have they
specified mechanisms to dispose non-hazardous waste from such units.

In addition, the Rules do not specify standards for the cleaning up of contaminated sites
and limits for disposal of waste on land. Due to this, industries which are causing
contamination of land and water bodies through inappropriate waste disposal are not
legally bound to clean the site unless ordered by judicial intervention to do so.

34
http //www.nlsenlaw.org/waste/articles/Document.2004-04-19.1749/view.
35
IGPA 2002.
36
www.cleantechindia.com
304 Law and Policies Pertaining to Environment

Weaknesses in policy implementation One of the most obvious signs of inadequate

enforcement of legislation is the lack of reliable inventory of hazardous waste in
the country. This is evident from the fact that the estimate for hazardous waste
generation as provided to the High Powered Committee (HPC) by the MoEF was
revised downwards several times from 9 million tonnes to 8 million and finally to
4.4 million tonnes per annum. Information on hazardous waste generated by
industrial units required to be maintained under the HW Rules 1989 is not maintained
by the SPCBs on a regular basis. Even the information pertaining to units that are
formally registered with or authorized by SPCBs was found to be unreliable by the
HPC. And there is no information at all about the waste being generated by units
in the small scale and unorganized sectors, which are handling hazardous wastes
without pollution, control safeguards. In addition there are a large number of units
located in the Free Trade Zones that are not registered with the SPCB. Again, few
state governments have identified safe disposal sites for hazardous wastes as
required by the HW Rules, 1989. Barring a few states like Gujarat, Andhra, Karnataka,
Maharashtra, Haryana, and West Bengal, there is little success in terms of
establishing common disposal sites despite such sites having been identified and
notified. The absence of secure landfills provides industry the excuse to discharge
their hazardous wastes at illegal dump sites outside industrial estates, along
roadsides, in low-lying areas, along with municipal wastes or even in river and
canal pits.

f) Urban infrastructure and transport - Environment is generally understood in terms

of natural environment as opposed to built environment.37 However, as urbanisation
is a social phenomenon created by humans, we shall be dealing with aspects of built
environment with reference to urban areas.
In order to limit the cities that are spreading horizontally and indiscriminately,
policy has to address the promotion of urban densities, preservation of peripheral
agricultural land, restrain growth of individual modes of transport, develop
institutional structures and prioritise urban development implementation.
While the policy favours efficient use of land and primary infrastructure, the costs
of providing overall infrastructure services and the per capita cost of operation and
maintenance of infrastructure for compact cities can be advantageous. It is observed
37
Natural environment encompasses all living and non-living things occurring naturally an earth or some
region thereof. It is an environment that encompasses the interaction of all living species.
The concept of the natural environment can be distinguished by components
a) Complete ecological units that function as natural systems without massive human intervention,
including all vegetation, micro-organisms, soil, rocks, atmosphere, and natural phenomena that
occur within their boundaries.
b) Universal natural resources and physical phenomena that lack clear-cut boundaries, such as air,
water and climate, as well as energy, radiation, electric charge and magnetism, not originating
from human activity.
The natural environment is contrasted with the built environment, which comprises the areas and
components that are strongly influenced by humans. A geographical area is regarded as a natural
environment.
National Environmental Laws 305

that for a given population, the higher the density, the smaller is the built up area
and the shorter trip lengths with associated travel time and costs. The infrastructure
should in principle promote design of higher densities.

In opposition to these principles, concepts of satellite towns or of ‘self-contained

towns’ are commonly promoted by various schools of thought. Many experts say that
such proposals should be considered with caution as setting up of new satellite
towns is extremely capital intensive and proves to be costly as it involves the
construction of substantial infrastructure right from the scratch. The success of
satellite towns also necessitates high speed and heavy transportation infrastructure
for quick and efficient movement. Without the right densities, locking public finances
in these projects for long periods could hamper the viability of the investments and
success of the model. The limited success of new towns (Navi Mumbai, Gurgaon,
etc.) should be studied carefully before supporting a specific decision based on the
satellite towns’ model.

A well-known and coordinated system of transport also plays an important role in

the sustained economic growth that leads to reduced pressure on environmental
resources of a country. The present transport system of India comprises several
modes of transport including rail, road, coastal shipping, air transport, etc.
Transportation in India has recorded a substantial growth over the years both in
spread of network and in output of the system. Ministry of Road Transport & Highways
is responsible for the formation and implementation of policies and programmes for
the development of road transport.

Mobility is essential for the economic integration of the poorest into the growth
process of a city. Today, the public transportation system is hardly developed and
added with the explosive growth of the personal forms of transport leads to congestion
of city core and central areas. Public transportation can address the mobility issues
of the majority of urban population and diverse social groups.

Moving Towards Environmentally Friendly Fuel Transport System for Urban India38
The first centralised effort for improving fuel quality was initiated by judicial activism
beginning with the phasing out of lead in petrol in the four metropolitan cities of
the country (Chennai, Delhi, Kolkata, and Mumbai) in 1994. The MoEF (Ministry of
Environment and Forests) notified fuel specifications in 1996. A similar programme
to reduce the sulphur content in diesel has been in effect from 1996. CNG is used
extensively in a few cities of India, such as Delhi, Mumbai, and Surat. In its April
2002 directive, the Supreme Court imposed fines on diesel buses, issued orders for
phasing- out diesel buses, and accorded priority to the transport sector for CNG
allocation. It also ordered for a schedule to be drawn up for supplying CNG to other
polluted cities of the country such as Agra, Faridabad, Jharia, Jodhpur, Kanpur,
Lucknow, Patna, Pune, and Varanasi. Delhi today has the largest CNG bus fleet in
38
Source: MINISTRY OF ROAD TRANSPORTAND HIGHWAYS, Green Initiatives, http //morth.nic.in/
emission.htm as seen on 7 October 2005.
306 Law and Policies Pertaining to Environment

the world of about 7200 buses and 4000 mini buses forming a part of about 75,000
CNG vehicles. The auto-rickshaw and taxi fleet of the city have also been completely
converted to CNG. Auto LPG (liquefied petroleum gas) for the automobile sector is
also being actively promoted in the major cities of the country by a number of oil
companies. In Bangalore, a directive issued by the Transport Department has made
it mandatory for all auto-rickshaws to be fitted with authorized kits (fixed cylinder)
to make them run on LPG by the year 2005. Alternate fuels, such as dimethyl ether,
biodiesel, hydrogen, electricity and fuel cell, are in various stages of
experimentation. The government has adopted stringent emission norms for vehicles.
Based on the road map suggested by the Mashelkar Committee Report on auto-fuel
policy, Bharat stage II emission norms have come into force for entire country with
effect from April 2005 and more stringent Bharat III norms in selected 11 cities of
the country (MoRTH 2005). Further, fitness norms for commercial vehicles have
been tightened in 2001 and stricter pollution under control norms have also come
into force since October 2004.

g) Provision of Social infrastructure - Public authorities need to guarantee all social

groups access to health, education, water, and drainage. Even the poorest should be
entitled to a minimum level of service necessary for decent living conditions.

One of the basic indicators of a healthy urban environment is the availability and
access to basic facilities like proper healthcare, adequate housing, quality education
and other such social infrastructure. This would not just help in preventing and
regulating problems like slums, urban sprawls, poor health conditions, diseases and
epidemics, hygienic living conditions, etc, but also create a strong empowered
human resource pool that will help in betterment of urban environment so to say.

Ninety per cent of the housing shortage in urban India is suffered by the poor. Access
to housing for poor families is dependent on land, financing, and regulation of the
housing market. Planning should promote norms and regulations that encourage a
response from the private sector to this social demand.

Both large survey-based studies as well as case studies have repeatedly shown that
social infrastructures like education and health services in India are characterised
by:
i) inadequate and inferior infrastructure;
ii) poor public service delivery;
iii) lack of quality choices for consumers; and
iv) lack of access especially for the poor due to a high dependence on relatively
expensive privately provided services.
However, this is not for the want of policy attention to this sector. Central and state
governments have, since independence, been devoting substantial funds and public
effort towards provision of education and healthcare. Somehow the efforts have
National Environmental Laws 307

not yielded the desired results. The aspects of policy failure could be categorised as
follows
♦ Attention to the challenges posed by the rapidly increasing population has been
inadequate.
♦ Delivery mechanisms are poorly designed.
♦ Implementation of policies and schemes is poor.
♦ Appropriate institutional mechanisms to bridge need gaps are absent.
♦ Democratic institutions do not appear to be adequately answerable for the
failure of the public delivery system.
Since independence, India has been striving towards a self-sufficient manufacturing
base with a prominent role for the public sector. Valuable resources as well as policy
attention have been channelled towards fulfilling this objective. This is a good
trend so to say. However, on the flip side, it has involuntarily resulted to a relatively
lower priority to social sector investments. So while China and Sri Lanka were
developing a strong human resource base, India was focusing on a large manufacturing
sector. Consequently, as population expanded, the shortfall in public provisioning in
the social sector grew more and more prominent.

Poorly designed delivery mechanisms, in hindsight, were a natural outcome of the

assigned role of the government as a ‘provider’ and not as a ‘supplier’ of
education and healthcare. Despite the economic reforms through the 1990s, social
sector administration is still characterised by a high degree of centralisation in
operations, dependence on central and state funding, government employees on the
staff, and command and control type programmes and schemes. The net result is
that the government is seen as ‘providing’ education and health care facilities and
not servicing its consumers, especially the underprivileged.

There are not many excuses for poor implementation, where in fact there are many
examples across the world where rich or poor countries have evolved quality public
health and education delivery. Even within India, the experience of Kerala has
shown that the government could have met with greater success even with the
given basket of schemes and measures had implementation been proper. The current
trend of circumventing public delivery needs to be treated with caution as well.
Issues related to poor implementation need to be corrected rather than going in for
untested public- private partnerships or NGO-based delivery mechanisms which
could invite a new set of problems related to poor regulation and control-which
could be even more difficult to redress.

For institutional mechanisms to bridge need gaps strong and empowered local level
bodies are required. Local bodies are best suited to identify problem areas at the
micro level and provide appropriate solutions. In the absence of a healthy local
government capable of funding and implementing policies independently, top down
approaches continue to be the only quick way of addressing important issues. An
308 Law and Policies Pertaining to Environment

extreme example would be the battle against HIV in large cities. Municipal bodies
hardly play a role in fighting HIV at the local level; nor is there any stress on the
matter from the state or even the centre. HIV strategies today are funded by
international organisations, devised on the basis of international studies with best
practices borrowed from elsewhere.

h) Biodiversity protection in urban areas - The protection of natural and ecological

systems is imperative today in the face of the rising pressures on non-renewable
resources. A spatial policy should first look at preservation of natural resources such
as coasts, valleys, lakes, and the low-lying areas. The merits of protecting and
conserving the same have been extensively documented. Urban pollution absorbents,
green buffers, heat and noise sinks, detention and water bodies can help prevent
disasters such as floods, etc.

Cities are responsible for most of the consumption of the world’s resources and are
home to most of the world’s citizens as well. Bringing green space to the urban
landscape can promote and inspire a better relationship with the environment while
supporting important services. However, a more important point is the preservation
of naturally occurring habitats and biodiversity in urban areas of which natural green
space is part of and also represents diverse ecosystems. The promotion and
conservation of such habitats in cities is a big challenge. Such responsibility lies in
the hands of local and regional authorities.

Cities are connected to larger ecosystems and don’t exist in isolation. Beneath the steel
and concrete of cities are the soil and waterways that are connected to the areas
outside city boundaries. Cities cover 2% of land space worldwide but consume 75% of
the resources. This affects biodiversity significantly, not just at the local level, but also
through the extensive resources imported into cities. This resource intake can, however,
be made more by promoting conservation and quality green space within cities.
Biodiversity has to be protected and enhanced, and also should be brought closer to city
dwellers. Beyond supporting a variety of species and habitats, urban green space
contributes to essential services including water filtration and absorption, nutrient
cycling, air filtration and noise buffering.

15.6 Conclusion
The environmental consequences of the various economic activities in the cities affect
the different natural resources, their qualities as well as their amounts. Presently, the
conventional economic accounts for a city provide a description of commodities and
services in different uses, input in production of goods and services (intermediate uses)
and final uses such as private consumption, public consumption, investment and exports.
These add up to the city’s output and imports. Along with the flows of commodities and
services, are the flows of income generated in the process of production as value added
in terms of wages, profits and rents and disposal for various final uses. To integrate these
accounts with the green accounts, the emissions and effluents associated with the various
National Environmental Laws 309

economic activities of production and consumption should also be considered. Besides

this, the preparation of sectoral detailed accounts for the resources of interest should
be ensured.

The main natural assets at the city level which are of interest are land, water, air,
biodiversity and various exhaustible resources such as oil, coal, gas, other minerals and
ores, etc. The major steps that are missing in the conventional accounting system and
can be useful for preparation of such accounts have been suggested. What qualities of
each of these resources have to be included, how to measure them, how to summarize
the consequences of change in their qualities, how to value them and their consequences
on human welfare are all debatable topics which can either be adapted from the
framework prepared for the national level or derived from extensive debates and
discussions at city level forums.

On its onward path to economic development it is inevitable that urbanisation in India

should grow. The unintended cost of this is the deterioration of the environment.
Degradation of the environment in urban areas is caused in part by changing patterns of
lifestyle but more so due to neglect of proper disposal of refuse by households, industry
and service providers such as hospitals and water services. Intermittent piped water
supply is the main cause for pollution of drinking water. Ineffective treatment of waste
water and industrial waste contaminates water bodies and land.

Our legal framework on air and water pollution needs to be expanded to the community
level. Urban local bodies, which are entrusted with the responsibility to protect the
environment and provide services are strapped for adequate financial resources as well
as knowledge about treatment and disposal of refuse from various sources. Irony of the
healthcare industry is that the industry which tries to improve health of an individual is
not fully aware of the harm it causes to the environment through the disposal of untreated
bio-medical waste.

Supreme Court intervention in limiting air pollution generated by public transport and
government initiatives in using green fuels have improved air quality perceptibly in
some cities. Awareness about sustainable economic development which includes
environmental concerns is gaining ground and various tools such as ecological foot printing
and green accounting are being developed to ensure that quality of air and water that
we leave to our next generation is in a better condition than what we inherited from our
past.

15.7 References and Recommended Readings

Ashok Desai, Environmental Jurisprudence (New Delhi Vikas Publishing House, 1998).

Axel P. Gosseries, “What to do we owe the next generation(s)?” 35 Loy. L.A. Rev. 293.

Benimadhab Chatterjee, Environmental Laws, Implementation, Problems and Perspectives

(New Delhi Deep and Deep Publications Pvt. Ltd., 2001).
310 Law and Policies Pertaining to Environment

Brett M. Frischmann, “Some Thoughts on Short-sightedness and Intergenerational Equity”,

36 Loy. U. Chi. L.J. 457.
Christopher Miller, Environmental Rights- Critical Perspectives (London Routledge, 1998).
Debating the Earth (John S. Dryzek and David Schlosberg, edr., Oxford University Press,
1998).
Dinah Shelton, “Human Rights, Environmental Rights and the Right to Environment”, 28
Stan J. Int’l 103.
Dr. P. B. Uma Devi, “Human Rights, Environment and Indian Constitution”, 2004, V. 9(3)
ICFAI Journal of Environmental Law, 9.
Hari F. Osofky, “Learning from environmental justice A new model for international human
rights”, 24 Stan. Envtl L. J. 71.
J.A. Lindgun Alves, “The United Nations, Post modernity and Human Rights”, 32 U.S.F.L.
Rev. 479.
J.G. Merrils, “Environmental Protection and Human Rights Conceptual Aspects”, Human
Rights Approaches to Environmental Protection (Alan Boyle and Michael R. Anderson,
edr., Oxford Clarendon Press, 1998).
James T. McClymonds, “The Human Right to a healthy environment an international legal
perspective”, 18 UCLA J. Envtl. L. & Pol’y 99.
John Lee, “The underlying legal theory to support a well-defined human right to a
healthy environment as a principle of customary international law”, 25 Colum J. Envtl. L.
283.
JosE Paulo Kastrup, “The Internationalization of Indigenous Rights From The Environmental
And Human Rights Perspective”, 32 Tex. Int’l L.J. 97.
Louis E. Rodriguez-Rivera, “Is the Human Right to Environment Recognised in International
Law- Depends Upon the Source”, 12 Colo. J. Int’l Envtl. L. & Pol’y 1.
Madhav Gadgil and Ramachandra Guha, Ecology and Equity-the use and abuse of nature
in contemporary India (New Delhi Penguin Books, 1998).
Michael Burger, “Bi-polar and polycentric Human Rights and the Environment”, 28 Colum.
J. Envtl. L. 371.
Nina M. Eejima, “Sustainable Development and the search for a Better Environment, A
Better World A work in progress”, 18 UCLA J. Envtl. L. & Pol’y 99.
Paul A. Barresi, “Advocacy, frame and the intergenerational imperative”, 11 Tul. Envtl.
L.J. 425.
Paul A. Barresi, “Beyond Fairness to Future Generations An Intergenerational Alternative
to Intergenerational Equity In The International Environmental Arena”, 11 Tul. Envtl.
L.J. 59.
National Environmental Laws 311

Prakash Shah, “International Human Rights A Perspective from India”, 21 Fordham Int’l
L.J. 24.
Robin Churchill, “Environmental Rights in existing Human Rights Treaties”, Human Rights
Approaches to Environmental Protection (Alan Boyle and Michael R. Anderson, edr.,
Oxford Clarendon Press, 1998).
S. James Anaya , “Environmentalism, Human Rights and Indigenous Peoples A tale of
converging and diverging Interests”, 7 Buff. Envtl. L.J. 1.
Sevine Ercmann, “Linking Human Rights, Rights of Indigenous people and the Environment”,
7 Buff. Envtl. L.J. 15.
Shorge Sato, Sustainable Development And The Selfish Gene A Rational Paradigm For
Achieving Intergenerational Equity, 11 N.Y.U. Envtl. L.J. 503.
Shyam Diwan and A. Rosencrantz, Environmental Law and Policy in India (New Delhi
Oxford University Press, 2001).
Sumundu Attapattu, “The right to a healthy life or the right to die polluted? The Emergence
of a Human Right to a healthy environment under international law”, 16 Tul. Envtl.L.J.
65.
Dr. Vijay Chitnis, “Environmental Conservation Law and Policy”, Environment Management,
Constitution and the Law (Dr. N.L. Mitra, et. al., Bangalore Study Material for Workshop
on Environment Management (NLSIU), 1998 ).
Y. Shemshuchenko, “Human Rights in the Field of Environmental Protection in the Draft
of the New Constitution of the Ukraine”, Environmental Rights Law, Litigation and Access
to Justice (Sven Deimann & Bernard Dyssle, edr., London Cameron and May, 1995).
R Kaur, SP Wani, AK Singh, K Lal, “Wastewater production, treatment and use in India,”
UN Water, 2012.
312 Law and Policies Pertaining to Environment

UNIT 16
CRIMINAL WRONGS AND THE
ENVIRONMENT
Contents
16.1 Introduction 312
16.2 Environmental Crimes 314
16.3 Types of Environmental Criminal Wrongs 318
16.4 Some Important Criminal Statutes 321
16.5 Other Legislations Related to Environmental Crimes 324
16.6 Best Practices 327
16.7 Conclusion 328
16.8 References and Recommended Readings 329

16.1 Introduction
A Crime is an act or omission that violates the law conclusively constituting an offense
that may be prosecuted by the state and is punishable by law. It is a breach of rules or
laws for which some governing authority (via mechanisms such as legal systems) can
ultimately prescribe a conviction. Individual human societies may each define crime
differently, in different localities (state, local, international), at different time stages of
the so-called “crime” (planning, disclosure, supposedly intended, supposedly prepared,
incomplete, complete or future proclaimed after the “crime”).
Crime constitutes such acts that are prosecuted by the state specifically because they
are harmful for society at large and because the act itself is against the society even if
only one person has to suffer and be the victim to it.
While every crime violates the law, not every violation of the law counts as a crime;
for example, breach of contract and of other civil law may rank as mere offenses or
infractions but not necessarily a crime. Modern societies generally regard crimes as offenses
against the public or the state, as distinguished from torts (wrongs against private parties
that can give rise to a civil cause of action).
The reason crime or criminal wrongs are different from a civil wrong is because unlike
criminal wrongs, civil wrongs are only against the interest of one person. The liability of
Environmental Liabilities 313

the civil wrongdoer is based principally upon the loss he or she has induced, while the
criminal wrong exists in, in norm at least, in the controlled act of the committer, their
liability, and the harm caused. And whereas in civil law proceedings are generally brought
by the injured party in order to secure compensation or restitution unlike criminal wrongs
where the state prosecutes and punishes crime.1 There are many procedural differences
between civil wrongs and criminal wrongs. However, the most known criminal wrongs wou
d be murder, rape, treason etc. All over the world, in every country, there are statutory p
ovisions defining criminal wrongs. While they may vary slightly from country to country, the gr
ver wrongs are considered more or less the same.
Criminal wrongs are wrongs against the state, and not just against an individual. Criminal
wrongs are much more serious than civil wrongs because they are against the whole
society, even if only one individual gets hurt.

Difference between civil and criminal wrongs

A civil wrong is a wrong against a particular individual while a criminal wrong is a wrong
against the society. Due to this difference in nature, civil wrongs are redressable i.e. the
injured party/individual may claim damages from the party who inflicted the wrongs on
him. Civil wrongs can also be defined as the wrongs that are not recognised by the state
as being criminal wrongs.
The wrongs which are against the benefit of the public, and the state, are labelled as
criminal wrongs, whereas wrongs that affect the interests of a particular individual are
called civil wrongs. The criminal wrongs include acts such as murder, robbery, assault,
and theft, etc.,. while the less serious wrongs like trespassing, nuisance, copyright
infringement etc. are recognised as civil wrongs.
In the case of criminal wrongs, the state takes the action against the offender by hiring
a public prosecutor to prosecute the case in the court; this is called the system of public
prosecutions. However, this is not the case of civil wrongs, where one party has cause
injury to the other or their property, and the injured sues the other and hire lawyers to
represent them in the court. Here, the state does not get involved. In a criminal case,
if a person has committed a criminal wrong, it is up to the state to find the accused,
prepare a First Information Report (FIR), investigate the crime and hire a public prosecutor
to represent the state in front of the court in a public prosecution which is different
from the procedures of a civil wrong where if a party has acted in such a way that has
caused injuries to the other party, the plaintiff would sue them in the court and will
have to hire their own lawyer to represent their case in the court.
In the case of civil wrong, the injured party (the plaintiff) sues the party who inflicted
the injuries (the defendant) to them. Then the injured party would seek compensation
for the injuries and the effects of the injuries inflicted on them by the other party. If the
defendant is proved to be liable for the injuries, the court can award damages to the
plaintiff. Whereas, if a person commits a criminal wrong, it is up to the state (police) to

1
Lucia Zedner, Criminal Justice (Oxford OUP, 2005), at 58-63.
314 Law and Policies Pertaining to Environment

bring the accused to the court and prosecute him. Also, in a criminal wrong, the court
focuses on punishing the criminal and not on compensating the victim. Example - When
a person commits the civil wrong of defamation and injures the reputation of another
person, the plaintiff can sue him in the court and if proven to be liable for the injuries,
the court can order the defendant to compensate for the injuries in the form of damages.
Whereas if an individual commits the crime of culpable homicide, and causes the death
of another person, it is up to the state authorities to find him and bring him to the court,
prosecute him, and if proven to be guilty, punish him. Here the court focuses on punishing
the accused unlike in the case of a civil wrong where the focus of the court is to
compensate for the plaintiff’s injuries.

The criminal law is defined in the Indian Penal Code, 1860 (IPC), and a person who has
committed a civil wrong is punished in accordance with the IPC, while aside from a few
common laws, there are no laws for civil wrongs, and it is solely up to the judges to
decide if the defendant is liable or not, and also the compensation for the same. Example
- If a person commits the crime mischief upon another individual or a group he will be
punished according to Sections 425-440 (which covers mischief) of the IPC while if a
person commits the tort of defamation, it is up to the courts whether to apply an English
tort principle if it is needed, or apply it with modifications or not use it at all.
Sometimes criminal law is also known as public law as it affects the whole society.
Example - If a person commits a murder, then he is a threat to the whole society and it
is up to the state to protect the society. But if a person has injured the reputation of
another individual, it does not concern the whole society. So civil laws are also known
as private laws.

In a criminal wrong, the presence of intention of causing the injury/committing the act
plays an important role in the judgment but in a civil wrong, the presence or absence
of the intention to cause the injury does not play any role in deciding the liability of the
injuries. If a person watches a deer run behind a bush and shoots at it and hurts another
person who was behind it instead, he will not be guilty. While if a person makes loud
noise which troubles his neighbours, it wouldn’t matter whether it was his intention to
do so or not.

There are however, certain wrongs that fulfil the criterion for both civil and criminal
wrong. In these situations, the distinction between the two wrongs can be slightly blurred.
They can be called both as a civil wrong as well as a criminal wrong. So, there can be
criminal as well as legal action for a single wrong. Some examples to these are assault,
defamation, negligence, nuisance, reckless driving etc. Many environmental wrongs
such as causing pollution, etc., fall under this category.

16.2 Environmental Crimes

When it comes to defining criminal wrongs in relation with the environment, it can be
deduced that environmental crime is a crime which violates environmental law causing
grave harm and going against the interests of the people as a result. This kind of crime
Environmental Liabilities 315

typically takes place to serve the vested interests of private companies and various
multinational corporations or even individuals. This offence could be physically harmful
to the people or it could threaten them and cause harm to their safety.

In many countries there are laws and statutes in place specifically to deter environmental
crime. Criminal prosecutions to tackle crimes against the environment have increased
considerably in developed countries over the last few decades. In India, however, although
the number of criminal provisions punishing environmental violations both under the
environmental statutes and the other general laws (including the Penal laws) are large,
actual prosecution is rare. This is largely the result of ambiguity and ineffectiveness in
the drafting of these criminal provisions, and the lack of adequate political will to
enforce those provisions. Together, these considerably reduce the deterrent effect of
these criminal provisions.

What are Environmental Crimes?

Criminal law has certain distinguishing characteristics - e.g. the greater role of ‘intent’
in the provisions of law, a strong basis in societal moral values, the special character of
incarceration as a sanction, and the law’s greater reliance on public enforcement. These
are more easily applied to individuals, and offences listed under criminal law are prohibited.
Civil law, on the other hand, is often held up to be ‘morally neutral’; i.e. its penalties
are not directed towards punishment but the prevention, cessation or correction of
harmful activity. Civil law also side-steps the difficulty of proving mens rea [criminal
intent] on the part of the offender. For these reasons, civil law (and tort law) has been
thought to be more easily applied to companies and institutions; in these areas, violations
are priced and constituted as civil wrongs.

While this distinction may be sound, in practice, in India the field of environment tort,
remediation and compensation are not well developed and the court process has been
rather sluggish. The costs of violations have been too small, and as a result much
environmental degradation has been rendered permissible.

Principally, a typical definition of environmental crime would stress upon three features.2
Firstly, that it violates an environmental law or legislation of that particular area which
is an essential. Secondly, there are two victims to environmental crime i.e. the people
and the environment. The environment of the Earth is known for its life supporting
conditions. To be able to continue the planet’s smooth functioning, we set down
environmental laws. However, sometimes corporations and the like who have vested
interests try and exploit the Earth hereby harming the balance. This puts both people
and environment at peril. Lastly, it is not necessary that corporations are always the
offenders. Even other organisations, like governmental organisations, can be violative
of environmental law. Some examples of environmental crimes are dumping of hazardous
wastes, oil spills, gas leaks, over exploitation where it is forbidden.

2
Yingyi Situ and David Emmons, Environmental Crime, at 4 (2000)
316 Law and Policies Pertaining to Environment

Environmental offences, unlike traditional offences, generally are strict liability offences.
These must be assessed in two ways by determining consequentiality (i.e., what is the
consequence of a given action or inaction), and by assigning moral responsibility for
certain outcomes (known in legal parlance as a deontological perspective). The intent
of the offender is not very important for strict liability offences; the penalties are to be
borne simply because some barred outcome occurred.

This approach focuses on the impact of punishment on others, looks to punishment for
deterrence, rehabilitation and incapacitation. Under such a model, absolute liability
offences could be justified as they increase deterrence, prosecutors will be able to
establish guilt with greater ease, and there will be no requirement of proof of fault. This
ease in conviction will increase the deterrent value. The public will be more cautious
while engaging in such activities as they risk punishment even without fault. One downside
to considering such consequences is that this kind of deterrence does not depend on the
chances of conviction alone, but also on the probability of being prosecuted, and the
level of prison sentence upon conviction.

Absolute liability offences were introduced to reduce the severe burden on the prosecution
to establish intention for certain offences. Keeping this in mind, the laws also set lower
penalties for cases where the prosecution cannot establish intention. But inevitably,
sometimes the penalties are applied on those who clearly did not intend to violate the
law. Critics argue that it is morally wrong to punish those who are not at fault. Perhaps,
but one possible counter to this objection is that when persons are engaging in activity
that could potentially cause harm to the environment and the public, they are obliged to
exercise due care, and if damage occurs, they are bound to provide compensation.

Liability in Environmental Crimes

Under the environment statutes if a company performs an illegal act, it is held liable.
Imposing liability on corporation is very important as the majority of environment crimes
are committed by companies; merely prosecuting the corporate officers for such offences
would not sufficiently deter the company. By application of the principle of respondent
superior the company is held vicariously responsible for the actions of its employees in
the course of employment and for the benefit of the company. Such liability would be
especially useful when it is difficult to pin liability on one particular official, as the
environmental violations are the result of the actions of several different officers. Along
similar lines of argument, holding companies may also be held liable for the criminal acts
of their subsidiaries.

But individuals aren’t totally exempt from penalties. If the offence has been committed
by the company, then in addition to the company, every person who is directly in charge
of and responsible to the company for the conduct of the business of the company shall
also be liable. Such corporate officers would escape liability if they can prove that the
offence was committed without their knowledge or that there was exercise of due
diligence to prevent the commission of the offence. The Water Act, the Air Act and the
Environment Protection Act are all fairly clear that responsible officers of the company
Environmental Liabilities 317

shall be deemed responsible for offences under their watch.

But these Acts also contain a contradiction. Other clauses in each of the Acts require the
prosecution to establish the connivance, consent or negligence of the ‘director, manager,
or other officer’ before an offence is established. The difficulty of establishing the
constituents of an offence is heightened when following a dualistic model, which imposes
civil liability for minor damages and criminal liability for major damages.

Against this background of the laws’ purposes and methods, we see that environmental
offences should be divided into two categories with accordingly different punishment -
(1) the intentional or knowing desecration of the environment, and (2) the accidental
damage of the environment despite the exercise of due care and diligence. This distinction
on culpability should be significant, it should not be left to the enforcement authorities
and sentencing authorities to determine whether to prosecute. There is no such
categorisation presently under Indian law. With nearly complete prosecutorial discretion
the deterrent value and the moral message behind the criminal punishment is vastly
reduced. Instead, where crimes are found to be intentional, severe prison sentences and
fines should be imposed.

This requires a reconsideration of the current fines imposed - which are ridiculously low,
and totally dilute the retribution that is allegedly sought. By recent amendments the
degree of some fines has been increased; however to achieve any degree of deterrence
especially for large companies, the method of calculating such fines should be different.

One option for calculation is that the fine imposed should be proportionate to the
magnitude and capacity of the enterprise so that the punishment will have an adequate
deterrent effect. More pecuniary compensation may not be an effective deterrent in
cases where the defaulter has the capacity to pay from a corporate account. In extreme
and appropriate cases, a minimum period of imprisonment in addition to the economic
penalty can be an effective sanction to deter affluent offenders.

A satisfactory solution requires not merely a simple criminal prohibition model, say, on
the lines of the statue against homicide or burglary, but an elaborate scheme of regulation,
administered by a State agency empowered to grant, withhold and suspend licenses,
following rules designed to promote fairness and efficiency. Imposing civil liabilities can
check a lot of harms for which criminal sanction cannot provide a solution. The role of
criminal law would then be a derivative one - to provide backup sanctions to enforce
authoritative and/or administrative orders.

Imposing liability on corporation is very important as the majority of environmental

crimes are committed by companies; merely prosecuting the corporate officers for such
offences would not deter the company.
318 Law and Policies Pertaining to Environment

16.3 Types of Environmental Criminal Wrongs

There are many ways to commit environmental crimes in today’s society. The reasons
for these vary since they are all committed at different levels. Some of them however,
have been elaborated upon below
1) Littering: Littering is perhaps a global environmental crime. Furthermore, it is the
one thing that can be found everywhere in our nation. Since authorities are not
strong in implementing any minor existing laws, the situation is very lax. Littering
encompasses any sort of garbage or unwanted matter which could include car
abandoning, dog fouling, throwing plastics etc. This apart, littering can give birth to
diseases and epidemics that can harm our communities.
The Supreme Court at one point of time however, in 2006 did pass a decision to
enforce a strict law to impose fines on those who throw litter or rubbish around the
city. Whether this law has been enforced or taken seriously depends upon the
municipal body, but as citizens of this country, we are responsible for maintaining its
cleanliness.
2) Improper waste disposal: In a country as populated as ours, improper waste disposal
is yet another problem of the masses. Dumps are created inappropriately by people
and the municipality in some places is not strict enough to enforce the organised
waste disposing procedures. Furthermore, there is rarely any mention of usage of
scientific techniques, especially in large metropolitan areas where recycling of wastes
is essentially needed. Improper waste disposal has harmful effects on the soil and is
practically equivalent to littering. Sometimes, it can even give rise to toxins and
chemicals that can further contaminate the air and the soil.
3) Oil spills: Since the industrial revolution, the world has been witnessing major oil
spills. These have ruined the marine ecosystem killing all forms of aquatic life by
polluting the sea. While polluting the sea has strict regulations in today’s world, oil
spills take place as accidents. To what extent the corporations to whom these ships
belong are responsible, can only be fathomed; however, there have been times
when companies have stepped up and taken responsibility and paid compensation.3
Even so, in a crime as massive as this with the loss to fish industry, loss to tourism
industry, ecosystem damage, habitat destruction, loss of biodiversity among its chief
results, will compensation ever be enough?
4) Destruction of wetlands: Wetlands are usually found in areas near rivers and comprise
of swamps, marshes, lakes, freshwater, peat bogs, river deltas, mangroves, tundra,
lagoons and river flood plains. These are being destroyed and are endangered habitats
which are home to an entire range of species. Various reasons for wetland destruction
include extensive agricultural encroachment due to land fertility, droughts and global
warming. The intensity of this environmental crime could prove to be magnanimous
simply for the fact that wetlands are also known to store at least 20 per cent of the
3
Tom Levitt, BP oil spill: can environmental crime ever be made to pay, The Ecologist, May 24th 2010.
Environmental Liabilities 319

world’s carbon. Their destruction would trigger a carbon bomb4 that could have
massive impact on our atmosphere and surroundings.
5) Dumping into oceans, streams, lakes, or rivers: Apart from oil spills, dumping into
the water bodies of our planet is another act that equivalents a crime. Over the
past few centuries, all types of wastes have been ocean dumped. These include
inter alia, industrial waste, military wastes, entire ships, trash, garbage, dredged
material, construction debris, and radioactive wastes.5 They enter the water bodies
through pipe discharge, atmosphere, direct dumping, off shore mining etc. Dumping
results in the destruction of the entire marine habitat. Since the aquatic ecosystem
is known to support immense diversity of life, destroying it would have repercussions
on the entire planet. In various countries, there are acts and legislations working
together to prevent this crime from taking place. While one proposed in India has
received much criticism. Another act known as the Merchant Shipping Act of 1958
deals with the wastes being produced from ships near the coastline within a specific
radius.
6) Improperly handling pesticides or other toxic chemicals: When pesticides are
carelessly handled, they can have massive impacts even in some doses. Because of
their ability to spread way beyond the applied area, these can cause problems in
unexpected ways. They contaminate land and water because of their ability to
travel from their storage spaces. They get into the water table and have harmful
effects on food production. Soil pollution is just another one of its harmful effects.
India however, has banned a lot of these and restricted the use of some while
refused to register some completely. Some of the better- known pesticides would
be DDT and endosulfan.
7) Burning garbage: Burning garbage is another crime that pollutes the air we breathe
in. Where urban incinerators treat most of the garbage before it is released from
industries, homes are doing exactly the opposite since burning garbage releases
poisonous dioxins into the air which also has cancer as of its long term effects. It can
harm all the people living nearby. According to Indian law, people burning trash and
causing pollution can be booked under Section 278 of the IPC.
8) Improperly removing and disposing of asbestos: Asbestos, known worldwide for its
harmful effects like cancer and asbestos, is used in things like insulation, mats,
shoes, automobile brake pads etc. However, if not disposed of properly, it is equivalent
to poison itself. While many laws in India govern its usage, their disposal is mentioned
but not very strictly covered and adhered to. Its improper disposal can put in peril
a massive section of the society which is why it needs better laws. When a PIL was
filed for a ban of this material due to the health hazards, the SC put its foot down
refusing to do so. However, it did ask the governments to put in place a body to
regulate its use and manufacturing.
4
Organic Consumers Association, Destruction of Wetlands Could Unleash Carbon Bomb, Environmental
New Network, July 24th 2008.
5
Robert M. Engler, Ocean dumping, Pollution Issues.
320 Law and Policies Pertaining to Environment

9) Falsifying lab data pertaining to environmental regulations: This environmental

law, which is violated commonly in our nation,6 is also known as a white-collar
crime can result in drastic punishment. While India provides laws for monitor and
control of environmental standards, it doesn’t give any for falsifying lab results.
This does not imply that this crime is not a serious one. If a situation does arise,
there is no end to the liability that could take place.

10) Smuggling of chemicals such as CFC: This law if broken could lead to a lot of trouble.
In the past there have been instances not only in India but all over the world where
Ozone Depleting Substances such as CFCs have been illegally imported. However,
after the Montreal protocol, India remains the largest producer of smuggled CFC.7
The reason this crime has received so much attention is because CFC is the reason
for the holes in the ozone layer. Since the protocol, most electrical equipment
manufacturers have stopped using CFC. However, old refrigerators and air
conditioners still have CFC in them and use of CFC is still carried out despite laws.

11) Bribing government officials: Even apart from environmental issues, this crime
already comes with a penalty and punishment. Officials who take money for illegal
trade of animals can be charged under the Article 168. Furthermore, bribery even
for other reasons can hold government officials liable under the Prevention of
Corruption Act. Considering how seriously the world leaders are taking environmental
matters nowadays, bribing government officials would put people into a lot of trouble.

12) Nuclear disaster: This crime is more unintentional in nature. However, the act in
India that compensates for anything of this sort is the Nuclear Civil Liability Act.
This act has received much criticism simply because it puts most liability on the
operator which is the Indian Government and barely any on the manufacturer. This
sort of a compensation arrangement has been opted for, critics say, because India
wants to bring in the foreign market of nuclear equipment manufacturers. However,
whoever is found liable for this crime could face fines way beyond their means and
the punishment will be taken seriously simply because one disaster of this kind
could have a massive impact on a nation’s economy and kill hundred thousand in
one go.

13) Poaching: Poaching is perhaps a small crime with much greater repercussions than
we realise. It can lead to the extinction of species which could harm the entire food
web on the whole. When we kill an endangered or extinct species, it is bound to get
extinct eventually.

The Wildlife (Protection) Act, 1972 accounts for the protection of wild animals,
birds and plants and for matters connected with these. Section 9 of the act says that
no person shall hunt any wild animal specified in schedule I, II, III, IV8 except as
6
Lab Data Integrity at Issue in FDA Warning Letters Sent to China and India, International Pharmaceutical
Quality, June 13th 2011.
7
India largest source of smuggled CFCs, India Today, April 27th 2008.
8
The schedules I, II, III, IV provide a list of animals declared by our government as endangered species.
Environmental Liabilities 321

provided under Sections 11 and 12. The India Penal Code also talks about this
environmental crime as a tort of nuisance.9 It has been strictly banned in India
however, according to an EIA report10 , trading of cat skins still goes on which is
further followed by export to other nations. This crime is considered a serious one
transnationally and puts heavy liability on the poacher and other accomplices
involved.

14) Smoking: Smoking is not considered a crime as such however; each country has its
own set of regulations to monitor it since smoking in closed spaces can be fatal not
only for the smokers but also for the non-smokers.

16.4 Some Important Criminal Statutes

A criminal code or penal code is a document which compiles all, or a significant amount
of, a particular jurisdiction’s criminal law. Typically, a criminal code will contain offences
which are recognised in the jurisdiction, penalties which might be imposed for these
offences and some general provisions such as definitions and prohibitions on retroactive
prosecution.

Criminal codes are relatively common in civil law jurisdictions, which tend to build legal
systems around codes and principles, which are relatively abstract and apply them on a
case by case basis. Conversely, they are rare in common law jurisdictions.
In India, the two most important legislations regulating crime and control are -
A) The Indian Penal Code
B) The Code of Criminal Procedure
The Indian Penal Code is a primary source of crime regulation. It contains definitions and
encompasses all sorts of possible ways to commit crimes. Some of the sections however
even have some relation with the basic concepts of environmental law. The Indian Penal
Code contains elaborate provisions defining the crime of public nuisance in its various
aspects and instances and prescribes punishments. Chapter XIV of the code is regarding
offences affecting public health, safety, convenience, decency and morals. Given below
are a few of the sections that have can be understood in terms of environment or can
offer some regulation on environment sustainability or effect environmental issues -
1) Section 120 A Criminal Conspiracy
“When two or more person agree to do, or cause to be done,
1) An illegal act, or
2) An act which is not illegal by illegal means, such an agreement is designated a
criminal conspiracy: Provided that no agreement except an agreement to commit
9
Nimish Raja, An overview of Poaching as an Environmental Crime, (last visited July 13, 2011 10 19
PM).
10
Debbie Banks et al, Environmental Crime A Threat to the Future, Environment Investigation Agency,
10.
322 Law and Policies Pertaining to Environment

an offence shall amount to a criminal conspiracy unless some act besides the
agreement is done by one or more parties to such agreement in pursuance
thereof.
Explanation: - It is immaterial whether the illegal act is the ultimate object of such
agreement, or is merely incidental to that object.

For example, illegal poaching of animals for selling outside the nation, which involves
an outsider and a guard of a wildlife and forest designated and protected area
would be counted as criminal conspiracy because the act itself was illegal to begin
with. A lot of the environmental crimes which take place have more than a single
party involved. If they are to be challenged for breaking the law, this article would
constitute as a primary offence; the punishment for which is also clearly specified
in the following article of the Indian Penal Code.

2) Section 141 Unlawful Assembly

“An assembly of five or more persons is designated an “unlawful assembly”, if the
common object of the persons composing that assembly is -
First-To act by criminal force or show of criminal force (the Central or any State
Government of Parliament or the Legislature of any State), or any public servant in
the exercise of the lawful power of such public servant; or
Second-To resist the execution of any law, or of any legal process; or
Third-To commit any mischief or criminal trespass, or other offence; or
Fourth-By means of criminal force, or show of criminal force, to any person, to take
or obtain possession of any property, or to deprive any person of the enjoyment of
a right of way, or of the use of water or other incorporeal right of which he is in
possession or enjoyment, or to enforce any right or supposed right; or
Fifth-By means of criminal force, or show of criminal force, to compel any person
to do what he is not legally bound to do, or to omit to do what he is legally entitled
to do.
Explanation-An assembly which was not unlawful when it assembled, may subsequently
become an unlawful assembly.”

This section lays down elaborate procedures and methods which constitute for
unlawful assemblies in the nation. Environmental concerns are very global issues and
these have local agendas too. Sometimes, when the government or any other
organisation tries to legally disturb an area, the natives rise to the occasion by
coming together and protesting. While these gatherings may be with cause, they
will still be called unlawful if it is inherently felt that they go against the interests
and the smooth functioning of the nation. One such example would be the Narmada
Bachao Andolan situation where arrests have taken place in order to prevent an
uprising and assembling of people.
Environmental Liabilities 323

It is not only the basic principle of unlawful assembly that could relate to
environmental concerns. Even sections that follow would have some role-play and
involvement.

3) Section 168 Public servant unlawfully engaging in trade

“Whoever, being a public servant, and being legally bound as such public servant
not to engage in trade, engages in trade, shall be punished with simple imprisonment
for a term which may extend to one year, or with fine, or with both.”

This section has a lot of relations and application in the environment since sometimes,
as has been the case; it is the government authorised officials that have helped in
trade of endangered species by getting them smuggled outside of a protected area.
In India, this was a frequent situation in the sanctuaries and wildlife parks.

4) Section 269 Negligent act likely to spread infection of disease dangerous to life
“Whoever unlawfully or negligently does any act which is, and which he knows or
has reason to believe to be, likely to spread the infection of any disease dangerous
to life, shall be punished with imprisonment of either description for a term which
may extend to six month, or with fine, or with both.”

When we speak of environmental conservation and maintaining the balance, we

essentially focus on maintaining whatever has the chances of being lost over the
years. So, something like a negligent act that could cause harm to any form of life
has a lot to do with spoiling the balance of all forms of life on Earth which very
much makes it an environmental concern.

5) Section 268 Public nuisance

“A person is guilty of a public nuisance who does not 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. A common nuisance is not excused on the ground
that it causes some convenience or advantage.”

6) Section 277. Fouling water of public spring or reservoir

“Whoever voluntarily corrupts or fouls the water of any public spring or
reservoir, so as to render it less fit for the purpose for which it is ordinarily used,
shall be punished with imprisonment of either description for a term which may
extend to three months, or with fine which may extend to five hundred rupees, or
with both.”

7) Section 278. Making atmosphere noxious to health

“Whoever voluntarily vitiates the atmosphere in any place so as to make it noxious
to the health of persons in general dwelling or carrying on business in the
324 Law and Policies Pertaining to Environment

neighbourhood or passing along a public way, shall be punished with fine which may
extend to five hundred rupees.”

While Section 268 defines public nuisance, Section 277 and Section 278 (succeeding
this section) are more specific contextually and have direct relation to environment
protection. These talk about air pollution and water pollution. As to concerns
regarding these two, there are other legislative pieces also; however, the IPC
mentions both environmental concerns in the brief.

Another section that could have some relation to environment protection is Section
425 which talks about mischief. However, all of these sections above need substantive
procedural evidence and the like which makes it harder for these sections to be
able to be as effective as needed. Another important criminal statute is the Code of
Criminal Procedure which contains an entire chapter which talks about unlawful
assemblies (Sections 129-132 i.e. Part A), public nuisance (Sections 133-143 i.e. Part
B), urgent cases of nuisance or apprehended danger (Section 144 i.e. Part C), disputes
as to immovable property (Sections 145-148 i.e. Part D).

The provisions in the old Indian law, which have a bearing on the environment,
have rarely been effective until recently. The realisation to care for the environment
wasn’t as approached as it is today. Unless there was awareness on the part of the
people to approach the authorities, neither the government nor the courts would
have had the opportunity to make use of the statutory provisions.

The important role played by the judicial activism of the eighties made its impact
felt mire in the area of the environmental protection than in any other field. Municipal
council, Ratlam v. Vardhichand11 is a signpost. The Supreme Court identified the
responsibilities of local bodies towards the protection of environment and developed
the law of public nuisance in the Code of Criminal procedure as a potent instrument
for enforcement of their duties.

16.5 Other Legislations Related to Environmental Crimes

While the two main criminal acts have some provisions when it comes to monitoring and
dealing with environmental crime, it can easily be said that it is just the tip of the ice-
berg. Beyond the two legislations, there are a string of legislations in the forms of acts
and rules which mention these speak of all sorts of environmental crime.

To begin with we have the Directive Principles of State Policy, which are mentioned in
the constitution. Article 48 A of the constitution which constitutes of one such principle
says that the state is obliged to protect and improve the environment. Article 51 A(g)
directs citizens to take the same responsibility.

11
AIR 1980 SC 1622.
Environmental Liabilities 325

Besides these, the chart below gives a timeline and summary of the recent environmental
regulations.12
Year Environmental Regulations
1974 Water (Prevention & Control of Pollution Act) Amendments, 1988
1975 The Water (Prevention & Control of Pollution) Rules
1977 The Water (Prevention & Control of Pollution) Cess Act
1978 The Water (Prevention & Control of Pollution) Cess Rules
1981 The Air (Prevention & Control of Pollution) Act, Amendments, 1987
1982/83 The Air (Prevention & Control of Pollution) Rules
1986 The Environment (Protection) Act, Amendments (1989, 1990, 1993, 1996,1997,
1998, 1999, 2000, 2001)
1986 The Environmental (Protection) Rules
1992 E (P) Act Notification - “Environment Statement”
1994 E (P) Act Notification - “Environmental Clearance”
1997 Amendments in the Environment Clearance, Notification - “Public Hearing”
made mandatory
1989 The Hazardous Wastes (Management and Handling) Rules, Amendments, 2000,
Draft Amendments, 2002
1989 Manufacture, Storage and Import of Hazardous Chemical Rules, Amendments,
1994, 2000
1991 The Public Liability Insurance Act/Rules, 1992
1995 The National Environment Tribunal Act
1997 Prohibition on the Handling of Azo dyes
1997 The National Environment Appellate Authority Act
1998 The Bio-Medical Waste (M&H), Rules
1999 Notification for making 100% Utilisation of Fly-ash made mandatory
2000 Municipal Solid Waste (M&H) Rules
2000 Ozone Depleting Substance (R&C) Rules
1999 Regulation on recycling of Waste Oil and Non-ferrous scrape
2000 Noise Pollution (Regulations and Control)
2001 Batteries (M&H) Rules

12
Dr. Asit K Patra, Environmental Regulations in India.
326 Law and Policies Pertaining to Environment

2002 Biological Diversity Act

2006 Environment Impact Assessment Notification
2010 National Green Tribunal Act
2016 E-Waste (Management) Rules 2016
2016 Bio-Medical Waste Management Rules 2016
2016 Plastic Waste Management Rules 2016
2016 Solid Waste Management Rules, 2016
2016 Construction and Demolition Waste Management Rules 2016
2016 Hazardous and Other Waste (Management and Transboundary Movement) Rules
2016
2019 Coastal Regulation Zone Notification 2019

Also established upon in detail below are a few important Acts in India over time that
help bring a difference to the environment protection approach in India -
One of the first legislations when it comes to environment was The Indian Fisheries Act
of 1897, which set out penal offences for using a dynamite or explosive in marine and
coastal areas for any sort of fishing to kill the fish. The 1948 Factories Act expressed
concern for the working environment of factory labourers. This was the first time something
like this had been provided for. This Act was also later amended in 1978.
As for the forest concerning Acts, The Indian forest Act of 1927 (amended 1984) is an old
colonial statute which attempts to ‘consolidate the law related to forest, the transit of
forest produce, and the duty leviable on timber and other forest produce’. The 1971
Wildlife Protection Act which was amended in 1991 and the rules of 1972 seeks to
“provide for the protection of [Wild animals, birds and plants] and for matters connected
therewith or ancillary or incidental thereto.”
The most important water protection act is The Water (Prevention and Control of Pollution)
Act of 1974 that establishes a proper structure and seeks to “provide for the prevention
and control of water pollution and the maintaining or restoring of wholesomeness of
water”. The Central Pollution Control Board was formulated under this Act. In trying to
control water pollution, this Act sets standards and requires industries to take permission
for releasing effluents into the water.
Similarly, the Air (Prevention and Control of Pollution) Act seeks to control and abate
pollution and entrusts the power of its enforcement to the Central Pollution Control
Board. The 1988 Motor Vehicles Act asks for all waste to be properly packaged, labelled
and transported.
The most important Act however, is The Environment Protection Act of 1986 which is an
Act that provides for the protection of the environment and puts a lot of power in the
Environmental Liabilities 327

hands of the central government to restrict industrial developments on environmental

grounds and to stop any kind of pollution from its very sources. The Environment
Protection Rules on the other hand set down procedures for discharge of environmental
pollutants.
Another important legislation in this arena is the Hazardous Wastes (Management and
Handling) Rules, Amendments, 2000; Draft Amendments 2002 are the bible of waste
management when it comes to Indian law. These rules control the generation, collection,
treatment, import, storage, and handling of hazardous waste.
The Public Liability Insurance Act, 1991 is another important statute that was constructed
to provide relief to the owner in case of an accident on a principle of no fault. It brings
out the liability the owner of a particular industry or work place which has undergone an
accident. This puts all the responsibility in the Act of the owner.
As far as the nuclear energy and disasters are concerned, there is The Atomic Energy Act
which deals with radioactive waste. Another Act important here is the Nuclear Civil
Liability Act which provides for compensation in case of nuclear disasters.

16.6 Best Practices

While some nations do not come on so strong in their legislations when it comes to
crimes like littering or dumping, for the reason that these are, according to them, too
petty to be considered major offences; there are some who indeed stress upon small
offences like these and adopt practices that are indeed role models for other nations to
follow.
In case of littering, for e.g. , the Metro Manila Council in the Philippines passed an anti-
littering law “prohibiting littering/dumping/throwing of garbage, rubbish or any kind of
waste in open or public places, and requiring all owner’s, lessees, occupants of residential,
commercial establishments, whether private or public to clean and maintain the cleanliness
of their frontage and immediate surroundings and providing penalties for violation thereof”
in 1996 which was initially in effect from 1996 to 2002, but has been rigorously in effect
again from 2010. The law has been so effective that in a period of six months (Sep-
March), 35,919 violators have been apprehended.
As far as disposing wastes and burning garbage is concerned, it can be said that countries
on the whole are more particular due to the harmful effects of piling and collection of
untreated waste. However, some practices used to get rid of the waste may not be
environment friendly at all. Specifically, no state implements completely ideal practices
as such, however, treating of chemical and industrial waste is usually done with methods
like -
♦ Integrated waste management
♦ Landfills: These are a common practice, however, if not constructed properly can
attract vermin and generate greenhouse gas which is environmentally degrading in
nature.
328 Law and Policies Pertaining to Environment

♦ Incineration: A method commonly used for solid waste disposal by subjecting the
waste to immense heat and combustion.
♦ Recycling: Recycling implies the collection and reuse of materials that have been
disposed of such as beverage containers etc.
Waste management concepts such as the waste hierarchy (reduce, reuse, and recycle),
extended producer responsibility and producer pays principle hold immense importance
in the global arena. One well implemented practice, however, does exist in Australia
known as the curb side collection where every urban domestic household is allotted
three bins for various kinds of wastes such as recyclable waste, garden waste and general
waste. Recycling however, is very encouraged and has been successful in its
implementation.
Oil spills and other dumping in the oceans are considered grave crimes. While in some
areas, incineration followed by subsequent dumping is allowed in the sea13, most countries
are very strict about ocean dumping. Even at the incineration level a number of stringent
U.S. federal laws apply. When it comes to oil spills, the punishment in the U.S. results
in over bearing liabilities because of the Oil Pollution Act passed specifically for this
purpose following the Exxon Valdez disaster.14 Furthermore, satellites have been able to
detect off shore pollution caused by ships and tankers which has helped in effective
implementation.
As far as nuclear disasters are concerned, the liabilities are limitless. Despite the numerous
precautions that every nation takes before getting into nuclear projects, there have
always been complaints because of where the liabilities happen to fall in case of a
disaster. A mid-way is yet to come out on this matter. The Act in India however has failed
to meet adequate standards of the public.

16.7 Conclusion
Environmental crime can be broadly defined as illegal acts which directly harm the
environment and people. A few types of Environmental criminal wrongs
♦ Littering
♦ Improper waste disposal
♦ Oil spills
♦ Destruction of wetlands
♦ Dumping into oceans, streams, lakes, or rivers
♦ Improperly handling pesticides or other toxic chemicals
♦ Burning garbage

13
“Ocean Dumping.” Encyclopaedia of Public Health. Ed. Lester Breslow. Gale Cengage, 2002. eNotes.com.
2006. 20 Jul, 2011.
14
Oil Pollution Act overview, Environmental Protection Agency United States.
Environmental Liabilities 329

♦ Improperly removing and disposing of asbestos

♦ Falsifying lab data pertaining to environmental regulations
♦ Smuggling certain chemicals, such as CFC refrigerants
♦ Bribing government officials
♦ Nuclear Disaster
♦ Poaching
♦ Smoking
Of the two most important criminal legislations i.e. The Indian Penal Code and The Code
of Criminal Procedure, there are some sections which can be understood and offered in
terms of environment.
1) Indian Penal Code: Sections 120 A(Criminal Conspiracy), 141(Unlawful Assembly), 168
(Public servant unlawfully engaging in trade), Section 269(Negligent act likely to
spread infection of disease dangerous to life), 268(Public nuisance), 277(Fouling
water of public spring or reservoir), 278 (Making atmosphere noxious to health),
Section 425 (mischief).
2) Code of Criminal Procedure: Unlawful assemblies (Sections 129-132 i.e. Part A),
Public Nuisance (Sections 133-143 i.e. Part B), urgent cases of nuisance or apprehended
danger (Section 144 i.e. Part C), disputes as to immovable property (Sections 145-
148i.e. Part D)

A few prominent environmental legislations that broadly prevent environmental crimes

are: The Indian Forest Act, Wildlife Protection Act, the Water (Prevention and Control of
Pollution) Act of 1974, Air (Prevention and Control of Pollution) Act, The Environment
protection Act of 1986, the Hazardous Wastes (Management and Handling) Rules, The
Public Liability Insurance Act, 1991, and the Nuclear Civil Liability Act.

16.8 References and Recommended Readings

Lucia Zedner, Criminal Justice (Oxford OUP, 2005), at 58-63 Yingyi Situ and David Emmons,
Environmental Crime, page 4
List of banned insecticides, available at http //cibrc.nic.in/list_pest_bann.htm
Debbie Banks et al, Environmental Crime A Threat to the Future, Environment Investigation
Agency, page 10
Dr. Asit K Patra, Environmental Regulations in India.
330 Law and Policies Pertaining to Environment

UNIT 17
LAW OF TORTS, CIVIL WRONGS
AND THE ENVIRONMENT
Contents
17.1 Introduction 330
17.2 Tort Law in India 331
17.3 Tort Law and the Environment 335
17.4 Some Important Legislations 336
17.5 Common Environmental Torts 340
17.6 Remedies and Damages 344
17.7 Conclusion 349
17.8 References and Recommended Readings 350

17.1 Introduction
A tort in simple language is a civil wrong. A tort is normally present in common law
jurisdictions. It is a wrong that involves a breach of a civil duty (other than a contractual
duty) owed to someone else. It is differentiated from a criminal wrong as criminal wrong
involves a breach of a duty owed to society in general. Though many acts are both torts
and crimes, prosecution for crime is mostly the responsibility of the state, private
persecutions are rarely used; whereas any party who has been injured may bring a
lawsuit for tort.

Tort is a breach of civility, unlike contractual breaches. The reason it is different from a
crime is because unlike criminal wrongs, torts are not committed against the society or
State; instead they are committed against specific people. There are wrongs which are
both tortious and criminal. Someone who commits a tortious act is known as a tortfeasor.
No one gave a precise definition to torts that would cover every tort specifically because
torts have been developed through specific cases. Because judges have cases to deal
with in their everyday life, the field of torts is still seen as an emerging and expanding
branch of law.

The rules of tort law were first introduced in our country with the arrival of the British.
Initially the disputes arising in the three main residencies of Madras, Bombay and Calcutta
Environmental Liabilities 331

were decided on the basis of common law.1 Gradually, by the 18th century, the
words “equity, justice and good conscience” prevailed in the form of tort law in our
nation.

Some torts are said to be intentional whereas some are unintentional. An intentional tort
is an injury inflicted by positive, wilful, and aggressive conduct, or by design, as opposed
to an injury caused by negligence or resulting from an accident. The most common
wrongs in the law of torts are nuisance, defamation, strict or absolute liability, trespass,
intentional infliction of emotional distress, negligence, assault, battery and fraud.

A person who suffers a tortious injury is entitled to receive “damages”, usually monetary
compensation, from the person or people responsible - or liable - for those injuries. Tort
law defines what is a legal injury and, therefore, whether a person may be held liable
for an injury they have caused. Legal injuries are not limited to physical injuries. They
may also include emotional, economic, or reputational injuries as well as violations of
privacy, property, or constitutional rights. Tort cases therefore comprise such varied
topics as auto accidents, false imprisonment, defamation, product liability (for defective
consumer products), copyright infringement and environmental pollution or toxic tort
among many others.

In most of the common law countries the most prominent tort liability is negligence. If
the injured party can prove that the person believed to have caused the injury acted
negligently- that is, without taking reasonable care to avoid injuring others - tort law
will allow compensation. However, tort law also recognises intentional torts, where a
person has intentionally acted in a way that harms another, and “strict liability” or quasi-
tort, which allows recovery under certain circumstances without the need to demonstrate
negligence.

17.2 Tort Law in India

“A tort is a civil wrong for which the remedy is an action for unliquidated damages
and which is not exclusively the breach of a contract, or the breach of a trust, or
the breach of other merely equitable obligation.”
- Salmond

The term ‘tort’ was introduced into the terminology of English Law by the French speaking
lawyers and Judges of the Courts of Normandy and Angevin Kings of England. As a technical
term of English law, tort has acquired a special meaning as a species of civil injury or
wrong. Till about the middle of the seventeenth Century tort was an obscure term, at a
time when procedure was considered more important than the right of an individual.
This emphasis on procedural aspect for determining the success for a case continued for
some 500 years, till 1852, when the Common Law Procedure Act was passed and primacy
of substance over the procedure gradually gained firmer ground. Today the maxim as it
stands is ‘ubi jus ubi remedium’, i.e. where there is right there is remedy.
1
Common law referred to the laws produced from judicial proceedings unlike statutory legislations.
332 Law and Policies Pertaining to Environment

Tort is the French equivalent of the English word ‘wrong’ and of the Roman law term
‘delict’. The word tort is derived from the Latin word ‘tortum’ which means twisted or
crooked or wrong and is in contrast to the word rectum which means straight. It is
expected out of everyone to behave in a straightforward manner and when one deviates
from this straight path into crooked ways, he is said to have committed a tort. Hence
tort is a conduct which is twisted or crooked and not straight. Though many prominent
writers have tried to define Tort, it is difficult to do so for varied reasons. The key
reason among this being, that the law of Torts is based on decided cases. Judges while
deciding a case, feel their primary duty is to adjudge the case on hand rather than to lay
down wider rules and hence they seldom lay down any definition of a legal term.
Furthermore, the law of tort is still growing. If a thing is growing no satisfactory definition
can be given.

In India the term tort has been in existence since pre-independence era. The Sanskrit
word Jimha, which means crooked was used in ancient Hindu law text in the sense of
‘tortious of fraudulent conduct’.2 However, under the Hindu law and the Muslim law, tort
had a much narrower conception than the tort of the English law. The punishment of
crimes in these systems occupied a more prominent place than compensation for wrongs.
The law of torts in India, presently, is mainly the English law of torts which itself is based
on the principles of the common law of England. However, the Indian courts before
applying any rule of English law can see whether it is suited to the Indian society and
circumstances. The application of the English law in India has therefore been a selective
application.

In this context, in M.C. Mehta v. Union of India3, Justice Bhagwati observed- “We have
to evolve new principles and lay down new norms which will adequately deal with new
problems which arise in a highly industrialised economy. We cannot allow our judicial
thinking to be constructed by reference to the law as it prevails in England or for the
matter of that in any foreign country. We are certainly prepared to receive light from
whatever source it comes but we have to build our own jurisprudence.”

During British rule, courts in India were enjoined by Acts of Parliament in the UK and by
Indian enactments to act according to justice, equity and good conscience if there was
no specific rule of enacted law applicable to the dispute in a suit. In regard to suits for
damages for torts, courts followed the English common law insofar as it was consonant
with justice, equity and good conscience. They departed from it when any of its rules
appeared unreasonable and unsuitable to Indian conditions. An English statute dealing
with tort law is not by its own force applicable to India but may be followed here unless
it is not accepted for the reason just mentioned.
“Truly speaking the entire law of torts is founded and structured on morality.
Therefore, it would be primitive to close strictly or close finally the ever expanding

2
Narada Smriti, Text of Narada cited in Priyanath Sen Hindu Jurisprudence, p 211.
3
AIR 1988 SC 1037
Environmental Liabilities 333

and growing horizon of tortious liability. Even for social development, orderly
growth of the society and cultural the liberal approach to tortious liability by
court would be conducive.”
-Saha L JL4
The observation made by Hon’ble Sahai.J dispels any illusions as to the necessity of the
law of torts. His observations also envisage the growth of tort litigation in India. To fully
assess the role played by tort law in a modern society, it would be instructive to turn to
the history of England during the last three centuries. This is for two reasons- firstly, tort
litigation in England has grown significantly, making it an interesting study; and secondly,
the law of torts in India has been largely borrowed from the English law of torts.

The outstanding fact of England’s legal history relevant to the present context is the
growth of her own tort law from small beginnings to the size and status of a separate
branch of law. This was the work of her lawyers and judges who developed the action
for damages as a remedy for violations of rights and duties and fashioned it as an instrument
for making people adhere to standards of reasonable behaviour and to respect the rights
and interests of one another.

As a result, the English people benefited by the cultivation of habits of thought and
conduct which helps social peace and co-operative effort, inculcated a live sense of
individual rights which they do not hesitate to ascertain in courts of law. The necessary
corollary of this is the formulation of a large body of rules defining in detail the rights of
the individual in relation to others and the conditions in which he can assert them in a
court of law. So, we have a body of law whose rules have grown and are constantly
growing in response to new concepts of rights and duty and new needs and conditions.

If it is true to say that the English people attained, during this period, a degree of social
unity and integration enabling them to achieve phenomenal success in various aspects of
their life, activity and welfare, it is difficult to resist the inference that among the many
forces and influences that made this possible, was the development of their system of
law and justice so as to afford security to the citizen in his life, person, property and
rights and interests which he values. An integral and important part of this system is tort
law.5

Evidence of its importance is afforded by the large and growing volume of litigation and
case law in actions for torts of various kinds and in particular those of defamation,
negligence and nuisance. In deciding these actions English judges and juries have tried to
make their decisions sub-serve the purposes already stated. They have taken care to
allow claims only when they are just and make their awards of damages serve, on the
one hand as a deterrent of wrong doing and on the other, afford satisfaction to parties
suffering from injury or loss. The views here stated find support in the almost whole sale
adoption of tort law of England along with her other laws by progressive nations like
those of the U.S.A, Canada and Australia.
4
Jay Laxmi Salt Works (p) ltd. v. State of Gujarat (1994) 4 SCC 1
5
Ramaswamy Iyers, The Law of Torts (Ninth Edition), Lexis Nexis Butterworths.
334 Law and Policies Pertaining to Environment

Though we have done likewise in borrowing the English law of torts, we have to make a
far greater use of it than we do now for making it serve the purposes for which the
people of other countries aforesaid have used it. The use made of it in these countries
is evidenced not only by the case laws in their courts but also by the continual interest
evinced by their lawyers, judges and professors in the development of this branch of law
by means of their contributions to the growing volume of literature on it.
It is undeniable that we cannot afford to neglect any agency which can help to regulate
individual conduct in conformity with the needs of social peace and contentment which
are the basic factors on which our plans of national advancement can rest. It is hardly
necessary to add that while adopting English rules and theories, we have to make
alterations and adaptations of them which are demanded by conditions in India as observed
by various Indian Judges, and also take note of the great changes in this branch of law
that are taking place elsewhere.
The law of torts in India is definitely not unnecessary but merely requires enactments to
make it more ascertainable. Failure of aggrieved persons to assert their legal rights is
perhaps to be ascribed not merely to insufficient appreciation of such rights but to other
causes as well, e.g., difficulties in proving claims and obtaining trustworthy testimony,
high court fees, delay of courts. The elimination of difficulties which obstruct aggrieved
parties in seeking or obtaining remedies which the law provides for them is a matter
which is worthy of consideration. If these lacunae are removed, India could also witness
a growth in tort litigation.
There have been a number of enactments such as the Public Liability Insurance Act, 1991,
Environment Protection Act, 1986, Consumer Protection Act, 1986, Human Rights Protection
Act, 1998, Pre-Natal Diagnostics Techniques Regulations and Prevention of Misuse Act,
1994, embodying the new principles of tortious liability in India. The Motor Vehicles Act,
1988 and judicial interpretation continue to contribute to development of accident
jurisprudence. The unfortunate Bhopal Gas Leak disaster has triggered a new path of tort
jurisprudence, leading to environment tort, toxic torts, governmental torts, MNCs liability,
congenital torts, stricter absolute liability, etc. Still the Indian Law Reports furnish in this
respect a striking contrast to the number of tort cases before the Courts.
While most branches of law, e.g., crimes, contracts, property, trusts, etc., have been
codified, it is interesting to observe that there is yet no code for torts in India. Most of
the development in tort law is the contribution of the Indian Judges and lawyers. Though
recommendations for an enactment on tort law were made as early as in 1886 by Sir F
Pollock, who prepared a bill known as the ‘Indian Civil Wrongs Bill’ at the instance of the
Government of India, it was never taken up for legislation.
Undoubtedly a code is useful, but it is well to recognise that this branch of law is still in
the process of growth and while it would be difficult to prepare a code, it would not also
help a proper development of the law to do so. Lack of a code for the law of torts acts
as a deterring factor for it to branch out as a favoured form of litigation. The growth of
tort law in India does not even compare to other progressive countries which have put
it to much better use as discussed previously.
Environmental Liabilities 335

Acknowledging the fact that a code on torts would be premature for the reasons
aforementioned, it would perhaps be wiser to start with enactments on particular topics
on which the case-law in India is unsatisfactory and has to be rectified. One of the first
recommendations for legislation made by the Law Commission appointed by the
Government of India is on the subject of liability of the government for torts of its
servants. In 2002, the National Commission for Review of Working of Constitution (NCRWC)
also recommended a law to give liability of state for torts of its employees in the report
of the commission headed by justice MN Venkatachaliah.

The reason why an Indian code on this branch of law is premature is that there is very
little tort litigation in our courts and there have not been sufficient opportunities for
applying principles evolved elsewhere or evolving principles appropriate to Indian
conditions. At present it is a singular circumstance that very few cases of torts go before
the Indian courts. It is recommended by experts not to have a codified tort law yet as
there is so much more in it explore and evolve. However, this is more of a Catch 22 like
situation, as until there is a code for the law of torts not many people will prefer to go to
the courts for cases involving torts, as they would not be sure of its outcome.

17.3 Tort Law and the Environment

Man is using earth’s resources not only to the limit of exhaustion, but has also consciously
contributed the degradation of the resources that remain. Habitats naturally present on
earth have been dangerously altered to the point that species have started to undergo
extinction. As a result, there has been a worldwide increase in concern towards the
quality of environment. In India, owing to increased national concern for environmental
conservation, authorities have, over the last couple of decades, started taking steps to
increase the scope and impact of environmental laws and other protection schemes.
Following this, other laws relating to water, air and forest inter alia have been enforced
with an increased vigor. Local government laws, criminal laws, tort laws were all sorts of
remedies provided and applied to protect the environment.
In this unit, the role of torts and civil laws are examined in relation to the environment.
Environmental tort in our country have basically dealt with curbing and controlling
toxics and other pollutants. Traditionally, tortious liability has been identified in cases
where certain parties have been the source or aid of pollution, whether voluntarily or
involuntarily. In such cases tort has been referred to actions of parties that cause pollution
and destruction of the environment. In some occurrences these doings may even encroach
on the right to live, affect bodily health, personal property and/or environmental rights.
Actions brought under the tort laws have gone a long way to abate pollution and conserve
what is left of the environment. Torts and civil wrongs contribute to environment
protection in a long and effective manner, simply because of their contribution in case
laws. These laws stand as strong precedents in the history of time and make way for
others to come.
Tortious remedies are available against polluters in India. Since common law remedies
have been available to us since the colonial times with the word “equity, justice and
336 Law and Policies Pertaining to Environment

good conscience” applied previously in all judicial proceedings. Common Law based tort
rules continue to function and remain valid due to Article 372 of our constitution that
talks about and applies the continuance of existing laws. Blackstone’s commentary on
English Law of nuisance published in 1876 was quoted in the case of Vellore Citizens
Welfare Forum v. Union of India6 and the judges held that the right of a pollution free
environment was a part of the basic jurisprudence of the land since the Indian legal
system was founded on the principles of English Common Law. Common torts that have
a relation to the environment are negligence, nuisance, strict and absolute liability and
trespass. Each of these will be examined closely and how they have reflected in the
protection of environment.

What are environmental torts?

Tort law has been extensively used as a means of addressing environmental ills. In India,
there have undoubtedly been many cases where government intervention and regulation
has led to improvements in environmental outcomes and natural resource management.
Further, the courts have also prescribed regulations for environmental conservation in
numerous legal cases. When such a regulation is prescribed or enforced in a particular
geographical jurisdiction, it is no coincidence that such instances are bound to invoke
market mechanisms. Once a natural resource or a phenomenon is legally defined (for the
purpose of identification), it creates limitations or artificial boundaries to the same.
Here, market mechanisms often come to play, hereby, simulating artificial scarcity and
conferring property rights to such artificially defined and resultantly artificially limited
resources. However, the bright side of this whole cycle is that it ultimately creates the
right set of incentives for people to act in a profitable way to address environmental
issues. When such rights are legally sought to be invoked, this is when tort law is invoked
and effectively put to use. Such a tort law that addresses environmental problems is
known as environmental tort.

Litigation related to environmental contamination and toxins has grown at a rapid pace,
as businesses come under greater scrutiny for their environmental practices and face
potentially costly claims. Industrialisation has posed serious concern for the protection
of environment. If we follow the development around the world in last two decades or
so, it is clear that both judicial and legislative processes have applied the yardstick of
‘Strict or Absolute Liability’ to judge the conduct of the polluters. A toxic tort is a special
type of personal injury lawsuit in which the plaintiff claims that exposure to a chemical
caused the plaintiff’s toxic injury or disease.

17.4 Some Important Legislations

Legislation in the late 80’s and the 90’s reflect the law’s growing recognition of the
capacity of ‘hazardous substances’ to cause damage to person, property and the
environment. The Bhopal Gas Disaster and the judgment of the court in the Oleum Gas
Leak case were the prelude to the Environment (Protection) Act, 1986, the Factories

6
AIR 1996 SC 2715
Environmental Liabilities 337

(Amendment) Act, 1987 and the Public Liability Insurance Act, 1991 (PLIA). The UN
Conference on Environment and Development held at Rio de Janeiro in 1992 provided
further spurt, as did environmental activism and environmental litigation. The National
Green Tribunal Act, 2010 (NGTA) is the most recent in the field of ‘accident’ law. The
long title to the Act suggests that it is enacted to provide for giving relief and compensation
for damages to persons and property and for matters connected therewith or incidental
thereto.

The NGTA and PLIA are both concerned with the aftermath of the same occurrences.
While the PLIA deals with interim compensation, the NGTA established a tribunal, and
provides guidelines, to adjudicate all claims arising out of “accidents”. There are points
of convergence as well as difference, between the two Acts. Both legislations provide
for no fault liability, making the “owner” liable for paying compensation assessed under
the Acts. While PLIA resorts to the device if insurance to spread risk and cost and
requires the owner to go deep only where it goes beyond the limits set in the PLIA rules
and the capacity of the Environment Relief Fund (ERF), the NGTA appears to leave it to
the owner to find the resources to pay compensation. There is a penal provision in the
NGTA which provides for imprisonment for a term which may extend to three years, or
with fine which may extend to ten crore rupees, or with both and in case the failure or
contravention continues, with additional fine which may extend to twenty-five thousand
rupees for every day during which such failure or contravention continues after conviction
for the first such failure or contravention.

Confronted with the possibility of mass torts resulting in injury, and loss to a number of
victims, the more visible efforts of the state are in the direction of expediting the
computing and payment of compensation. There is a consequent delinking of these issues
from questions of culpability, answerability and of safety. The schedule to the Act lists
out the heads under which compensation may be claimed. It includes harm caused to the
person, damage, loss or destruction of private property, expenses incurred by the
government in the aftermath of an accident claims connected with harm, damage or
destruction of fauna, flora and the soil, air, water, land and ecosystems; loss of business
or employment and a residual head to cover “any other claim arising out of, or connected
with, any activity of handling of hazardous substance”.
It is significant that there is no priority of claims. The crediting of the amount ordered
to be paid on the ground of damage to the environment into the ERF merits scrutiny,
particularly since the amounts in the ERF are intended to be used as a buffer between
the exhaustion of insurance payments and the liability of the owner to cover the difference
under the PLIA.
The unresolved questions of liability of the state as a joint tortfeasor, and of compensation
resurfaced in Naresh Dutt Tyagi v. State of U.P. In this case, the Primary Cooperative
Society, Garh Mukteshwar, District Ghaziabad, said to be a federating unit of the U.P.
Cooperative Union Ltd. stored certain chemical pesticides in a go down. Fumes emanating
from the pesticides leaked to the contiguous property through the ventilators killing
three children and causing the petitioner’s wife to miscarry. Proceedings to establish
338 Law and Policies Pertaining to Environment

fault were on when the Supreme Court was approached to rule on “whether such large
scale stocks of hazardous chemicals are permissible to be stored in a residential block,
whether the storage is regulated by statutory provisions, if not, whether any breach of
common law duty has occurred and whether the governmental authorities are liable in
damages”.

Civil Procedure Code, 1908

The Code of Civil Procedure is one of the most supreme civil legislations in our nation.
Under the Civil Procedure Code, civil suits against the perpetrators of public nuisance
are allowed. By the amendment of the Civil Procedure Code in 1976, the procedure was
made easier for the general public to seek recourse in the civil courts. Section 91 of the
Code now reads as follows

Section 91 Public nuisances and other wrongful acts affecting the public
[(1) in the case of a public nuisance or other wrongful act affecting, or likely to affect,
the public, a suit for a declaration and injunction or for such other relief as may be
appropriate in the circumstances of the case, may be instituted, -
a) by the Advocate General, or
b) with the leave of the Court, by two or more persons, even though no special
damage has been caused to such persons by reason of such public nuisance or
other wrongful act.]
2) Nothing in this section shall be deemed to limit or otherwise affect any right of suit
which may exist independently of its provisions.
The amendment of 1976 paved way for people other than the advocate general to be
able to file a suit. The amendment brought into the section “class action”.

In a “class action”, one or more members of a numerous class having the same interest
may sue or defend on behalf of both themselves and all the other members of the class.7
“Class Suits” are recognised under Order 1 Rule 8 of the Code of Civil Procedure which
further complements the above mentioned section. Class suits are considered fair because
when achieving justice and representing your class along with a number of people, you
also attain the same justice for the missing members of that class which propagates
equality.
Order 1 Rule 8 reads as follows
8. One person may sue or defend on behalf of all in same interest
1) Where there are numerous persons having the same interest in one suit -
a) one or more of such persons may, with the permission of the Court, sue or be
sued, or may defend such suit, on behalf of, or for the benefit of, all persons
so interested;
7
Divan, Shyam and Rosencranz, Armin, Judicial Remedies and Procedures, Environmental Law and Policy
in India - Cases, Materials and Statutes, at 153 (Oxford University Press).
Environmental Liabilities 339

b) the Court may direct that one or more of such persons may sue or be sued, or
may defend such suit, on behalf of, or for the benefit of, all persons so interested.
2) The Court shall, in every case where a permission or direction is given under sub-
rule(1), at the plaintiffs expense, give notice of the institution of the suit to all
persons so interested either by personal service, or, where, by reason of the number
of persons or any other cause, such service is not reasonably practicable, by public
advertisement, as the Court in each case may direct.
3) Any person on whose behalf, or for whose benefit, a suit is instituted or defended,
under sub-rule (1), may apply to the Court to be made a party to such suit.
4) No part of the claim in any such suit shall be abandoned under sub-rule (1), and no
such suit shall be withdrawn under sub-rule (3), of rule 1 of Order XXIII, and no
agreement, compromise or satisfaction shall be recorded in any such suit under
rule 3 of that Order, unless the Court has given, at the plaintiffs expense, notice to
all persons so interested in the manner specified in sub-rule (2).
5) Where any person suing or defending in any such suit does not proceed with due
diligence in the suit or defence, the Court may substitute in his place any other
person having the same interest in the suit.
6) A decree passed in a suit under this rule shall be binding on all persons on whose
behalf, or for whose benefit, the suit is instituted, or defended, as the case may
be.
Explanation.-For the purpose of determining whether the persons who sue or are sued,
or defend, have the same interest in one suit, it is not necessary to establish that such
persons have the same cause of action as the person on whose behalf, or for whose
benefit, they sue or are sued, or defend the suit, as the case may be.
Order 1 Rule 8 under the Civil Procedure Code of 1908, as amended in 1976 complements
the above section and is significant for environmental litigation in India. This rule permits
one person to sue or defend on behalf of all having the same interest in what are known
as representative suits over a single cause of action. Where the interest of the community
at large is affected, the court has the power to direct one person or few to represent the
whole community so that members of a class should have a common interest in a common
subject matter and a common grievance and the relief sought should be beneficial to
all. This rule is an enabling provision and does not prevent an individual from pursuing
the same matter on his own right to seek relief.
The judgment passed by the full bench of the Madras High Court clearly emphasized and
described the ambit of Order 1 Rule 8 in the case of Kodika Goundar v. Velandi Goundar8
(before 1976 amendment). It has further been essentially recognised that although class
action is a rarely used rule, it can however be used in case of a personal injury tort case
and can be used by group interests concerning environmental torts. The most prominent
example of class action that stands to date is the Bhopal Gas Tragedy where the
government filed a class suit on behalf of all the disaster victims.
8
AIR 1955 MAD 281, 286.
340 Law and Policies Pertaining to Environment

17.5 Common Environmental Torts

The most common environmental torts that are applicable in a lot of places are nuisance,
negligence, trespass and liability. Liability which is of two sorts will be elaborated upon
in the next unit. However, the rest of this section focuses nuisance, negligence and
trespass which are almost as commonly applicable to most situations.

1) NUISANCE:

The most substantive law used for the basic protection to the citizen’s environment is
the common law relating to nuisance. It is a strong weapon against environmental pollution,
including pollution to water, land and air. Nuisance is the unlawful interference with the
plaintiff’s use or enjoyment of land. However, it can also be explained as something that
annoys, hurts or offends.9 Hence most acts that affect the comfort, health or safety of a
person can be classified as nuisance.

ln 1768 Blackstone wrote:

It is a nuisance to stop or divert water that used to run to another’s meadow or mill;
to corrupt or poison a water-course, by erecting a dye-house or a lime-pit for the use of
trade, in the upper part of the stream; or in sort to do any act therein, that in its
consequences must necessarily lend to the prejudice of one’s neighbor. So closely does
the law of England enforce that excellent rule of gospel, morality, of doing to others, as
we would they should do unto ourselves.10

However, these acts committed that result in nuisance must be unreasonable to some
order. Nuisance is actually of two kinds the first i.e. public nuisance is mostly a crime
although it can also be used as a tort in some situations; the second being private
nuisance, which is substantial and unreasonable interference with the use and enjoyment
of one’s private land. Reasonableness of the defendant’s behaviour is a pivotal point of
all nuisance cases.

Public Nuisance: Public nuisance is defined as an unreasonable interference to a right of

the common public. Here, this nuisance causing act is affecting the life, comfort, health,
living of an entire class of persons. Previously, as mentioned before, only the attorney
general could sue for public nuisance. However, after the 1976 amendment, a person or
a group of people may sue for public nuisance. To be able to sue, however, unlike in
private nuisance, special damage must be shown.11

An example of a public nuisance brought at the instance of a private person able to show
special damage is the 1914 case of Little v. Smith. In that case the defendant, Ms. Smith,
who was in the ice cutting business, detached a 150- feet long and 8 or 9- feet wide chunk
of ice from a lake in Quebec. She did not give any protection or put out any sign of

9
Durga Prasad v. State, AIR 1962 Raj. 92.
10
W. Blackstone, Commentaries on the Laws of England, 1768, Bk III, p. 218.
11
Ryan v. Victoria (City) (1999), 168 D.L.R. (4th) 513 (S.C.C.) at 537.
Environmental Liabilities 341

warning around the area where she had put her ice. Mr. Little was crossing the lake,
which was a well-trodden path, with his horse, attached to a sleigh. Somehow, the horse
ran off, and while running it fell through the thin ice that had formed over the area
where Ms. Smith had taken out the ice chunk from and drowned. Mr. Little sued Ms.
Smith on the basis that the opening in the ice, which had no protection or sign of warning
whatsoever, was a public nuisance. The defence that Mr. Little was driving the horse
under the influence of alcohol was not accepted and nor was the defence that her right
to put holes in the ice was more important than his right to travel across the lake.
In the case of Vasant Manga Nikumba v. Baburao Bhikanna Naidu (1995 Supp (4) SCC 54),
the Court observed that nuisance is an inconvenience, which materially interferes with
the ordinary physical comfort of human existence.
As mentioned before, public nuisance is both a tort and also a crime. It does not create
a civil cause unless the plaintiff shows the special damage that was caused to him by the
nuisance which no other person of the society suffered.
Private Nuisance: A private nuisance is the using or authorising the use of one’s property
or of anything done under one’s control, so as to injuriously affect the owner or occupier
of the property by physically injuring his property or by interfering materially with his
health, comfort or convenience.12 As mentioned before, the test of reasonability is
pivotal to a case of private nuisance. To decide the standard of unreasonable, the court
examines all the circumstances, including the type and severity of the interference, its
frequency and duration, the character of the neighbourhood in which it occurred, the
sensitivity of the plaintiff’s use and the utility of the defendant’s conduct.13
In the case of J.C. Galstaun v. Dunia Lal Seal14, the plaintiff had a house garden and the
defendant had a shellac factory located 200-300 yards to the north-west of the plaintiff’s
garden house. The drain in which the defendant discharged his wastes however, passes
along the north of the plaintiff’s garden. The plaintiff alleged that the liquid that passed
through the drain was foul-smelling and noxious to the health of the neighbourhood
hence causing nuisance and especially to him, and secondly, that it had damaged him in
health comfort and reduced the market value of his garden property. The court was of
the opinion that the defendant had no such right to discharge factory liquid into the
municipal drain.
In Anil Krishna Pal v. State of West Bengal (AIR 1989 Cal. 102), the Calcutta High Court
held that a Petition under Article 226 can be filed for directing Municipalities to exercise
the statutory powers for abating the nuisance.
Noise can be either a public or a private nuisance. No person has the absolute right to
make noise on his land because his right only extends to the limit that it doesn’t bother
the general public and is not a cause of nuisance for them.15
12
Ratan Lal R., and Dhirajlal, K.T., The Law of Torts (21 edn. 1987), at 465
13
Royal Ann Hotel Co. Ltd. v. Village of Ashcroft (1979), 95 D.L.R. (3d) 756 (B.C.C.A.) at 761
14
(1905) 9 CWN 612
15
Allen v. Flood (1898) AC 1, 101
342 Law and Policies Pertaining to Environment

The main drawback in using the tort of nuisance as a remedy for preventing environmental
damage is the fact that the reasonableness of the defendant’s conduct is central in most
cases, and this unreasonableness on the part of the defendant is often difficult to prove,
for it is usually determined by the court by weighing its utility against the gravity of the
harm caused to the plaintiff.16 Another hardship faced in this regard is the plaintiff’s lack
of “standing” to sue. This also makes it hard to use the tort of nuisance to control
widespread pollution. However, once proved, nuisance is an easy way to protect the
environment from polluters.

Case Laws:

In Radhey Shyam v. Gur Prasad (1978 All 86), the Court held that substantial addition to
noise in an already noisy locality seriously interfered with the physical comfort of the
resident and hence he is entitled to an injunction.

In Shanmughavel Chettiar & Ors. vs Sri Ramkumar Ginning Firm (1978 All 86), the Madras
High Court recognized the right to prevent the occurrence of nuisance before the nuisance
was caused. The suit was filed for injunction to restrain the defendant appellants herein
and their men not to start a brick kiln and chamber in the V schedule property. The Court
held that the erection of a brickkiln by defendants in the adjoining land will amount to
an actionable nuisance and the plaintiff is entitled to seek abatement of such nuisance
by getting the relief of injunction as prayed for.

In Dhannallal v. Chittarsingh (AIR 1959 MP 240), the Madhya Pradesh High Court held that
the constant noise, if abnormal or unusual, and if the defendant is found to be carrying
on his business so as to cause a nuisance to his neighbours, he is not acting reasonably ,
and may be restrained by injunction, although he may be conducting his business in a
proper manner and according to rules framed in this behalf either by the Municipality or
by the Government. The latter defence can be effective in a case of public nuisance, but
not in that of a private nuisance.

2) NEGLIGENCE:

Negligence is the failure to exercise the normal duty of care that a reasonably prudent
man would exercise in like circumstances. The tort can be used to prevent environmental
pollution when instituted. In an action of negligence, the plaintiff must show that
a) The defendant was under a duty to take reasonable care to avoid the damage
complained of;
b) There was a breach of duty;
c) It was this breach of duty that resulted in the damage.

16
Kailash Thakur, Environmental Protection : Law and Policy in India, Environment Protection The law, at
189
Environmental Liabilities 343

An act of negligence may also constitute as nuisance if it unlawfully interferes with

somebody’s right in land, or may amount to breach of the rule of strict liability like in
Rylands v. Fletcher17.

The case of Donoghue v. Stevenson [1932] illustrates the law of negligence in its entirety.
The plaintiff, Donoghue, drank beer given to her by a friend, who bought it from a shop.
The beer was supplied by a manufacturer called Stevenson. While drinking the beverage,
Ms. Donoghue discovered the remains of an allegedly decomposed slug. As a result, she
suffered from nervous shock and gastroenteritis after drinking part of the contents of an
opaque bottle of ginger beer. She then sued Stevenson, though there was no relationship
of contract, as the friend had made the payment. It was then that Lord Atkin said that
despite not having a contract, the plaintiff had a right to sue because she was a neighbour.

A neighbour in this situation was described by Lord Atkin as:

“persons who are so closely and directly affected by my act that I ought reasonably
to have them in contemplation as being so affected when I am directing my mind
to the acts or omissions that are called in question.”
Stevenson, thus, while making the beer and bottling it had a duty of care to avoid any
contaminant from getting into a simple beer bottle. This was followed by a breach of
duty when a slug went in and this breach of duty caused harm to the plaintiff.
The common law action for negligence however, has been applied with limited success
when invoked to get damages in environmental pollution cases. One of these is the case
of Mukesh Textile Mills (P) Ltd. v. H.R. Subramaniam Sastry18 in which the plaintiff’s
paddy field suffered damage due to inundation of water polluted with 8000 tons of
molasses belonging to the defendant from whose sugar factory’s earthen tank they had
flowed in. The defendant’s earthen tank had been dug into by rodents as a consequence
the embankment had collapsed.
The liability of the defendant rises on two principles. One is that the defendant, who had
stored large quantities of molasses in a mud tank, had a duty to take reasonable care in
the matter of maintenance, in a state of good repair, of the embankments of the tank.
The duty, no doubt, is not simply to be careful. Since this was held reasonably foreseeable,
a duty of care was breached and had resulted in damage which made the defendants
liable.
A prominent difficulty faced in cases of negligence is the ability to prove the causal
connection between the acts of negligence by the person to the damage caused to the
plaintiff. When the pollutant is highly toxic like methyl isocyanate in the Bhopal Gas
Leak case, the impact and the harm caused is easier to prove specifically because the
pollutant acts fast and is widespread over a same area. In environmental situations this
can be even harder specifically because some contaminants take time to have an effect
on the surroundings because of being slow poisons. It is also hard because during that
18
AIR 1987 KANT 87
17
(1868)LR 3 HL 330
344 Law and Policies Pertaining to Environment

period of time, the same area could have faced a various number of other contaminants.
For e.g. a factory pipeline which runs underground through a city may be have thinner
lining in some areas and as a result causing slow but permanent damage to the environment
of those particular areas only. In such a situation, it would be hard for citizens to even
realise that this is the cause of the damage to their surroundings.

3) TRESPASS
This tort is rarely evoked tort which is related to nuisance and negligence but still holds
its distinctive position. Trespass requires intentional invasion of the plaintiff’s property
which can be a tangible or a non-tangible object. Hence, direct and deliberate placement
of wastes in such a manner as will result in it being carried straight away to the plaintiff’s
land by natural forces19, emission of gas20, or invisible fumes21 can constitute the tort of
trespass. The above situations can be distinguished as cases of trespass from negligence
because trespass is actionable per se whereas nuisance is actionable only with the proof
of damage. If the injury is direct, it is trespass but if injury is consequential then it is
nuisance.

In the case of Martin v. Reynolds Metal Company, the court modified the original definition
of trespass to bring industrial pollution within the ambit of liability. The case defined
trespass as “the invasion of landowners right to exclusive possession, whether by visible
or invisible substance”.

This remedy, despite its advantage over nuisance is considered inadequate in the
abatement of pollution. Popular reasons for this would be the high litigation cost,
unwillingness of people identification of the direct source of pollution.

17.6 Remedies and Damages

An important feature of the civil litigation strategy adopted in India is the resort to
injunctive relief rather than damages. Injunctions are preferred in our system more
than providing damages to the injured party. Although in theory damages form an
important principle in a tort action, in practice injunctive relief is used more in India
especially for abating pollution. Lawyers in India, who are intent on abating pollution,
often seek a temporary injunction against the polluter followed by a perpetual injunction
on decree.

A person who wishes to recover from loss caused by pollution can do so in many ways. A
plaintiff may sue for damages or for an injunction.

1) DAMAGES
Damages are the primary remedy for any loss suffered. They may be either substantial
(normal damages) or exemplary in nature. Substantial damages are those damages which
19
Southpart Corporation v. Esso Petroleum (1954) 2 QB 182, 240.
20
Mcdonald v. Associate Fuels (1954) 3 DLR 775.
21
Martian v. Reynolds Metal Co. (1959) 221 ore 86.
Environmental Liabilities 345

are intended, following the rules of remoteness of damage, and are given to plaintiff for
the damage he had suffered by the defendant’s actions. The laws aim is not to restore
what has been lost. It on the other hand intends to make up for that loss by compensating
for it. The judges then merely decide what would be the reasonable and ideal
compensation for the injured party keeping their loss in mind.

Exemplary damages are damages which are well above the amount the injured party is
liable for. These are awarded to prevent the party, committing the wrong (defendant),
from repeating the same thing again. In Rookes v. Bernard, three categories were classified
where exemplary damages would be awarded. The first would be the unconstitutional
action of the government or its servants. The second would be when the defendant has
calculated the risk and decided that the profit made by him would be well over the
compensation payable to the plaintiff and lastly, when exemplary damages are authorised
by legislations themselves.
Looking at the Sri Ram Gas Leak case22, where Oleum gas leaked from Sriram Foods and
Fertilizer Industries and harmed a few citizens in New Delhi. In this case, the court
believed that “compensation must be correlated to the magnitude and capacity of the
enterprise because some compensation must have a deterrent effect. The larger and
more prosperous the enterprise, the greater must be the amount of compensation payable
by it.”
As mentioned before, damages are the primary relief provided against tort action.
However, even damages have their drawbacks -
Firstly, damages awarded in tort actions are particularly low in our country. Secondly,
due to various reasons, the value of damages is usual depreciated by the time they reach
the injured party due to various reasons. Lastly, damages to not deter the polluter and
thus we cannot abate pollution through damages.
2) INJUNCTION
An injunction is basically a restraint order against the defendant to stop him from
committing, repeating or continuing that which has led to the filing of suit in the first
place. This remedy is awarded solely at the discretion of the court. Injunctions are of
two kinds, the first being a permanent injunction and the second being a temporary one.
A temporary injunction has been regulated by the Code of Civil Procedure through the
39th order and complemented by Section 94(c) and 95. All of which are mentioned below.
Order 39 Temporary injunctions
1) Cases in which temporary injunction may be granted Where in any suit it is proved
by affidavit or otherwise -
a) that any property in dispute in a suit is in danger of being wasted, damaged or
alienated by any party to the suit, or wrongfully sold in execution of a decree,
or
22
M.C. Mehta v. Union of India, AIR 1987 SC 1086.
346 Law and Policies Pertaining to Environment

b) that the defendant threatens, or intends, to remove or dispose of his property

with a view to 2[defrauding] his creditors,
3[(c) that the defendant threatens to dispossess, the plaintiff or otherwise cause injury
to the plaintiff in relation to any property in dispute in the suit]

the Court may be order grant a temporary injunction to restrain such act, or make such
other order for the purpose of staying and preventing the wasting, damaging, alienation,
sale, removal or disposition of the property 3[or dispossession of the plaintiff, or otherwise
causing injury to the plaintiff in relation to any property in dispute in the suit] as the
Court thinks fit, until the disposal of the suit or until further orders.

Section 94(c) Supplemental Proceedings:23

In order to prevent the ends of justice from being, defeated the Court may, if it is so
prescribed, -(c) grant a temporary injunction and in case of disobedience commit the
person guilty thereof to the civil prison and order that his property be attached and sold;

Section 95: Compensation for obtaining arrest, attachment or injunction on insufficient

grounds24

Where, in any suit in which an arrest or attachment has been effected or a temporary
injunction granted under the last preceding section, -
a) It appears to the Court that such arrest, attachment or injunction was applied for
on insufficient grounds, or
b) the suit of the plaintiff fails and it appears to the Court that there was no reasonable
or probable grounds for instituting the same, the defendant may apply to the Court,
and the Court may, upon such application, award against the plaintiff by its order
such amount, 1[not exceeding fifty thousand rupees], as it deems a reasonable
compensation to the defendant for the 2[expense or injury (including injury to
reputation) caused to him];
Provided that a Court shall not award, under this section, an amount exceeding the
limits of its peculiar jurisdiction. (2) An order determining any such application shall bar
any suit for compensation in respect of such arrest, attachment or injunction.

A temporary injunction usually comes into play when the case is still not yet completely
decided. It is usually done to maintain the state of things in the same order till a final
solution can be reached and the matter can be resolved. A temporary injunction can be
granted at any stage of a law proceeding.

23
Bare act, available at http //www.vakilno1.com/bareacts/civilprocedure/s94.htm (last visited July
23, 2011 6 13 PM)
24
Bare act, available at http //www.vakilno1.com/bareacts/civilprocedure/s95.htm (last visited July
23, 2011 6 13 PM)
Environmental Liabilities 347

Permanent injunctions however, are governed by Sections 37 to 42 of the Specific Relief’s

Act. These injunctions permanently stop the defendant from committing the act that
the plaintiff complains of. The Sections 37 to 4225 are established upon below

37. Temporary and perpetual injunctions:

1) Temporary injunctions are such as are to continue until a specified time, or until
the further order of the court, and they may be granted at any stage of a suit, and
are regulated by the Code of Civil Procedure, 1908 (5 of 1908).
2) A perpetual injunction can only be granted by the decree made at the hearing and
upon the merits of the suit; the defendant is thereby perpetually enjoined from the
assertion of a right, or from the commission of an act, which would be contrary to
the rights of the plaintiff.
38. Perpetual injunction when granted:
1) Subject to the other provisions contained in or referred to by this Chapter, a perpetual
injunction may be granted to the plaintiff to prevent the breach of an obligation
existing in his favour, whether expressly or by implication.
2) When any such obligation arises from contract, the court shall be guided by the
rules and provisions contained in Chapter II.
3) When the defendant invades or threatens to invade the plaintiff’s right to,
or enjoyment of, property, the court may grant a perpetual injunction in the following
cases, namely:-
a) where the defendant is trustee of the property for the plaintiff;
b) where there exists no standard for ascertaining the actual damage caused, or
likely to be caused, by the invasion;
c) where the invasion is such that compensation in money would not afford adequate
relief;
d) where the injunction is necessary to prevent a multiplicity of judicial proceedings.
39. Mandatory injunctions:
When, to prevent the breach of an obligation, it is necessary to compel the performance
of certain acts which the court is capable of enforcing, the court may in its discretion
grant an injunction to prevent the breach complained of, and also to compel performance
of the requisite acts.

40. Damages in lieu of, or in addition to, injunction.

1) The plaintiff in a suit for perpetual injunction under Section 38, or mandatory
injunction under Section 39, may claim damages either in addition to, or in
substitution for, such injunction and the court may, if it thinks fit, award such
damages.
25
Bare Act, available at http //districtcourtallahabad.up.nic.in/articles/SRelAct.pdf (last visited July
23, 2011 6 21 PM)
348 Law and Policies Pertaining to Environment

2) No relief for damages shall be granted under this section unless the plaintiff has
claimed such relief in his plaint:
Provided that where no such damages have been claimed in the plaint, the court
shall, at any stage of the proceedings, allow the plaintiff to amend the plaint on
such terms as may be just for including such claim.
3) The dismissal of a suit to prevent the breach of an obligation existing in favour of
the plaintiff shall bar his right to sue for damages for such breach.

41. Injunction when refused.

An injunction cannot be granted-
a) to restrain any person from prosecuting a judicial proceeding pending at the institution
of the suit in which the injunction is sought, unless such restraint is necessary to
prevent a multiplicity of proceedings;
b) to restrain any person from instituting or prosecuting any proceeding in a court not
subordinate to that from which the injunction is sought;
c) to restrain any person from applying to any legislative body;
d) to restrain any person from instituting or prosecuting any proceeding in a criminal
matter;
e) to prevent the breach of a contract the performance of which would not be
specifically enforced;
f) to prevent, on the ground of nuisance, an act of which it is not reasonably clear that
it will be a nuisance;
g) to prevent a continuing breach in which the plaintiff has acquiesced;
h) when equally efficacious relief can certainly be obtained by any other usual mode
of proceeding except in case of breach of trust;
i) when the conduct of the plaintiff or his agents has been such as to disentitle him
to the assistance of the court;
j) when the plaintiff has no personal interest in the matter.
42. Injunction to perform negative agreement:
Notwithstanding anything contained in clause (e) of Section 41, where a contract
comprises an affirmative agreement to do a certain act, coupled with a negative
agreement, express or implied, not to do a certain act, the circumstance that the court
is unable to compel specific performance of the affirmative agreement shall not preclude
it from granting an injunction to perform the negative agreement: Provided that the
plaintiff has not failed to perform the contract so far as it is binding on him.
The courts highly deliberate over all sorts of economic and other such possible
consequences before awarding permanent injunctions. These are however, much more
effective in the abatement of pollution.
Environmental Liabilities 349

Conclusively, while common tort law remedies are effective to help abate pollution and
other environmental hazards, they too have their drawbacks. The litigation processes
are lengthy and costly. Secondly, victims who suffer from such pollution causing disasters
lack the knowledge and technical know-how and are psychologically put in a lower
position by the polluters.

17.7 Conclusion
A tort in simple language is a breach of civility. Someone who commits a tortious act is
also known as a tortfeasor. The most common wrongs in the law of torts are nuisance,
defamation, strict or absolute liability, trespass, intentional infliction of emotional
distress, negligence, assault, battery and fraud.

Environmental tort refers to actions of parties that cause pollution and destruction of
the environment. In some occurrences these doings may even encroach on the right to
live, affect bodily health, personal property and/or environmental rights. Common torts
that have a relation to the environment are negligence, nuisance, strict and absolute
liability and trespass. Section 91 of the Code of Civil procedure talks about public nuisance.
Order 1 Rule 8 of the Code of Civil Procedure which further complements the above-
mentioned section as it speaks of class suits.

Class suits are considered fair because when achieving justice and representing your
class along with a number of people, you also attain the same justice for the missing
members of that class which propagates equality.

Nuisance is the unlawful interference with the plaintiff’s use or enjoyment of land.
However, it can also be explained as something that annoys, hurts or offends. Nuisance
is actually of two kinds: the first i.e. public nuisance is mostly a crime although it can
also be used as a tort in some situations; the second being private nuisance which is
substantial and unreasonable interference with the use and enjoyment of one’s private
land. Reasonableness of the defendant’s behaviour is a pivotal point of all nuisance
cases.

Negligence is the failure to exercise the normal duty of care that a reasonably prudent
man would exercise in like circumstances. In an action of negligence, the plaintiff must
show that the defendant was under a duty to take reasonable care to avoid the damage
complained of- There was a breach of duty; It was this breach of duty that resulted in
the damage. A prominent difficulty faced in cases of negligence is the ability to prove
the causal connection between the acts of negligence by the person to the damage
caused to the plaintiff.

Trespass requires intentional invasion of the plaintiff’s property which can be a tangible
or a non-tangible object. Hence, direct and deliberate placement of wastes in such a
manner as will result in it being carried straight away to the plaintiff’s land by natural
forces, emission of gas, or invisible fumes can constitute the tort of trespass.
350 Law and Policies Pertaining to Environment

There are two kinds of remedies rewarded to the plaintiff in case a tort has been
committed. The first of which are damages which can be either compensatory or
exemplary in nature. The second relief provided is injunction which can be either
temporary or permanent. Injunctive reliefs are governed by the Code of Civil Procedure
and the Specific Relief Act. They are also more effective in the abatement of pollution
as compared to compensatory or exemplary damages.

17.8 References and Recommended Readings

Divan, Shyam and Rosencranz, Armin, Judicial Remedies and Procedures, Environmental
Law and Policy in India - Cases, Materials and Statutes, Oxford University Press, New
Delhi.
Jaiswal, P.S., Common Law and Other Statutory Remedies, Environmental Law, Pioneer
Publications, New Delhi.
Sadasivan Nair, G., Environmental Offences-Crimes against Humanity and the
Environment, Cochin University Law Review, School of Legal Studies, Cochin University,
Volume 11.
Thakur, Kailash, Environmental protection Law and Policy in India, Deep & Deep
Publications, New Delhi.
Environmental Liabilities 351

UNIT 18
STRICT AND ABSOLUTE
LIABILITY
Contents
18.1 Introduction 351
18.2 Environmental Justice, Equity and Governance 352
18.3 Strict Liability 357
18.4 Absolute Liability 359
18.5 Conclusion 364
18.6 References and Recommended Readings 365

18.1 Introduction
Tort law in India is a relatively new common law. Its development is supplemented by
codified statutes including statutes governing damages. As mentioned in the previous
unit, the law of torts has been essential in controlling pollution. However, use of such
tort law principals for the benefit of environment in India may be new in theory but not
in practice.

In India, attention has been laid right from the ancient times to the present age in the
field of environment protection and improvement. Historically speaking, the laws relating
to environment were simple but quite effective and the people were aware of the
necessity of the environment protection. For this, one has to view the policies over the
years India observed during the rule of various empires. In the ancient India, protection
and cleaning up of environment was the essence of the Vedic culture. The conservation
of the environment formed an ardent article of faith, reflected in the daily lives of the
people and also enshrined in myth folklore, art, culture and religion. In theology, not
just forests, trees and wildlife protection held a place of special reference but also there
are lores discouraging pollution and privatisation of freely available natural resources.

In the previous unit, the most commonly used environmental torts were established
upon and the extent to which they can help in controlling the pollution caused in urban
situations. The most essential torts used for this purpose were nuisance, negligence,
trespass and liability. Of the torts mentioned above, liability has been the most effective
in making polluters take responsibility for their actions. In this unit, the use and essentials
352 Law and Policies Pertaining to Environment

of liability have been illustrated and some of the landmark cases in our country which
have paved way for environmental liability have been discussed.

The issue of liability was first born during the industrial revolution to punish those
responsible for industrial accidents that took place and to help the people who suffered
from those accidents as a result. However, at a point of time when pollution was at its
worst and there were not enough laws to control it, the concept of Public Interest
Litigation was born. With the birth of Public Interest Litigation, liability became a primary
aid to those who were suffering due to the increase of industrial pollution.

Also prevalent during the period of judicial activism were the basic proactive concepts
and environmental principles like Sustainable Development, Polluter pays Principle,
Precautionary principle and Life-Cycle Assessment. These have gained importance in
the recent times and will be elaborated upon further in the unit.

18.2 Environmental Justice, Equity and Governance

The term ‘environment’ can describe a limited area or the entire planet, even including
a part of the outer space which surrounds it. The term ‘biosphere’ used in particular by
UNESCO, corresponds to one of the broadest definitions, since it designates the totality
of the human environment, the part of the universe where, according to present knowledge
all life is concentrated.

The definition of environment affects the scope of legal rules which are intended to
protect the environment law cannot affect the natural processes that cause
environmental changes. However, the obligatory character of law and the sanctions
which can ensure the enforcement of legal rules should prevent and eliminate acts and
behaviours which are detrimental to the environment. Nonbinding principles and rules,
formulated in recommendation or declaration by international organisation or
conferences play an increasing role in international law, especially in the field of
environmental protection. Their function is to guide State authorities and also other
actors in their action but they can also contribute to the emergence of new obligatory
rules.

Stages in Environmental Protection: The social mechanism of environmental protection

can be characterised by a three- stage approach.
♦ In the first stage law mainly national Constitutions, laws with a large environmental
scope and major intentional declaration or treaties defines the environmental values
to be preserved and protected.
♦ In the second stage environmental policy determines the objectives and strategies
which should be used in order to ensure the respect of environmental values, taking
into account the prevailing economic, social and cultural situation.
♦ In the third stage legal instruments are used to reach the objectives fixed by the
environmental policy. The content of such instruments can be economic, political,
Environmental Liabilities 353

social or educational. As a feedback, their implementation often needs the support

of public opinion, the consensus of which was the very basis of the recognition of
the environment as a fundamental value.

The main characteristics of environmental law is the necessity for an inter disciplinary
approach because of the complexity of the subject. In order to prepare appropriate
modern legal rules, legal research should be undertaken in the two fields of legal history
and comparative law.

Environmental Doctrines: Right to wholesome environment is a fundamental right

protected under Article 21 of the Constitution of India. However, the important question
is that whether the environment can be protected at present times when almost all the
countries in South-East Asia are still at their developing stages? Development comes
through industrialisation, which in turn the main factor behind the degradation of
environment. To resolve the issue, the experts worldwide have come up with a doctrine
called ‘Sustainable Development’, i.e. there must be balance between development
and ecology. The concept of ‘Sustainable Development’ had come to be known as early
as in 1972 in the Stockholm declaration. It had been stated in the declaration that:
“Man has the fundamental right to freedom, equality and adequate conditions of
life, in an environment of a quality that permits a life of dignity and well- being
and he bears a solemn responsibility to protect and improve the environment for
present and future generation.”

The concept was given a definite shape in a report by World Commission on Environment,
which was known as ‘ our common future’ (the Brundtland Report). The commission,
which was chaired by the then Norway Prime Minister, Ms. G.H. Brundtland defined
‘Sustainable Development’ as “Development that meets the needs of the present without
compromising the ability of the future generations to meet their own needs”.

The concept was further discussed under agenda 21 of UN conference on environment

and development held in June 1992 at Rio de Janeiro, Brazil and later on in the
Johannesburg Conference held in 2002. Some of its basic principles as described in
‘Brundtland report’ are as follows

♦ lnter-Generational Equity: The principle talks about the right of every generation
to get benefit from the natural resources. Principle 3 of the Rio declaration states
that “ The right to development must be fulfilled so as to equitably meet
developmental and environmental needs of present and future generations.”

The main object behind the principle is to ensure that the present generation should
not abuse the non-renewable resources so as to deprive the future generation of its
benefit.

♦ The Precautionary Principle: This principle has widely been recognised as the most
important principle of ‘Sustainable Development’. Principle 15 the Rio declaration
states that “In order to protect the environment, the precautionary approach shall
354 Law and Policies Pertaining to Environment

be widely applied by States according to their capabilities. Where there are threats
of serious or irreversible damage, lack of full scientific certainty shall not be used
as a reason for postponing cost-effective measures to prevent environmental
degradation.” In other words, it means:
1) Environmental measures by the state government and the local authority must
anticipate, prevent and attack the causes of environmental degradation.
2) Where there are threats of serious and irreversible damage, lack of scientific
certainty should not be used as a reason for postponing measures to prevent
environmental degradation.
3) The “onus of proof’ is on the actor or the developer to prove that his action is
environmentally benign.

♦ Polluter Pays Principle: Principle 16 of the Rio declaration states that “National
authorities should endeavour to promote the internalisation of environmental costs
and the use of economic instruments, taking into account the approach that the
polluter should, in principle, bear the cost of pollution, with due regard to the
public interest and without distorting international trade and investment.”

It is quite obvious that the object of the above principle was to make the polluter liable
not only for the compensation to the victims but also for the cost of restoring of
environmental degradation. Once the actor is proved to be guilty, he is liable to
compensate for his act irrelevant of the fact that whether he’s involved in development
process or not.

These concepts have become an integral part of Environmental Law. Most of the doctrines
are recognised worldwide and have been adopted and implemented everywhere, including
in India. Judiciary in India, more precisely, the Supreme Court and the High Courts has
played an important role in preserving the doctrine of ‘ Sustainable Development’.
Parliament has enacted various laws to deal with the problems of environmental
degradation. In such a situation, the superior courts have played a pivotal role in
interpreting those laws to suit the doctrine of ‘Sustainable Development’.

The Polluter Pays principle has been held to be a sound principle by this Court in Indian
Council for Enviro-Legal Action v. Union of India, AIR 1996 SC 1446. The Court observed,
“We are of the opinion that any principle evolved in this behalf should be simple, practical
and suited to the conditions obtaining in this country”. In this case the number of private
companies operated as chemical companies were creating hazardous wastes in the soil,
henceforth, polluting the village area situated nearby, and they were also running without
licenses, so an environmental NGO, filed writ petition under Article 32 of the Constitution
of India, which sought from the court to compel SPCB and CPCB to recover costs of the
remedial measures from the companies. The Court ruled that “Once the activity carried
on is hazardous or inherently dangerous, the person carrying on such activity is liable to
make good the loss caused to any other person by his activity irrespective of the fact
whether he took reasonable care while carrying on his activity. The rule is premised
Environmental Liabilities 355

upon the very nature of the activity carried on”. Consequently, the polluting industries
are “absolutely liable to compensate for the harm caused by them to villagers in the
affected area, to the soil and to the underground water and hence, they are bound to
take all necessary measures to remove sludge and other pollutants lying in the affected
areas”.

The “Polluter Pays” principle as interpreted by the Court means that the absolute liability
for harm to the environment extends not only to compensate the victims of pollution
but also the cost of restoring the environmental degradation. Remediation of the damaged
environment is part of the process of “Sustainable Development” and as such polluter is
liable to pay the cost to the individual sufferers as well as the cost of reversing the
damaged ecology. It is worthwhile to mention here that Principle 10 of Rio declaration,
1992 states that:

“Environmental issues are best handled with participation of all concerned citizens, at
the relevant level. At the national level, each individual shall have appropriate access
to information concerning the environment that is held by public authorities, including
information on hazardous materials and activities, in their communities, and the
opportunity to participate in decision-making processes. States shall facilitate and
encourage public awareness and participation by making information widely
available. Effective access to judicial and administrative proceedings, including redress
and remedy, shall be provided”. Environment and development are two sides of the
same coin. Any one of these cannot be sacrificed for the other. On contrary, both are
equally important for our better future. Thus, the responsibility lies on the Supreme
Court and the various High Courts to deal with these cases with caution of high degree.
Then only, we will achieve our goal i.e. to secure a pollution free developed country for
our next generation.

As we can see above, Indian judiciary has been very active in protection and conservation
of the environment and has been prescribing regulatory and precautionary measures by
way of judicial activism. Through judicial activism, courts have taken into their power
not only judicial functions of administering justice, but have also stepped into the
executive functions (enforcement function) and judicial legislation (legislative function).
With the concept of PILs on the rise the basic principles of equity when it comes to the
abatement of pollution have also become important in the new judicial active arena.
Some of these principles we have already dealt with above but some other principles
that have been established are mentioned below:

1) Principle of Sustainable Development

“Sustainable development” has been the buzzword in the recent century. In
the words of the Brundtland Report, the principle of sustainable development
has been defined as “development that meets the needs of the present without
compromising the ability of future generations to meet their own needs.”1

1
World Commission on Environment and Development (1987), Our Common Future.
356 Law and Policies Pertaining to Environment

Sustainable Development has formed the corner stone of numerous Multilateral

Environmental Agreements. UNCED2 not only affirmed the goal of sustainable development
but, through the Rio Declaration and Agenda 21, it added meaning and substance to this
principle. A few things that contribute to the principle of sustainable development have
also been recognised;
i) Policy Integration this follows the recognition of the interdependency of economic,
ecological and social goals.
ii) Sustainable Resource Use natural resource exploitation should proceed in a manner
so it does not decline the long- term productivity of resources.
iii) Resource Equity resources should be distributed in an equal and fair manner not
only in terms of intergenerational but also in terms of Intragenerational equality of
resources, i.e. to have equal distribution of resources over the generations.
iv) Transparency and Public Participation everybody must have a say in all environmental
regulations.
v) Biodiversity National and international strategies need to be balanced in a manner
that all aspects of the biosphere are kept in mind.

2) Polluter Pays Principle

As already seen, the Polluter Pays Principle was introduced in the early 1970s when strict
environmental legislations were first being brought in OECD countries, and also due to
an eminent number of complaints about high costs and negative effects on
competitiveness. The principle is a simple one which is more economic than legal in
nature. Essentially, it means that those responsible for polluting the surroundings must
pay or compensate for them and should further carry out prevention measures.

As excerpt in the 1972 OECD Guiding Principles on the International Economic Aspects of
Environmental Policies reads that:

“The principle to be used for allocating costs of pollution prevention and control measures
to encourage rational use of scarce environmental resources and to avoid distortions in
international trade and investment is the so-called ‘Polluter Pays Principle.’ This principle
means that the polluter should bear the expenses of carrying out the above- mentioned
measures decided by public authorities to ensure that the environment is in an acceptable
state. In other words, the costs of these measures should be reflected in the cost of
goods and services which cause pollution in production and/or consumption. Such
measures should not be accompanied by subsidies that would create significant distortions
in international trade and investment.”3
Another aspect of this principle that is as important is Extended Producer Responsibility.
Extended Producer responsibility (EPR) essentially means that the responsibility of a
2
United Nations Conference on Environment and Development.
3
OECD, C(72)128, reprinted in OECD (1975), The Polluter Pays Principle: Definition, Analysis,
Implementation.
Environmental Liabilities 357

producer does not end the moment his product has been sold. Instead, the producer is
also responsible for his product from its manufacture to its disposal.

3) Precautionary Principle

We have already read about precautionary principle above. The precautionary principle
is based on the fact that scientific analysis takes time to be confirmed and that instead
of waiting for scientific certainty, we need to take precautions when it comes to the
environment since waiting for scientific confirmation could only move to put us into
greater peril than before.
Formulations of the Precautionary Principle vary widely, but as stated in Principle 15 of
the 1992 Rio Declaration
“Where there are threats of serious or irreversible damage, lack of full scientific certainty
shall not be used as a reason for postponing cost-effective measures to prevent
environmental degradation.”
Even though this principle is not recognised as a principle of international law, has
become widely used in international environmental law and has been applied to areas
such as general environmental management, managing hazardous wastes, preventing
pollution and protecting endangered species and has been mentioned in many important
legal instruments.

4) Life-Cycle Assessment
Life Cycle assessment follows a cradle-to-grave approach. It is the overall evaluation of
a product from beginning to end. The Society of Environmental Toxicology and Chemistry
defines life-cycle assessment as:

“An objective process to evaluate the environmental burdens associated with a product,
process, or activity by identifying and quantifying energy and materials used and wastes
released to the environment, to assess the impact of those energy and material uses and
releases to the environment, and to evaluate and implement opportunities to affect
environmental improvements. The assessment includes the entire life cycle of the product,
process, or activity, encompassing extracting and processing raw materials,
manufacturing, transportation, and distribution, use, reuse, maintenance, recycling,
and disposal.”

18.3 Strict Liability

The concept of strict liability first came upon in the United Kingdom when many accidents
took place during the Industrial revolution, which were going unredressed and the courts
were paralysed in penalising the people who were committing the crimes.

In the midst of all this took place the case of Rylands v. Fletchers4 which established a
new principle in tort law. Rylands, a man employed contractors to build a reservoir,
4
(1868)LR 3 HL 330.
358 Law and Policies Pertaining to Environment

himself not playing any role in the reservoir’s construction. When the contractors began
the construction of the reservoir, they came upon some old coal shafts which were full
of debris. However, they ignored this and continued to carry on their work and construct
the reservoir without making sure that these shafts had been properly blocked up. The
result was that on being filled for the first time, Rylands’s reservoir burst and flooded a
neighbouring mine, run by Fletcher, causing a lot of damage. Fletcher sued Rylands for
negligence, through which the case eventually went to the Exchequer of Appeals. The
majority ruled in favour of Rylands; however, Bramwell argued that the claimant had
the right to enjoy his land free of interference from water, and that as a result the
defendant was guilty of trespass and the commissioning of a nuisance.

Bramwell’s argument was affirmed, both by the Court of Exchequer Chamber and the
House of Lords, leading to the development of the “Rule in Rylands v. Fletcher stated by
Blackburn J.; that “the person who for his own purpose brings on his lands and collects
and keeps there anything likely to do mischief, if it escapes, must keep it in at his peril,
and if he does not do so, is prima facie answerable for all the damage which is the
natural consequence of its escape”.

From the rule of Rylands v. Fletcher was born the tort of strict liability. The rule has the
following components which need to be essentially fulfilled before the rule is to be
applied5:
1) A person must bring and collect material on his own land
2) The thing that is brought onto the land must be likely to do mischief if it escapes
3) The thing must be non-natural
This sort of liability has only a few exceptions6;
1) An act of God
2) An act of a third party (sabotage)
3) Plaintiff’s consent
4) Plaintiff’s mistake
5) Natural use of the land
6) Statutory authority
Due to this tort law’s highly technical nature, its application in our country has been
very limited. However, strict liability has been known to be used in cases of fire7, gas8,

5
Kailash Thakur, Environmental Protection: Law and Policy in India, Environment Protection The law, at
194.
6
Divan, Shyam and Rosencranz, Armin, Judicial Remedies and Procedures, Environmental Law and Policy
in India - Cases, Materials and Statutes, at 105 (Oxford University Press).
7
Rainhan Chemical Works Ltd. v. Belvedere Fish Guano Co., (1921) 2 AC 465
8
Batcheller v. Tunbridge Wells Gas Co, (1901) 48 L.T. 765
Environmental Liabilities 359

explosions9, electricity10, oil, noxious fumes11, vibrations etc. In India, during a period of
remarkable judicial achievement around 1985, in the case M.C. Mehta v. Union of India,
a more stringent form of strict liability was laid out. This case is also known as the Sri
Ram Gas Leak Case12.

18.4 Absolute Liability

Shriram Food and Fertilizers Industry a subordinate of Delhi Cloth Mills Limited was
using chlorine and caustic. A major leakage of oleum gas took place from one of the units
of Shriram Food and Fertilizers Limited in the heart of the capital city of Delhi on
December 4th 1985, which resulted in the death of several persons including one advocate
practicing in the Tis Hazari Courts.

The leakage was a result of a series of mechanical and human errors which caused the
bursting of the tank containing oleum gas as a result of the collapse of the structure on
which it was mounted and it created a scare amongst the people residing in that area
specially since it was a few days after the first anniversary of the Bhopal Gas Tragedy.
Hardly had the people got out of the shock of this disaster when, within two days,
another leakage, took place from a pipe joint which resulted in the leak of oleum gas.
The second leak was a comparatively minor one however; it scared a lot of people.

Shriram Foods and Fertilizer Industries had several units engaged in the manufacture of
caustic soda, chlorine, hydrochloric acid, stable bleaching powder, super phosphate,
vanaspati, soap, sulphuric acid, alum anhydrous sodium sulphate, high test hypochlorite
and active earth. All units were set up in a single complex situated in approximately 76
acres and they are surrounded by thickly populated colonies such as Punjabi Bagh, West
Patel Nagar, Karampura, Ashok Vihar, Tri Nagar and Shastri Nagar and within a radius of
3 kilometres from this complex there is population of approximately 2,00,000.13

On 6th December, 1985 by the District Magistrate, Delhi under Section 133(1) of Cr.P.C,
directed Shriram to cease carrying on the occupation of manufacturing and processing
hazardous and lethal chemicals and gases including chlorine, oleum, super-chlorine,
phosphate, etc at their establishment in Delhi in two days and within 7 days to remove
such chemicals and gases from Delhi.

The situation had originally got attention during a writ petition filed in the Supreme
Court by the environmentalist M.C. Mehta, as a Public Interest Litigation. The petition
attempted to close and relocate the Sriram Food and fertilizers since it was located in
a thickly populated area. It was after a month of the filing of the PIL that the incident

9
T.C. Balakrishnan v. T.R. Subramaniam, AIR 1968 Ker. 151
10
Eastern & South African telegraph Co. Ltd. V. Cape Town Tramways Companies ltd., (1902) A.C. 381
11
West v. Bristol Tramways Co., (1908) 2 K.B. 14
12
M.C. Mehta v. Union of India, AIR 1987 SC 1086
13
Bhaduri Surajit, M.C. Mehta v. Union of India, Legally Service India
360 Law and Policies Pertaining to Environment

took place. Following the leak, the Delhi Aid & legal advice board and the Delhi Bar
Association filed applications for compensation in the original M.C. Mehta case.

The Sri Ram Gas Leak case pitted the Apex court of India against one of India’s largest
corporations. There were six reported orders on this case, one of which gave birth to the
concept of absolute liability from the concept of strict liability.
The main issues raised during the case were:
1) Whether this Hon’ble Court has jurisdiction to hear the present matter?
2) Whether Article 21 was available against Shriram and whether Shriram owned by
Delhi Cloth Mills Ltd Public Co, comes within the meaning of State under Article 12?
3) Whether compensation would be provided to the victims of the oleum gas leak
tragedy if so then what would be the measurement of liability of such an enterprise
engaged in caring hazardous industries?
The most important and relevant of these issues was the third one which gave derived
the principle of absolute liability by adding more stringency to the rule of strict liability.
Excerpts from the judgment of 1987 show that the bench contemplated whether the rule
of Reylands v. Fletcher should apply or should there be any other principle on which the
liability should be determined.

The liability under the rule of Rylands v. Fletcher was strict and the fact the thing
escaped on its own was considered no defence. However, the bench was of the view that
when an enterprise is engaged in a hazardous and inherently dangerous industry which
is potentially dangerous to the health and life of people in the surrounding areas, then
the enterprise owes an absolute and non-delegable duty to the people in the surrounding
areas and communities in insuring that no harm comes to them in case of a disaster due
to any reasons. The enterprise should be under an obligation to take the highest
precautionary and safety standards possible and in case a disaster is to take lace due to
any reasons whatsoever, the enterprise has to be liable for all and any compensation for
the harm that is caused and there should be no defence possible for such a liability.

The court also stressed upon the fact that the amount of compensation should be co-
related to the health, magnitude and capacity of the enterprise and in such proportion
so as to serve as a deterrent for the future. The larger and more prosperous the enterprise,
the greater the harm caused.

RELEVENCE OF ABSOLUTE LIABILITY

With the fast pacing expansion of the industrial sector, there was an increasing need to
store and use hazardous substances by many industrial enterprises. Initially, the principle
of strict liability was considered adequately applicable to these enterprises and any
damage they did manage to cause in case of an accident that resulted in the leakage or
escape of any non-natural thing. However, shortly after the Bhopal gas tragedy came up
the Sriram Gas Leak case during which the Supreme Court gave birth to the phenomenon
of absolute liability. Absolute liability was then adopted by the parliament.
Environmental Liabilities 361

As illustrated before, the genesis of absolute liability was the Sriram gas leak case. The
“Absolute Liability” is different from “Strict Liability” because in “Absolute Liability”
the person will be held liable if he is dealing with inherently dangerous activity and no
exceptions to the rule is available which means that the person is completely liable
under it whereas in “Strict Liability” certain exceptions are accorded with it.

In dealing with particular case first “Strict Liability” should be used then if no answers
are coming then the “Absolute Liability” should be applied. The “Absolute Liability”
shall be used in the rarest of the rare cases.

The principle laid down in the Sriram gas leak case reiterated by the Hon’ble Supreme
Court of India in the case of Indian Council for Enviro-Legal Action v. Union of India (AIR
1996 SC 1446), wherein the Court observed that the principle laid down in Sriram gas
leak case was appropriate and suited to the conditions prevailing in the country.

The application of absolute liability was extended by the National Environmental Tribunal
Act of 1995 to all cases where death or injury to a person (other than a workman) or
damage to any property or the environmental result from an accident involving a hazardous
substance. The heads under which compensation may be claimed are specified under
various sections of the act and in addition to the entry “any other claim arising out of or
connected with any activity of handling hazardous substances”, these could include
death, injury, medical expenses, damage to private property, expenses incurred by the
government in public welfare, loss and harm to the environment, trees, animals and loss
of business or employment.

Bhopal Gas Leak case14

On the night of December 2nd at the dawn of December 3rd, forty tons of a highly toxic
gas known as methyl isocyanate leaked out of a chemical plant belonging to ‘Union
Carbide India Limited (UCIL)’ in the city of Bhopal, Madhya Pradesh. On being released
into the atmosphere, it killed over 3,500 people and left over 2,000,000 injured, some
critically and most permanently to the extent that the diseases they suffered from is
carried on in people’s genes till date. The lack of documentation of deaths that fateful
night and the accurate numbers of the living and the dead can never be fixed.

The police registered a criminal case against the officials of Union Carbide India Limited,
which was a subsidiary of the multinational corporation known as the Union Carbide
Corporation (UCC) of the United States. The complaint was lodged on December 6th,
1984. Simultaneously, individual petitioners filed numerous petitions against the UCC in
the United States of America itself during January and February 1985. In India, in the
meantime, the government passed an Act known as the Bhopal Gas Leak Disaster
(Processing of Claims) Act, 1985 to make sure that all the claims that had from the
victims of the disaster were dealt with more quickly and effectively. The Bhopal Act
conferred exclusive right on the government of India to represent all claimants both and
14
Extracted from Kailash Thakur, Environmental Protection: Law and Policy in India, Environment Protection
The law, at 340.
362 Law and Policies Pertaining to Environment

within outside India and also ordered the government to organise a plan for the registering
and proceeding of these claims.

The Union of India after conferring on itself exclusive right and responsibility for all the
victims of the accident sued the Union Carbide Corporation in the Southern District of
New York because the government had a constitutional duty to protect, preserve and
restore the environment and to secure the health and well-being of all the victims of the
disaster. The government probably chose to continue the Bhopal proceedings in a foreign
court because it lacked faith in its own judicial system and did not think that the system
would bring it justice.15 The district Judge however, declared that the case was fit to
be tried in an Indian Court as it was the more appropriate forum for this suit. When the
UCC, Union of India and the other claimants appealed to the U.S. Court of appeals, the
court declared that there was nothing wrong with the judgment of the district judge.

District Court Level Following the New York district court’s judgment, the Union of India
filed a suit under Order 1 Rule (Rule of class suits) of the Code of Civil Procedure, in the
district court of Bhopal on June 12th 1986, against the sole defendant UCC. The government
of India, acting as parents patriae sued the UCC and asked for damages mounting to a
total of Rs. 3,900 Crores (equivalent to U.S. 3 billion dollars). The Union of India alleged
that that the UCC was responsible for manufacturing, processing and storing of Methyl
Isocyanate (a chemical used in agricultural pesticides) and that Union Carbide India Ltd
was a subsidiary of the UCC. The plaintiff also alleged that UCC undertook to design,
construct, operate and manage a plant which would be safe for a production and that
technical personnel on the job had also undertaken training from the defendants. The
plaintiff also alleged that since the UCC was such a huge multinational corporation, it
would be difficult to point fingers at specific people and the entire corporation should
take responsibility for the accident. Since it was dealing with chemicals that were
hazardous in nature, it had the responsibility to ensure the highest possible standards of
safety at each of its plants which it did not do.

The Union Carbide Corporation responded to these allegations with quite a few defences
stating that the fact that it was a multinational corporation had nothing to do with the
law. Even if such a concept was recognised, there was no law that stated anything
regarding it.16 It also said that UCIL was an autonomous and independent entity and even
if it wasn’t, UCC role in the regulation of UCIL was reduced by Indian sovereign regulation
which implies either way that UCC is not liable. The UCC also claimed that there is no
such multinational liability principle that exists, and even if it does it can’t be applied
in this situation. Thirdly, the allegation that MIC is an extremely hazardous substance is
nullified by the simple fact that there are substances stored in India in profound quantities
that are far more dangerous than MIC. The defence that UCC if liable was not entirely so
was also put up with the thought that India and Madhya Pradesh were also liable along
with it. The UCC also filed interlocutory applications to delay the hearing until next
year.
15
See the affidavit of Marc S. Galanter in Upendra Baxi and Thomas paul, Mass disaster and Multinational
Liability: The Bhopal Case (ILI 1986) p. 161, 96.
16
Upendra Baxi and A. Dhunda, Valiant Victims and lethal Litigation: The Bhopal case,(1990) at xiv
Environmental Liabilities 363

In the meantime, a negotiation for settlement between the Union of India and UCC,
which had been going on failed. However, towards the end of the year, two NGOs on
behalf of some victims applied to the district court for immediate relief. Using its inherent
powers under Section 15117, the Bhopal District Court directed the UCC to deposit Rs. 350
Crores by way of interim payment on December 17th 1987. This however, derailed the
primary law suit against carbide.

UCC then filed a revision application against the interim payment decision in the High
Court of Madhya Pradesh.
High Court level The High Court of Madhya Pradesh reasoned as to what events took
place that led the Bhopal District Court to pass an interim payment order. Justice Seth
in the High Court held that it was indeed under the district court’s inherent powers and
that they didn’t only apply to procedural powers but to these situations also.

At that point, Justice Seth also observed the Supreme Court’s decision in the M.C. Mehta
case and felt that it should apply more vigorously to the Bhopal Gas situation. Justice
held that UCIL or UCC, were liable to compensate since they came under the principle
of absolute liability. The court in fact could not find a reason why the rule should not
apply to the situation. Justice Seth further refused the defence of not lifting the veil of
a multinational corporation and said that the UCC held majority of the equity in UCIL
hence it was absolutely liable.

The court finally fixed Rs. 250 Crores as reasonable amount of interim payment of
damages to be directed to the district court by July 1988. The court also decided on a
fixed amount in case of death, permanent disability and alike.

Supreme Court level: The Bhopal case reached the Supreme Court of India in two separate
cases, one passed as a case between Union of India and the second following an order by
Justice Seth of Bhopal High Court. The Carbide put up the objection that Justice Seth’s
interim payment declaration was like verdict without a proper trial. The Union of India
appealed the decision because the settlement of Rs. 350 Crores decided by the District
Court as interim payment had been reduced to Rs. 250 Crores which was more than 30%
reduction. The apex court was dismayed at the pace with which one of the primary law
suits of the nation was proceeding and passed orders for a settlement to be signed by the
plaintiff’s and defendant’s lawyers. The court felt that after having heard all arguments,

17
Sec 151- Saving of inherent powers of Court.
Nothing in this Code shall be deemed to limit or otherwise affect the inherent power of the Court to
make such orders as may be necessary for the ends of justice or to prevent abuse of the process of the
Court.
Comments
i) Inherent powers cannot be exercised so as to nullify provisions of the Code. When Court deals
expressly with a particular matter, the provisions should normally be regarded as exhaustive;
National Institute of Mental Health and Neuro-Science v. C. Parameshwara, AIR 2005 SC 242.
ii) Recourse to inherent powers in face of or in conflict with specific provision of statute is not
permissible. Inherent power cannot be exercised to nullify effect of any statutory provisions;
Abdul Rahim Attar v. Atul Ambalal Barot; AIR 2005 Bom 120.
364 Law and Policies Pertaining to Environment

offers, counter offers and having taken into regard the previous proceedings of the trial,
it was only fit to reach a settlement covering all litigation claims, rights and liabilities
arising out of the disaster. The court made the Government of India to accept US $ 470
million as full and final payment of all and any consequences in the past, present and
future related to the accident. This settlement was reached for the sole purpose of
benefiting the victims of the disaster. The court, in order to facilitate the settlement,
used its extraordinary power and terminated all civil, criminal and contempt of court
proceedings that had arisen out of the Bhopal Disaster and were pending in the
subordinate courts.

Regarding questions as to how the court came to a fixed sum of $ 470 million, the court
said that because of the 4 years of litigation and debate over compensation, there had
already been delay and it was matter of life and death for the victims of the Bhopal Leak
and there was no time to waste. Following this, separate settlements were decided for
the fatal cases, disability cases, temporary or partial disabilities and problems. The rest
of the money was to be put into specialised care facilities and rehabilitation centres.

This judgment has received much criticism from everywhere on many grounds most of
which have to with the settlement for compensation that was finally reached. The
power of class action has also been emphasized upon in this case. There have also been
complaints that the apex court did not lay down any policy or guidelines to tackle the
recurrence of such disasters in the near future. Therefore, it is desirable that keeping in
mind unforeseen disasters; guidelines need to be drawn up.

18.5 Conclusion
Of most torts that help abate pollution present day, liability has been the most effective
in making polluters take responsibility for their actions. Essentially there are two types
of liabilities; strict and absolute liability. The phenomenon of strict liability was born
from the Rule in Rylands v. Fletcher stated by Blackburn J. The rule has the following
components which need to be essentially fulfilled before the rule is to be applied:
1) A person must bring and collect material on his own land
2) The thing that is brought onto the land must be likely to do mischief if it escapes
3) The thing must be non-natural
This sort of liability has only a few exceptions; an act of God, an act of a third party
(sabotage), plaintiff’s consent, plaintiff’s mistake, natural use of the land, statutory
authority.

Following a more stringent form of liability, the case of M.C. Mehta v. Union of India gave
birth to concept of absolute liability. The “Absolute Liability” is different from “Strict
Liability” because in “Absolute Liability” the person will be held liable if he is dealing
with inherently dangerous activity and no exceptions to the rule is available which
means that the person is completely liable under it whereas in “Strict Liability” certain
exceptions are accorded with it.
Environmental Liabilities 365

Bhopal gas Tragedy is an important case in Indian history that depicts the use of liability
in our country.

Through judicial activism the judiciary has taken into its power executive functions and
judicial legislation. With the concept of PILs on the rise the basic principles of equity
when it comes to the abatement of pollution have also become important in the new
judicial active arena. The most basic principles of equity are Sustainable Development,
Inter- Generational Equity, Polluter pays Principle, Precautionary principle and Life-
Cycle Assessment.

18.6 References and Recommended Readings

Divan, Shyam and Rosencranz, Armin, Environmental Law and Policy in India - Cases,
Materials and Statutes, Oxford University Press, New Delhi.
Thakur, Kailash, Environmental protection Law and Policy in India, Deep & Deep
Publications, New Delhi.
Mohanty, S.K., Environment and Pollution Laws, Universals Legal Manual, 2010. Tiwari,
H.N., Environmental Law, Allahabad Law Agency, 2007.
Pandey, J.N., Constitutional Law of India, Central Law Agency, 44th edition, 2007. Rai,
Kailash., Public Lawyering,Legal Aid and Para Legal Services, 5th edition, 2008. Mulla &
Pollock Indian Contract Act and Specific Relief Act, 10th edition.
 COURSE 3:
LAW AND POLICIES PERTAINING
TO URBANISATION
368 Law and Policies Pertaining to Urbanisation
Urban Laws and Policies 369

UNIT 19
URBAN LAWS AND INDIAN
CONSTITUTION
Contents
19.1 Introduction 369
19.2 Relevant Provisions from the Indian Constitution 371
19.3 Constitution 74th Amendment Act, 1992 373
19.4 Some Urban Issues Discussed in Light of Constitutional Provisions 379
19.5 Conclusion 381
19.6 References and Recommended Readings 382

19.1 Introduction
Cities are probably the most complex things that human beings have ever created. They
are the wellsprings of culture, technology, wealth and power. People have love-hate
relationship with cities. We are torn between our needs for community and privacy and
the conflicting attractions of urban and rural life. Urban Planning can be defined as the
design and regulation of the uses of space that focus on the physical form, economic
functions, and social impacts of the urban environment and on the location of different
activities within it.

According to the oxford dictionary word urban means a city or a large permanent
settlement. The U.S census bureau defines urban areas on the basis of the census blocks.
Urban areas can include an entire country or parts of the country; it is a contiguous area
of census blocks. An urban area is usually known as a city. There is no one standard
international definition of a city the term may be used either for a town possessing city
status; for an urban locality exceeding an arbitrary population size; for a town dominating
other towns with particular regional economic or administrative significance. Although
city can refer to an agglomeration including suburban and satellite areas, the term is
not appropriate for a con-urban (cluster) of distinct urban places, nor for a wider
metropolitan area including more than one city, each acting as a focus for parts of the
area.

An urban area usually consists of residential, industrial and business areas together with
administrative functions which may relate to a wider geographical area. A large share of
370 Law and Policies Pertaining to Urbanisation

a city’s area is generally taken up by houses, roads and streets. Lakes and rivers may be
the only undeveloped areas within the city. Cities generally have advanced systems for
sanitation, utilities, land usage, housing, and transportation. The concentration of
development greatly facilitates interaction between people and businesses, benefiting
both parties in the process. A big city, or metropolis, usually has associated suburbs.
Such cities are usually associated with metropolitan areas and urban sprawl, creating
numerous business commuters travelling to urban centres of employment.

Urbanisation in India is characterised by unplanned and uncontrolled growth leading to

urban sprawl. Land use planning and the pattern of development, relationship between
residential areas and industrial, commercial and office complexes have a considerable
impact on the environment. Most of all, appropriate infrastructure provision has not
kept pace with economic growth. Consequently, the environment of urban areas,
particularly of larger cities, has been deteriorating rapidly.

Urban local bodies (ULBs) in India are faced with a plethora of issues that directly impact
their capacity to manage municipal service delivery while simultaneously addressing
environmental concerns.
These include:
♦ multiplicity of organisations;
♦ inadequate resource mobilisation;
♦ lack of capability to adopt proper corporate planning;
♦ lack of information and information systems; and
♦ inadequate monitoring of policy implementation.
Where the municipalities are struggling to provide basic amenities to citizens, issues of
environmental pollution or hazard management are not accorded priority till matters
reach the proportions of a crisis. A primary reason for the delay was that local governments
were perceived to be rivals, rather than complements, by state governments. Hence,
local government was generally not a level that was maintained with commitment and
sufficiently empowered in the post-Independence era. For that reason, it could be said
that even by 2004, the state of West Bengal distinguished itself by its commitment to
having regular local elections once the current ruling party of West Bengal came to
power in the 1970s.In other states, these bodies were frequently superseded for long
periods by state governments. West Bengal’s commitment to local government in fact
had an important role to play in the national recognition accorded local government.
Its commitment inspired the 74th Amendment Act that formerly gave constitutional
recognition to local government.

However, it can also be said that there is, today, a growing awareness of the need and
importance of local self-government, as being a provider of services to local communities
and as a mechanism for democratic self-government. There are currently two distinct
types of local government system urban local system and the rural local system. The
Urban Laws and Policies 371

structure of the latter is multi-tiered and will not form the subject of this article, which
focuses on urban local government.

19.2 Relevant Provisions from the Indian Constitution

While India, like many other regions, has always had local councils of some sort, the
mechanisms in existence today are rooted in the period during which it was a colony of
the United Kingdom. A major foundation of the British roots of Indian local government
was Lord Ripon’s resolution of May, 1882, on the subject of local self-government covering
the structure and establishment of local bodies, their functions, finances and powers.
This is the root of local self-government in post-Independence India. In the context of
the Indian Constitution, local government bodies are the subject of the State List and
are thereby governed by State Statutes, or in the case of Union Territories, by the Union
Parliament. Federal recognition of local government was substantively expressed in the
74th Constitution Amendment Act of 1992.

Constitution may be defined as a document having a special legal sanctity which sets out
the framework and principal function. Aspen of urban laws is widespread and requires a
minute study to give it relevancy to the Indian constitution, constitution and urban laws
maintain a chain reaction as the laws enacted by the law framers supplement the stumbling
attribute of urban laws and policies. Similarly, the laws which supplement these urban
policies derive their basis from the constitution itself.

Relevant provisions -
I) Directive Principles of the State Policy
Part 4th of the Indian constitution relates to the directive principles of the state policy.
It sets forth the ideals and objectives to be achieved by the state for setting up in India
a social welfare state as distinguish from the mere police state, which aims at the social
welfare and the common good and to secure to all its citizens, justice social and economic.
The inspiration for including in the constitution was drawn from the constitution of
Ireland, 1937. The basic aim of the welfare state is the attainment of substantial degree
of social, economic, and political equalities, as well as the assumption by the community
acting through the State. These provisions that pertain to a welfare state also, indirectly
lend the bearing of an ideal urban India. These provisions are as follows:

a) Article 39 (b) and (c) are very significant constitutional provisions as they effect the
entire economic system in India. It relates to the distribution of the ownership and
control of the material resources of the community. An act falling under the clause
of this Article must have in operation in the economic system.

b) Article 39(b) and 39(c) relate to distribution of ownership and control of material
resources of the community. The aim of socialism is the distributions of the material
resources of the community in such a way as to sub serve the common good. A
socialistic state secure to its people socio-economic justice.
372 Law and Policies Pertaining to Urbanisation

c) Article 39(d) ensures equal pay for equal work. The Article states that the State has
to ensure that there is equal pay for equal work for both men and women. The Act
also ensures that there will be no discrimination against the recruitment of the
women and provides for the setting up of the advisory committees to promote
employment opportunities for women.

Parliament has enacted the Equal Remuneration Act, 1976, to implement Article 39(d).
The act provides for equal remuneration for both men and women workers for the same
work, or work of similar nature and for the prevention of discrimination on the grounds
of sex.

Besides the principles of gender equality in the matter specifically embodied in the
Article 39(d) the Supreme Court has extracted the general principles of equal pay for
equal work by reading Article 14, 16 and 39(d).

II) Relations between the Union and the States

A federal constitution establishes a dual polity with the union at the center and the
states at the periphery, each endowed with the powers to be exercised in the field
assigned to them. The legislative, executive and the financial authority is divided between
the center and the units not by any law passed by the center but the constitution itself.

The Indian constitution provides a new kind of federalism to meet India’s peculiar needs.
In the matter of distribution of powers, the framers followed the pattern of the government
of India Act, 1935, which had laid the foundation for a federal set up of the nation.

The seventh schedule to the Indian constitution divides the subject of the legislations
under three lists, viz. Union, state and concurrent list.

The Union list (list I) contains as many as 97 items and comprises of the subjects which
affect the entire country and are of general interest and admit of uniform laws for the
whole of the country. These matters lie within the exclusive legislation competence of
the union parliament.

The State list (list II) enumerates 66 items and comprises of subjects of local or state
interest and as such lie within the legislative competence of the state legislatures.

The Concurrent list (list III) enumerates 47 items, with respect to which both union
parliament and the state legislatures have concurrent power of legislation. The union
list has overlapping and shared jurisdiction over 52 subjects including forests.

III) Environment Protection and improvement (Article 48 A)

Environment protection and improvement were explicitly incorporated into the
constitution by the constitution (Forty-second amendment) Act 1976. Article 48 A was
added to the directive principles. It declares ‘the state shall endeavour to protect and
improve the environment and to safeguard the forests. Article 51 A (g) in the new chapter
entitled the fundamental duties, imposes a similar responsibility on every citizen.
Urban Laws and Policies 373

19.3 Constitution 74th Amendment Act, 1992

The 73rd and 74th Constitutional Amendments Acts were introduced in the early 1990’s
in a bid to achieve democratic decentralisation and provide constitutional endorsement
of local self-governance authorities. These amendments confer authority on legislatures
of States to endow respectively Panchayats and Municipalities with such powers and
functions as may be necessary to enable them to act as institutions of self-government.
For the purpose, the Panchayats and Municipalities have been charged with the
responsibility of preparing and implementing plans for economic development and social
justice including those in relation to matters listed in the Eleventh and Twelfth Schedules
of the Constitution. The central objective of these amendments is the decentralisation
of planning and decision-making procedures. It also has the implicit intention of removing
centralised notions of control and monopoly overdevelopment of resources.

Panchayats - Article 243G provides that, subject to the provisions of the Constitution,
the legislature of any State may, by law, endow the Panchayats, 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 Panchayat at the appropriate level.

The Panchayats have been entrusted with the implementation of schemes for economic
development and social justice including those in relation to the matters listed in the
Eleventh schedule. The Municipalities have been entrusted with the implementation of
schemes for economic development and listed in the Twelfth schedule. These being,
among others:
♦ Urban Planning and town planning;
♦ Regulation of land-use and construction of buildings;
♦ Planning for social and economic development;
♦ Slum improvement and upgradation;
♦ Provision of urban amenities and facilities such as parks, gardens, playgrounds
♦ Public amenities including street lighting, parking lots, bus stops and public
conveniences.
Municipalities - Articles 243W provides that, subject to the provisions of the Constitution,
the legislature of any State may, by law, endow the Municipalities, with such powers and
authority as may be necessary to enable them to functions institutions of self-government
and such law may contain provisions for the devolution of powers and responsibilities
upon Municipalities respectively at the appropriate level.

Article 243ZD provides for the creation of a district level planning committee for the
preparation of the District Development Plan. The District Planning Committee has been
placed with the powers to draft district development plan to consolidate the plans
prepared by the panchayats and municipalities, having regard to matters of common
374 Law and Policies Pertaining to Urbanisation

interest including spatial planning, sharing of water and other natural and physical
resources, the integrated development of infrastructure and environmental
considerations. Further, the district development plans should be prepared to consolidate
the plans prepared by the panchayat and municipalities. Article 243ZE provides that for
metropolitan areas, a metropolitan Planning Committee shall be elected by and from
amongst the elected members of the municipalities and chairpersons of the panchayats
within the metropolitan area in proportion to the ratio between the population of the
municipalities and panchayats in the metropolitan areas having the same mandate as
mentioned above for the district planning committee.

Background of The Constitution (74th Amendment) Act, 1992 - Towns and cities contribute
substantially to the economic development of the country. These urban centres also
play an important support role in the development of rural hinterland. To keep this
economic transformation in line with needs and realities at the grassroot level, it was
deemed necessary that the people and their representatives are fully involved in the
planning and implementation of the programmes at local level. Hence the 74th
Amendment Act was enacted with the aim of strengthening the roots of democracy by
extending their reach to towns, villages and the cities where the people live.

The Constitution of India has made detailed provisions for ensuring protection of
democracy in Parliament and in State Legislatures. Hence, democracy in these institutions
has survived and flourished since last numerous decades. Initially, the Constitution had
not made Local Self-Government in urban areas a clear-cut Constitutional obligation.
While the Directive Principles of State Policy referred to Village Panchayats, there was
no specific reference to municipalities except implicitly in Entry-5 of the State List,
which placed the subject of Local Self Government as a responsibility of the State.1 As
a consequence of this inadequate Constitutional provision for Local Self Government,
democracy in municipal governance was not stable. Though the respective municipal
acts of the States provided for regular elections to municipal bodies, they were frequently
suspended and superseded for indefinite periods of time. Frequent and indefinite
suspensions or supersessions eroded the very basis of local self-government and had a
negative effect on democracy at the grassroot level.

The general position with regard to financial resources of the municipal bodies was also
not satisfactory. Over the years, there was a steady encroachment on the assigned
functions and revenues of Urban Local Bodies by specialised agencies of the State
Governments. As a result, many urban local bodies became weak and were not able to
perform effectively. The weakened status of ULBs crystallised public opinion in favour of
need for a Constitutional guarantee to safeguard the interests of urban local bodies in
order to provide for
♦ Regular and fair conduct of elections to these bodies

1
Entry-5 reads as under: “Local Government, that is to say, the constitution and powers of municipal
corporations, improvement trusts, district boards, mining settlement authorities and other local
authorities for the purpose of local self-Government or village administration.”
Urban Laws and Policies 375

♦ Holding of elections within a specified time limit in case of supersession

♦ Adequate representation of SC/ST and women in the elected bodies
♦ Placing on firm footing the relationship between the State Governments and the
urban local bodies with respect to
 functions and taxation powers of the urban local bodies
 arrangement for revenue sharing between the State Government and the urban
local bodies
♦ Involvement of elected representatives at grassroot level in planning at the district
and metropolitan levels.
Accordingly, the Constitution (73rd Amendment) Bill was introduced in the Parliament in
1991, which was referred to the Joint Parliamentary Committee with Members from
both Lok Sabha and Rajya Sabha for consideration. The Committee held several sittings
and also took oral evidence and written comments from various organisations and
individuals. The Committee had the opportunity of visiting various municipalities and
held detailed discussions with their officers and elected representatives as well as with
several State Governments. This was probably the first time that the Parliamentary
Committee had deliberated so extensively on a legislation concerning local self-
government.

The Bill as reported by the Joint Parliamentary Committee was taken up for consideration
and passed by the Lok Sabha on 22nd December, 1992 and by the Rajya Sabha on 23rd
December, 1992 and it received the assent of President on 20th April, 1993. It was published
in the Government Gazette on 20th April, 1993 as the “Constitution (Seventy Forth
Amendment) Act, 1992. The 74th Constitutional Amendment Act came into force on 1st
June, 1993. It had introduced a new part to the Constitution namely, Part IXA in the
Constitution, which deals with the issues relating to municipalities. The main provisions
introduced by the above Act are as under

i) Constitution of Municipalities - It provides for constitution of 3 types of municipalities

depending upon the size and area namely -
a) Nagar Panchayat for an area in transition from rural to urban area;
b) Municipal Council for smaller urban area; and
c) Municipal Corporation for larger urban area.
Demographic and other conditions, which are determining factors for constituting
a particular type of municipality differ a great deal from one State to another. It
has, therefore, been left to the State Legislatures to decide which specific type of
municipality will be constituted for particular urban area.

ii) Composition of Municipalities - The seats are filled by direct elections. Besides the
seats filled by direct elections, some seats may be filled by nomination of persons
having special knowledge and experience in municipal administration. Persons so
376 Law and Policies Pertaining to Urbanisation

nominated shall not have the right to vote in the meetings of the municipality. The
Legislature of a State may, by law, also provide for the representation in a
municipality of members of the House of the People and the members of the
Legislative Assembly of the State representing constituencies which comprise, wholly
or partly, the Municipal area and also the Members of the Council of States and the
members of the Legislative Council of the State registered as electors within the
municipal area. The manner of election of Chairpersons of municipalities has been
left to be specified by the State Legislature.

iii) Constitution of Wards Committees - This provides for constitution of Ward Committees
in all municipalities with a population of 3 lakhs or more.

iv) Reservation of seats - In order to provide for adequate representation of SC/ST and
of women in the municipal bodies, provisions have been made for reservation of
seats. The proportion of seats to be reserved for SC/ST to the total number of seats
shall be same as the proportion of the population of SC/ST in the municipal area.
The reservation would be made in respect of seats to be filled by direct elections
only. Not less than one-third of the total number of seats reserved for SC/ST shall
be reserved for women belonging to SC/ST. This is a mandatory provision.

In respect of women, the seats shall be reserved to the extent of not less than one-
third of the total number of seats. This includes seats reserved for women belonging
to SC/ST. These reservations will apply for direct elections only. This is also a
mandatory provision. There will be no bar on State Legislatures from making
provisions for reservation of seats in any municipality or office of Chairperson in
the municipalities in favour of backward class of citizens. This is an optional
provision.

v) Duration of Municipalities - The municipality has a fixed term of 5 years from the
date appointed for its first meeting. Elections to constitute a municipality are
required to be completed before the expiration of the duration of the municipality.
If the municipality is dissolved before the expiry of 5 years, the elections for
constituting a new municipality are required to be completed within a period of 6
months from the date of its dissolution.

vi) Powers and Functions of the Municipalities - All municipalities would be empowered
with such powers and responsibilities as may be necessary to enable them to function
as effective institutions of self-government. The State Legislature may, by law,
specify what powers and responsibilities would be given to the municipalities in
respect of preparation of plans for economic development and social justice and
for implementation of schemes as may be entrusted to them. An illustrative list of
functions that may be entrusted to the municipalities has been incorporated as the
Twelfth Schedule of the Constitution.

vii) Finances of Municipalities - It has been left to the Legislature of a State to specify
by law matters relating to imposition of taxes. Such law may specify:
Urban Laws and Policies 377

♦ Taxes, duties, fees, etc. which could be levied and collected by the
Municipalities, as per the procedure to be laid down in the State law;
♦ Taxes, duties, fees, etc. which would be levied and collected by the State
Government and a share passed on to the Municipalities;
♦ Grant-in-aid that would be given to the Municipalities from the State; and
♦ Constitution of funds for crediting and withdrawal of moneys by the Municipality.
viii) Finance Commission - The Finance Commission constituted under Article 243-I to
review the financial positions of Panchayati Raj Institutions shall also review the
financial position of the municipalities and will make recommendations to the
Governor.

The recommendations of the Finance Commission will cover the following:

♦ Distribution between the State Government and Municipalities of the net
proceeds of the taxes, duties, tolls and fees leviable by the State;
♦ Allocation of share of such proceeds between the Municipalities at all levels in
the State;
♦ Determination of taxes, duties, tolls and fees to be assigned or appropriated by
the Municipalities;
♦ Grants-in-aid to Municipalities from the Consolidated Fund of the State; and
♦ Measures needed to improve the financial position of the Municipalities.
ix) Elections to Municipalities - The superintendence, direction and control of the
preparation of the electoral rolls for, and the conduct of, all elections to the
panchayats and municipalities shall be vested in the State Election Commissions.

x) Audit and Accounts - The maintenance of the accounts of the municipalities and
other audit shall be done in accordance with the provisions in the State law. The
State Legislatures will be free to make appropriate provisions in this regard depending
upon the local needs and institutional framework available for this purpose.

xi) Committee for District Planning - Planning and allocation of resources at the district
level for the Panchayati Raj institutions are normally to be done by the Zilla Parishad.
With regard to urban areas, municipal bodies discharge these functions within their
respective jurisdictions. However, some important questions may arise, which would
concern the urban-rural interface, and it may be necessary to take an overall view
with regard to development of the district as a whole and decide on allocation of
investments between the rural and urban institutions.

Provision has, therefore, been made for the constitution of a Planning Committee
at the district level with a view to consolidate the plans prepared by the
Panchayats and the Municipalities and preparing a development plan for the district
as a whole.
378 Law and Policies Pertaining to Urbanisation

The District Planning Committee in preparing the Draft Development Plan shall
have regard to:
♦ Matter of common interest between the Panchayats and the Municipalities
including spatial planning;
♦ Sharing of water and other physical and natural resources;
♦ Integrated development of infrastructure and environment conservation;
♦ Extent and type of available resources, whether financial or otherwise.
The Draft District Development Plan so prepared and recommended by the District
Planning Committee shall be forwarded by the Chairperson of the Committee to the
State Government.

xii) Metropolitan Planning Committees - It is provided in the Act that in every Metropolitan
area (with a population of 10 lakhs or more), a Metropolitan Planning Committee
shall be constituted for preparing a draft development plan for the metropolitan
area as a whole. The Metropolitan Planning Committee shall take into account the
following for preparation of the Draft Development Plan:
♦ Plan prepared by the Municipalities and the Panchayats in the metropolitan
area
♦ Matter of common interest between the Municipalities and Panchayats including
coordinated spatial plans of the area
♦ Sharing of water and other physical and natural resources
♦ Integrated development of infrastructure and environmental conservation
♦ Overall objectives and priorities set by the Government of India and the State
Government
♦ Extent and nature of investments likely to be made in the metropolitan area by
agencies of the Government
♦ Other available resources, financial and otherwise.
In terms of Article 243ZC of the Constitution, nothing in Part IXA shall apply to
Scheduled areas and Tribal areas as referred to in Article 244 of the Constitution.
However, Parliament may by law, extend the provisions of Part IXA to these areas
subject to such exceptions and modifications as may be specified in that law.

Implementation of Part IX A - In order to provide time to allow changes to be made in

the then existing laws which were inconsistent with the provisions of the Constitution
(74th Amendment) Act, a transition period of one year was provided for. Immediately
after the Constitution (74th Amendment) Act came into force on 1st June, 1993, the
Ministry of Urban Development took necessary steps to ensure that the provisions of the
State Municipal Laws are brought in conformity with the provisions of the above Act. As
a result of various steps taken up by the Ministry of Urban Development through
Urban Laws and Policies 379

correspondence and also organising meetings of the State level Secretaries, the State
Governments brought in place the conformity legislations by target date i.e. 31st May,
1994.

The amended State municipal laws provide for detailed provisions for constitution and
composition of municipalities, reservation of seats for SC/ST and women, fixed term of
5 years and re-election of municipalities within a period of 6 months in case of dissolution,
functions and financial powers of municipalities, setting up of State Finance Commission
etc.

What has actually changed after 74th Constitution Amendment Act of 1992?
Municipalities have been in existence in several cities of India before 1992 as well.
The question that arose hence was that what exactly have changed after this
Amendment. The difference between the municipal bodies functioning pre and
post the 1992 Amendment Act are as follows:
♦ The municipalities in pre-1992 era did not have the constitutional status and
the State governments were free to extend or control the functional sphere
through executive decisions. This was done away with post 1992.
♦ Before the amendment, the State government could control the municipalities
by controlling the funds. Amendment the State government is mandated to
transfer the funds in accordance with the recommendations of the State Finance
Commission.
♦ The subject of jurisdiction was clearly defined in the 74th amendment with
municipalities having exclusive control over 18 listed subjects.
♦ Representation of SCs/ST and women was laid down in the Act itself making the
municipalities a more representative body.

19.4 Some Urban lssues Discussed in Light of Constitutional

Provisions
I) Constitutional provisions pertaining to Noise Pollution
Noise by definition is unwanted sound. Noise pollution can be divided into two categories,
viz. Natural and man-made. Natural causes of noise pollution are air, noise, volcanoes,
seas, rivers, exchanging voices of living organs including man and animals. Some of the
chief causes of man-made noise pollution are machines and modern equipment of various
types, automobiles, trains, planes, use of explosive, bursting of firecracker and new age
machineries.

Noise affects human life in many ways. It affects sleep, hearing, communication and
mental health and physical health and finally the peace of living. It may even lead to
madness in some persons. However, noise, which is melodious whether natural or man-
made, cannot always be considered as a contributor to pollution.
380 Law and Policies Pertaining to Urbanisation

The Right to means of expressions and sound The Indian Constitution under Article 19
grants fundamental right to every citizen to freedom of speech and expression, with
reasonable restriction of decency, morality, security of State, defamation, incitement
of offence etc. The use of loudspeaker as a means of expression is regulated by
reasonable restriction so as to meet public order and safety. Having regard to the
provision of Article 19(1)(a) of the Constitution, it cannot be said that the District
Magistrate, Sub-Divisional Officer and the Police authorities are the sole authority who
can grant at will permission without having any regard to the fundamental rights of the
fellow citizens.

A bye-law of a municipality requiring permission for using a loudspeaker does not infringe
Article 19(1)(a). State can regulate the use of loudspeakers and mechanical or other
contrivances to amplify sound, and does not amount to an infringement of the right
under Article 19(1) (a). Similar is the case with explosives, fire cracker, etc. Article 25
of the Constitution also grants the right to use loud speaker protecting the freedom,
conscience and free profession, practice and propagation of religion.

Some legal response to Noise Pollution:

1) Railways Act, 1890 and noise: A large amount of noise pollution is advanced by the
noise emitted from railway engines and carriages. There is no check to curb this
noise pollution under the Railways Act, 1890 (Act No. lX OF 1890) statutory authority
for the use of locomotives to railways administration. [7]

2) The Motor Vehicles Act, 1988: The Motor Vehicles Act, 1988 through Sections 20, 21
(j), 41, 68, 68 I, 70, 91 and 111 empowers a State Government to frame rules for the
un keep of motor vehicles and control of noise produced by them in this jurisdiction.
It is submitted that the Motor Vehicles Rules made by States do not contain any
effective control measures to control noise pollution except a meagre control of
horns and silencers of the motor vehicles.

3) The Union Government on 14 February 2000 enacted the Noise Pollution (Regulation
and Control) Rules, 2000 in exercise of its power conferred under the Environment
(Protection) Act, 1986 to control the increasing ambient noise level in public places
from various sources. These Rules were amended vide Noise Pollution (Regulation
and Control) (Amendment) Rules, 2010 to include the words “fire crackers and sound
polluting instruments.”

4) The Noise Pollution (Regulation And Control) Amendment Rules 2017 notified by the
Government. These rules have given the power to State Governments to declare
silence area / zone which is less than 100 meters around hospitals, educational
institutions and courts. The term “festive occasion” has been specifically defined in
the amended rules. The omission of Note (3) to Schedule to the Principle Rules has
broadened the scope of “silence zone” and now only State Governments can notify
silence area / zone.
Urban Laws and Policies 381

II) Constitutional provisions pertaining to Sanitation

If the human race is to survive and progress, preservation of good health is a must.
Worldwide, nations are seeking viable answers to the question of how to offer a decent
health care system, healthy living conditions, and good quality health services. Good
health is not only a necessary requirement, it is also a recognised fundamental right for
each and plays a crucial role in socio-economic maturity of the nation. The country’s
policy towards health has been traditionally identified by the provision of primary
healthcare as the states responsibility.

At the beginning of year 2000, one-sixth of the world’s population was without access to
hygienic water supply and two-fifth lacked access to sanitation.2 In the absence of proper
sanitation, people suffered from high levels of infectious diseases leading to high
incidences of morbidity and mortality. Inadequate sanitation like unsafe disposal of
human excreta, open defecation, lack of infrastructure (sewerage, drainage/silages),
and absence of hygiene management constitute a major threat to the health of the
people. Despite the efforts and investment many low-income countries continue to
suffer from inadequate and unsafe sanitation India falls one of those countries. Despite
the global commitments, the improvements made by many countries during the last one
decade are very poor and the constraints identified are financial difficulties, institutional
problems, inadequate human resources, and lack of political commitment, insufficient
community involvement, inadequate operation and maintenance, lack of hygiene
education, poor water quality, people’s attitudes towards sanitation and insufficient
information and communication.

19.5 Conclusion
Urban laws and Indian Constitution can be called as two sides of the same coin, therefore
urban laws have to be in consonance with the Constitution otherwise it may not be able
to serve the purpose it was intended to. The framers of the Constitution were well
aware of the circumstances and the need for law as it was the mere transfer of the laws
from white hall to south hall many of the laws need to be looked upon minutely and
there was urgent need of their enactment. As after the mid 90’s the concern of the
legislative as well as executive was to bring a change in the society and to promote
urbanisation for which directive principles were laid down. Further the 74th amendment
to the constitutional enacted several other laws which have structure to the urban laws
and policies, as well as helped maintain the equilibrium in implementing as well as
strengthening the urban laws. The 74th Amendment has recognized urban local bodies
and mandated that state governments transfer to local governments a set of specified
functions under the 12th Schedule. As such, accountability now rests with the urban
local bodies but adequate finances or the capacity for planning and management needs
to be given proper attention.

2
Global Water Supply and Sanitation Assessment Report, 2002.
382 Law and Policies Pertaining to Urbanisation

19.6 References and Recommended Readings

Indian Constitutional Law, M.P. Jain. Constitutional law of India, Prof. Narender Kumar.
Study of Education in Urban India, NIUA, 2004.

Nehru, J.L; The discovery of India, Jawaharlal Nehru Memorial Fund, New Delhi,1981.
Basu D.D; Introduction to the Constitution of India, Prentice-Hall India,1997.
Urban Laws and Policies 383

UNIT 20
GOVERNMENT PLANS AND
SCHEMES FOR URBANISATION
Contents
20.1 Introduction 383
20.2 Urbanisation in Governmental Five Year Plans 385
20.3 Policy Responses to Urbanisation 391
20.4 Conclusion 395
20.5 References and Recommended Readings 395

20.1 lntroduction
Urbanisation is defined by the United Nations as movement of people from rural to
urban areas with population growth equating to urban migration. It is closely linked to
modernisation, industrialisation and the sociological process of rationalisation.

Each year India adds more people to the world’s population than any other country.1
Managing the ever-burgeoning population of the mega-cities continues to be one of the
crucial issues in the urban agenda of developing countries. A policy of urban
decentralisation is limiting or discouraging growth within the core cities while encouraging
population concentration in the smaller urban centres in the periphery is an approach
that has been commonly adopted for spatial planning in many such countries over the
past decades.

The urbanisation of India is taking place at a faster rate than in the rest of the world.
By 2030, 40.76 per cent of India’s population will be living in urban areas compared to
about 28.4 per cent now.2 At the same time, according to the United Nations’ ‘State of
the World Population 2007’ report, it is also said that metropolitan cities like Mumbai
and Kolkata have a far greater number of people moving out than coming in.

According to the report, over 90 per cent of slum-dwellers live in developing countries
with China and India accounting for 37 per cent of them. About 56 per cent of the urban
population lives in slum conditions. The report also says that in countries like India,

1
UNDP Report, 2010.
2
United Nations’ ‘State of the World Population 2007’ Report.
384 Law and Policies Pertaining to Urbanisation

Pakistan and Bangladesh, the literacy rate of women living in slums is as low as 52 per
cent. For countries like India, the report says, getting ready for the aging population is
another big challenge. In Chennai, it says, total fertility rate has fallen to below
replacement levels. The city has closed down 10 maternity clinics and reopened them as
geriatric units.

It is predicted that a few years down the line, half of the world’s population would be
living in urban areas. But in most regions, the rate of urbanisation is showing a decline
except in growing economies like India.3 The population of towns and cities in developing
countries like India is set to double in the space of a generation, while the urban population
in the developed world is expected to grow relatively lower, the report says.

What is urbanisation?
Urbanisation refers to general increase in population and the amount of
industrialisation of a settlement. It includes increase in the number and extent of
cities. It symbolises the movement of people from rural to urban areas.
Urbanisation happens because of the increase in the extent and density of urban
areas. The density of population in urban areas increases because of the migration
of people from less industrialised regions to more industrialised areas.
Urbanisation can thus represent a level of urban population relative to total
population of the area, or the rate at which the urban proportion is increasing.
Both can be expressed in percentage terms, the rate of change expressed as a
percentage per year, millennia or period between censuses. Urbanisation can result
from either
♦ an increase in the extent of urban areas
♦ an increase in the density of urban areas
For instance, the United States or United Kingdom have a far higher urbanisation
level than China, India, Swaziland or Nigeria, but a far slower annual urbanisation
rate, since much less of the population is living in a rural area while in the process
of moving to the city. The rate of urbanisation is much higher in countries like India
and China. Australia is at the opposite of the former two (US and UK) in terms of
urbanisation rate but also the latter two (India and China) in urbanisation level,
making it one of the most urbanised countries in the world. The most urbanised
Continent is Australasia.
In terms of a place, urbanisation means increased spatial scale and/or density of
settlement and/or business and other activities in the area over time. The process
could occur either as natural expansion of the existing population (usually not a
major factor since urban reproduction tends to be lower than rural), the
transformation of peripheral areas or due to in migration towards a particular city.

3
Nesim Tumkaya, United National Population Fund representative in India.
Urban Laws and Policies 385

20.2 Urbanisation in Governmental Five Year Plans

The onset of modern and universal process of urbanisation is relatively a recent
phenomenon and is closely related with industrial revolution and associated economic
development. As industrial revolution started in Western Europe, United Kingdom was
the initiator of Industrial Revolution. Historical evidence suggests that urbanisation
process is inevitable and universal. Currently developed countries are characterised by
high level of urbanisation and some of them are in the final stages of the urbanisation
process and are experiencing a slowdown of urbanisation due to host of factors. A majority
of the developing countries on the other hand, started experiencing urbanisation only
since the middle of 20th century.

With growth in urbanisation rate in India, there is also an increase in the pressures of
urbanisation related issues. One of the major evils born out of urbanisation is the increase
in slums.

However, India has lifted 59.7 million people out of slum conditions since 2000. Slum
prevalence fell from 41.5% in 1990 to 28.1% in 2010. This is a relative decrease of 32%.

Lessening poverty and improving conditions in slums are part of India’s urban development
policy. It has achieved this, first, by building the skills of the urban poor in their chosen
businesses, and by providing them micro-credit; second, by providing basic services and
development within slum settlements, thus improving living conditions; third, by
providing security of tenure to poor families living in unauthorised settlements, improving
their access to serviced low-cost housing and subsidised housing finance; and fourth, by
encouraging the poor to take part in decision-making and community development efforts.

The policies of urban development and housing in India have come a long way since
1950s. The pressure of urban population and lack of housing and basic services were very
much evident in the early 1950s. In some cities this was compounded by migration of
people from Pakistan. However, the general perception of the policy makers was that
India is pre- dominantly an agricultural and rural economy and that there are potent
dangers of over urbanisation which will lead to the drain of resources from the countryside
to feed the cities. The positive aspects of cities as engines of economic growth in the
context of national economic policies were not much appreciated and, therefore, the
problems of urban areas were treated more as welfare problems and sectors of residual
investment rather than as issues of national economic importance.

Let us now examine the five year plans of the government related to urbanisation and
housing
1) First Five Year Plan (1951-56) - In the First Five Year Plan, the emphasis was given
on institution building and on construction of houses for Government employees
and weaker sections. The Ministry of Works and Housing was constituted and National
Building Organisation and Town & Country Planning Organisation were set up. A
sizeable part of the plan outlay was spent for rehabilitation of the refugees from
386 Law and Policies Pertaining to Urbanisation

Pakistan and on building the new city of Chandigarh. An Industrial Housing Scheme
was also initiated. The Center subsidised Scheme to the extent of 50% towards the
cost of land and construction.
2) Second Five Year Plan (1956-61) - The scope of housing programme for the poor was
expanded in this plan. The Industrial Housing Scheme was widened to cover all
workers. Three new schemes were introduced, namely, Rural Housing, Slum
Clearance and Sweepers Housing. Town and Country Planning Legislations were
enacted in many States and necessary organisations were also set up for preparation
of Master Plans for important towns.
3) Third Five Year Plan (1961-66) - The general directions for housing programmes in
the third five year plan were co-ordination of efforts of all agencies and orienting
the programmes to the needs of the Low Income Groups. A Scheme was introduced
in 1959 to give loans to State Govts. for a period of 10 years for acquisition and
development of land in order to make available building sites in sufficient numbers.
Master Plans for major cities were prepared and the State capitals of Gandhi Nagar
and Bhubaneswar were developed.
4) Fourth Five Year Plan (1969-74) - Here the balanced urban growth was accorded
high priority. The Plan stressed the need to prevent further growth of population in
large cities and need for decongestion or dispersal of population. This was envisaged
to be achieved by creation of smaller towns and by planning the spatial location of
economic activity. Housing and Urban Development Corporation (HUDCO) was
established to fund the remunerative housing and urban development programmes,
promising a quick turnover. A Scheme for Environmental Improvement or Urban
Slums was undertaken in the Central Sector from 1972-73 with a view to provide a
minimum level of services, like, water supply, sewerage, drainage, street pavements
in 11 cities with a population of 8 lakhs and above. The scheme was later extended
to 9 more cities.
5) Fifth Five Year Plan (1974-79) - This plan reiterated the policies of the preceding
Plans to promote smaller towns in new urban centers, in order to ease the increasing
pressure on urbanisation. This was to be supplemented by efforts to augment civic
services in urban areas with particular emphasis on a comprehensive and regional
approach to problems in metropolitan cities. A Task Force was set up for development
of small and medium towns. The Urban Land (Ceiling and Regulation) Act was enacted
to prevent concentration of land holding in urban areas and to make available
urban land for construction of houses for the middle and low income groups.
6) Sixth Five Year Plan (1980-85) - The thrust of the planning here was on integrated
provision of services along with shelter, particularly for the poor. The Integrated
Development of Small and Medium Towns (IDSMT) was launched in towns with
population below one lakh for provision of roads, pavements, minor civic works, bus
stands, markets, shopping complex etc. Positive inducements were proposed for
setting up new industries and commercial and professional establishments in small,
medium and intermediate towns.
Urban Laws and Policies 387

7) Seventh Five Year Plan (1985-90) - The seventh plan stressed on the need to entrust
major responsibility of housing construction on the private sector. A three-fold role
was assigned to the public sector, namely, mobilisation of resources for housing,
provision for subsidised housing for the poor and acquisition and development of
land. The National Housing Bank was set up to expand the base of housing finance.
NBO was reconstituted and a new organisation called Building Material Technology
Promotion Council (BMTPC) was set up for promoting commercial production of
innovative building materials. A network of Building Centers was also set up during
this Plan period. The Seventh Plan explicitly recognised the problems of the urban
poor and for the first time an Urban Poverty Alleviation Scheme known as Urban
Basic Services for the Poor (UBSP) was launched.

As a follow-up of the Global Shelter Strategy (GSS), National Housing Policy (NHP)
was announced in 1988. The long term goal of the NHP was to eradicate house
lessness, improve the housing conditions of the inadequately housed and provide a
minimum level of basic services and amenities to all. The role of Government was
conceived, as a provider for the poorest and vulnerable sections and as a facilitator
for other income groups and private sector by the removal of constraints and the
increased supply of land and services.

The National Commission of Urbanisation submitted its report. The Report eloquently
pointed out the reality of continuing and rapid growth of the urban population as
well as the scale and intensity of urbanisation, the critical deficiencies in the various
items of infrastructure, the concentration of vast number of poor and deprived
people, the acute disparities in the access of shelter and basic services, deteriorating
environmental quality and the impact of poor governance on the income and the
productivity of enterprises.

8) Eighth Five Year Plan (1992-97) - In the backdrop of the report of The National
Commission of Urbanisation, for the first time, the eighth plan explicitly recognised
the role and importance of urban sector for the national economy. While growth
rate of employment in the urban areas averaged around 3.8% per annum, it dropped
to about 1.6% in the rural areas. Therefore, the urban areas have to be enabled to
absorb larger increments to the labour force. The Plan identified the key issues in
the emerging urban scenario:

♦ the widening gap between demand and supply of infrastructural services badly
hitting the poor, whose access to the basic services like drinking water, sanitation,
education and basic health services is shrinking;

♦ unabated growth of urban population aggravating the accumulated backlog of

housing shortages, resulting in proliferation of slums and squatter settlement
and decay of city environment; and

♦ high incidence of marginal employment and urban poverty as reflected in NSS

43rd round that 41.8 million urban people lived below the poverty line.
388 Law and Policies Pertaining to Urbanisation

The response of the Plan to this scenario was the launching of Urban Poverty and
Alleviation Programme of Nehru Rojgar Yojana (NRY).

9) Ninth Five Year Plan (1997-2002) - The ninth five year plan also stressed on urbanisation
and housing policies, to say the least. In order to overcome the deficiencies in urban
policies and to approach the desirable urbanisation pattern, additional funds were
dispatched across the country which are estimated to be almost double the previous
plan’s outlay.

10) Tenth Five Year Plan (2002-2007) - The Constitution (74th) Amendment Act, 1992
was intended to give a more focussed thrust to decentralisation and the creation of
a democratic governance structure with local responsibilities being assumed and
managed at the local level. It was to address the inadequacies of the existing
system of municipalities, redefine the relationship between the states and municipal
bodies and lay the foundations of a new approach to urban management and
governance that could fulfil the needs and aspirations of urban residents for
development. Article 243W of the Act mandated the setting up of elected
municipalities - urban local bodies (ULBs) - as the ‘institutions of self-government’.
The important features of the Act are well-known but bear repetition since all of
them have not been acted upon. These are
♦ Regular elections under the supervision of the state Election Commission;
♦ A clear tenure of five years for the elected body;
♦ Protection for the elected body against arbitrary dissolution;
♦ Constitution of Wards Committees for greater proximity to the citizens;
♦ Mandate to state legislature to endow the ULBs with such powers and authority
as may be necessary to enable them to function as ‘institutions of self-
government’;
♦ The Twelfth Schedule which illustrates the range of responsibilities to be given
to the ULBs;
♦ The constitution of State Finance Commissions (SFCs) to review municipal finances
and make recommendations regarding distribution of the proceeds of state-
level taxes between the state governments and the ULBs, criteria for grants-in-
aid, measures needed to improve the financial position of the municipal bodies,
etc.;
♦ Setting up District Planning Committees and Metropolitan Planning Committees
for integrated as well as coordinated planning for urban and rural areas by the
various agencies involved in providing civic, transport, economic and social
services.

It is significant that apart from the traditional municipal functions, Article 243W
allocates to ULBs the function of ‘preparation of plans for economic development
Urban Laws and Policies 389

and social justice’, and the Twelfth Schedule of the constitution contains ‘urban
poverty alleviation’ as a municipal responsibility. These take municipal bodies from
being mere providers of civic amenities to a much wider arena of action encompassing
economic and social planning. The Constitutional amendment has designed the
ULBs as comprehensive institutions of urban self-government, and has left the details
to be worked out by the state legislatures.

The state governments have carried out the required amendments to the municipal
laws in accordance with their own requirements and some states have even enacted
fresh legislation. Elections under the new dispensation have been held in most
states, more than once in many. The enthusiasm among urban residents for the ULBs
has been amply demonstrated by the fact that voter turnout in elections has been
in the range of 65 to 70 per cent, much higher than the participation in elections to
Parliament and state legislature. There are around 73,000 elected representatives
in the ULBs all over the country. It has, therefore, rightly been observed that ‘the
democratic structure of the country is no longer limited only to the Parliament and
the state legislatures’. Now there is no denying the fact that the elected ULBs are
full-fledged institutions of local self-government, a key part of democratic
decentralisation in the country.

The challenge to be met in the Tenth Plan period is to assist these elected bodies to
grow organically to fulfil the demands of urban residents for a quality of life in line
with world standards. There is no doubt that the urban governance will progressively
be managed at the local level ensuring better opportunities for people to express
their needs and expectations, and with professional competence and capacity
supplementing the democratic nature of the ULBs. The credit for this goes to the
74th Constitutional amendment, though it has been the subject of much debate
from the outset.

11) Eleventh Five Year Plan (2007-2012) - Urban development has been high on agenda
in the later five year plans including the latest 11th Five year plan. The Eleventh
Plan addresses itself to the challenge of making growth both faster and more
inclusive. The rapid growth achieved in the past several years demonstrates that
we have learnt how to bring about growth, but we have yet to achieve comparable
success in inclusiveness. The Eleventh Plan aims at achieving a radical transformation
in this aspect of our development. It sets a target for 9% growth in the five year
period 2007-08 to 2011- 12 with acceleration during the period to reach 10% by the
end of the Plan. It also identifies 26 other measurable indices of performance relating
to poverty, education, health, women and children, infrastructure, and environment
and sets monitorable targets in each of these.

The main focus in the Eleventh Plan is development of infrastructure. Poor quality of
infrastructure seriously limits India’s growth potential in the medium term and the
Eleventh Plan outlines a comprehensive strategy for development of both rural and
urban infrastructure, defined to include electric power, roads, railways, ports, airports,
390 Law and Policies Pertaining to Urbanisation

telecommunications, irrigation, drinking water, sanitation, storage, and warehousing.

The total investment in these areas was around 5% of GDP in 2006-07 and the Plan aims
at increasing this to about 9% of GDP by the terminal annum 2011-12.

Since various social sector and livelihood support programmes for the poor will have the
first charge on public resources, the strategy for infrastructure development has been
designed to rely as much as possible on private sector investment through various forms
of PPPs. The Plan recognises that the scope for private participation in infrastructure
development in several areas is limited and the infrastructure requirement of these
areas therefore, has to be met through public investment. However, it is therefore all
the more necessary that the fullest possible use must be made of opportunities to attract
private sector investment wherever this is feasible. Both the Center and the states have
seen varying degrees of success in attracting private investment in areas such as power
generation, telecommunications, roads, railways, airports, and ports, though much more
needs to be done.
Table 1: Plan Outlay in Housing and Urban Development Sector4
(Rs. in million)
Plan Total Housing & Urban Percentage
Outlay Development Share in
the Total

First Plan 20688 488 2.1

Second Plan 48000 1200 2.5

Third Plan 85765 1276 1.5

Annual Plan(1966-69) 66254 733 1.1

Fourth Plan 157788 2702 1.7

Fifth Plan 394262 11500 2.9

Annual Plan (1977-80) 121765 3688 3.0

Sixth Plan 975000 24884 2.6

Seventh Plan 1800000 42295 2.3

Annual Plan (1990-92) 1338350 3001 2.2

Eighth Plan 4341000 105000 2.4

Ninth Plan 158800

Tenth Plan 405000

Eleventh Plan 368700

4
Housing and Urban Policy in India, Ministry of Urban Development.
Urban Laws and Policies 391

20.3 Policy Responses to Urbanisation

Urbanisation is a global phenomenon. It is a measure of the process by which the proportion
of the total population concentrated in the urban settlements increase. In fact all the
developed countries in the world are generally urbanised. Population growth is more
prevalent in urban areas. It provides better economic opportunities. Education and
health facilities are mostly available in urban areas. An urban area can be defined in a
number of ways legal, demographic or economic but all towns have the basic
characteristics of being spatial concentrations of people and economic activities. In
India, the definition of ‘urban’ given by census of India is generally accepted which is as
follows
i) A minimum population of 5000
ii) At least 75 per cent of male working population engaged in non-agricultural pursuits;
and
iii) A density of population of at least 400 persons per sq.km.
Urban areas account for about 28% of Indian population and 60% of the Gross National
Product (GDP) of the country. It creates 57% of India’s employment barring Agriculture
Sector. India is traditionally considered as a Rural Society and Rural Areas are favoured
by disproportionate allocation under successive plans. The urban areas together get
only 15% of plan allocation. Schemes such as Rural Employment Generation Schemes,
Rural Water Supply and other Rural Development Schemes always get priority over
Urban Development Schemes. Urban areas remain traditionally as neglected areas. Both
the Central and State funds mainly flow to rural areas.
Of late, the Governments are seized of the danger in neglecting the urban areas and
resultantly schemes such as Atal Mission for Rejuvenation and Urban Transformation
(AMRUT), Heritage City Development and Augmentation Yojana (HRIDAY), Smart Cities
Mission (SCM), Swachh Bharat Mission (SBM) and Pradhan Mantri Awas Yojana (PMAY)
have been framed. Still the allocation on these schemes are far below the requirement.
Our urban areas are in severe crisis. Planning process is slowly but steadily trying to
overcome the deficiencies in urban policies. However, we still have a long way to go as
there is a lot to do to overcome urban problems. The cities are overcrowded, urban land
has become extremely scarce. To avoid severe problems, it is suggested that city services
and city management must be strengthened. The present urban infrastructure has become
outdated. This needs to be rectified i.e. roads, water supply, drainage and sewerage
have collapsed. Providing ample parking space and open space have been totally
neglected. Enforcement of municipal laws has miserably failed.
Atal Mission for Rejuvenation and Urban Transformation (AMRUT) - India has to improve
its urban areas to achieve objectives of economic development. In this context, the
Government has launched a AMRUT.
AMRUT is a focussed urban infrastructure development mission aiming to encourage
capacity building and reform implementation. The main objective of AMRUT is to ensure
392 Law and Policies Pertaining to Urbanisation

universal access to water supply and sewerage. The mission also includes other
components, such as improving storm water drains to reduce flooding; pedestrian,
nonmotorized and public transport facilities; parking spaces; and green spaces, parks
and recreation centres, especially for children.

The central allocation for AMRUT is 50,000 crore INR for five years (FY 2015–16 to FY
2019–20) and the mission will be operated as a Centrally Sponsored Scheme (CSS). Also,
additionally, states/ULBs will further contribute nearly an equal amount to project funds.

Historically, the planning response to the urban challenges has been expansion of
infrastructure with greater capital investment. Decentralised governance was attempted
with the 74th Constitutional Amendment Act, 1993 delegating the functions of water and
sanitation, among others, to the urban Local Bodies. Yet, the sector performance could
not be improved to compare with the best practices the world over as evident from
assessments from time to time and from the benchmarking studies.

It is estimated that urban India will continue to concentrate in 1 million and above
cities, as number of these cities will increase from 35 to 61 during 2001-2026. Moreover,
as per UN-Habitat (2008), eleven cities, namely, Ahmedabad, Bangalore, Kolkata, Chennai,
Hyderabad, Mumbai, Pune, Surat, Jaipur and Kanpur will have population over 4.0 million
in 2025 and these Mega cities will have total population of 127 million (over 24% of total
urban population). It is pertinent to note that in the Western Region itself, there will be
four Mega cities and the corresponding number in Northern and Southern Regions will be
three each. But in the Eastern Region, Kolkata will continue to be the only Mega city.

In terms of urban population distribution, India will be mainly dominated by the 11

states identified as first group and 11 Mega cities. This analysis has important implication
for future urban policy in the country. Any strategy formulated in the country should
recognise these differences and lay out plans accordingly. India’s future strategy should
focus on
a) Inter-government transfers with built-in incentives to improve performance;
b) Capacity building of ULBs;
c) Investments on asset creation as well as management;
d) Integrate urban transport with land use planning;
e) Integrate various urban development and related programmes at local, state and
national levels;
f) Strengthen urban institutions and clarify roles of different organisations;
g) Second generation of urban reforms should further focus on regulation, innovative
financing and PPP, and climate change initiatives;
h) Different approach of supporting reform-linked investments needed for different
states based on level of urbanisation.
Urban Laws and Policies 393

Facilitating, or at least not hampering, the movement of people from low productivity
areas to high productivity areas is now being viewed as an effective way of reaping the
gains from localised growth in globalising economies that are experiencing growing
rates of inequality.

Over the years, there has been a wide gap between the requirement and allocation of
funds. Keeping in view the shortcomings in the existing programmes and the commitment
given in the Common Minimum Programme, the Central government has drawn up a
comprehensive programme of urban renewal.

In this strategy, the approach which AMRUT has is a step-by-step approach wherein
initially the first step and primary objective are to achieve universal coverage of assured
water supply and sewerage connections. Post the successful completion of this objective,
other benchmarks will be targeted. The fund allocation among states under AMRUT will
be based on the urban population of the state/UT (50% weightage) and number of statutory
towns in the state/UT (50% weightage).

In fact, AMRUT has provisions for raising a part of programme funds by accessing sources
of financing other than central and state government contribution. Hence, the private
sector is expected to play a greater role in this new mission.

Land Policy and Housing - The Urban Land (Ceiling and Regulation) Act, 1976 was repealed
as a significant step towards reform in the urban land market. Following the repeal of
the central legislation, a number of state governments have also repealed the state-
level law.

However, the Act still exists in some states, while several other state laws like the Land
Revenue Act, Land Reforms Act, Stamp Duty Act, and Urban Development Authorities
Acts/ Town Planning Acts continue to hamper the availability of land for housing and
other construction, pushing up land prices.

There is a need to take measures to ease the availability of land so that growth can take
place through increased construction and housing activity, and land prices can be brought
down to moderate levels making affordable shelter available to the lower income groups.
This will also help prevent the proliferation of unauthorised colonies. This is by no
means a measure to dilute urban planning, where enforcement has often been the
weakest link. On the contrary, it will make urban planning more in tune with the changing
nature of cities.

More flexible zoning regulations to permit change of land use where justified, easier
subdivision regulations, and extension of trunk services to new areas/new townships
will help to reduce congestion and develop the cities in an orderly fashion. Innovative
measures for land assembly, land pooling, and use of land as a resource to build up
infrastructure will need to be continued and their administration made more efficient
and transparent.
394 Law and Policies Pertaining to Urbanisation

Since 2001, 100 per cent foreign direct investment (FDI) has been permitted in the
development of integrated townships. However, investments may not materialise unless
the conditions relating to land procurement are made simple. In urban areas, especially
those with Master Plans, the needs of urbanisation should have precedence over land
revenue and land reforms legislations in which restrictions on land ownership, transfers,
and land use are incorporated in order to prevent the conversion of agricultural land.
Other problems relate to the lack of clear titles, old, protected tenancies and rent
control. All these problems, working together, have made it impossible for land to be
procured for development in city centers, barring in small quantities. In prime areas,
much of the land is used well below its potential.

Rent control and tenancy laws also prevent the development of rental housing, thus
contracting housing stock. Reform of these laws is a politically sensitive issue, as evidenced
by the history of recent efforts to amend the Delhi Rent Act. However, there is some
awareness that rent control at absurdly low levels with virtually no relation to market
rates and extraordinary protection to tenants over generations not only hinders the
development of rental housing but also acts as barriers to the growth of cities. Dilapidated
structures cannot be renovated because of the difficulty in evicting tenants, with the
result that rejuvenation of inner city areas is not taking place. Transitory arrangements
can be made to help those who will face hardships, but zoning regulations should take
into account the changing nature of inner city areas and permit their redevelopment.

The Housing and Habitat Policy, 1998 has specifically advocated that Government create
a facilitating environment for growth of housing activity instead of taking on the task of
housing itself. Housing is largely a private sector activity in both the rural and urban
sectors. This is not to rule out the need for a high degree of involvement of the Government
and its agencies in meeting the housing needs of the urban poor. The nature of this
involvement, may in some instances, extend to house construction itself and may be
determined by the needs of a given situation. The National Agenda of Governance also
emphasised that housing activity would be an engine for substantial generation of
employment, and all legal and administrative impediments that stand in the way of
vigorous housing activity should be removed forthwith.

What is undisputed is that governmental initiatives and its ‘facilitating role’ have a
significant impact on the provision of housing and growth of the sector. These initiatives
and interventions relate to legislations concerning ownership, transfers and development
of land; stamp duty and registration laws; rent control legislation; tax policy particularly
relating to housing loans; property and land tax laws; town planning law and its actual
implementation, i.e., Comprehensive Development Plans, zoning regulations, land use
change; and building bye-laws.

It also covers urban development activities through parastatals and urban development
authorities; sites and services schemes; slum policy; provision of urban infrastructure;
urban transport policy and facilities; the institutions in the public sector relating to
housing development and housing finance; and house construction in the public sector.
Urban Laws and Policies 395

20.4 Conclusion
The rate of urbanisation in India is increasing at a fast pace. Urbanisation is a natural
outcome of the process of development and we must gear up to the challenge to meet
the need for providing infrastructure and utilities in the cities. It will be necessary to
upgrade the quality of infrastructure in existing cities to provide improved municipal
services and also to develop new cities and suburban townships in the vicinity of existing
cities as satellites/counter magnets to redistribute the influx of population.

Urban infrastructure is expensive to construct and, the financial condition of most of our
cities is such that they will not be able to finance the scale of investment for quite some
time. Accordingly, the central allocation for AMRUT is Rs. 50,000 crore for five years (FY
2015–16 to FY 2019–20) and the mission will be operated as a Centrally Sponsored Scheme.

The AMRUT has got off to a good start, but close monitoring will be necessary, so as to
ensure successful implementation of individual projects and also the larger reforms
agenda.

Great progress has been made in developing the framework for reform linked investment
in urban infrastructure. As per population projection in 2026, level of urbanisation will
be different in various states. India’s future urban strategy should recognise these
differences and plan accordingly. To improve urban governance and delivery of services
there should be not just constitutional amendments but also administrative actions.
Most importantly, inter-government transfers should have built-in incentives to improve
performance and capacity building should be an important component of the future
urban programme.

20.5 References and Recommended Readings

Investment Requirements for Urban Infrastructure “Investment Requirements for
Sustainable Urban Transport in India”, NIUA, New Delhi, 2009.

Baud, I.S.A. and Wit, J. De, “New Forms of Urban Governance in India”, Sage, 2008.

“Developing India’s Municipal Bond Market Constraints to Overcome” Workshop organised

by Government of India, Indo-US FIRE (D) Project and NIUA in July 2008.

Gill, I. And Kharas, H., “An East Asian Renaissance-Ideas for Economic Growth” World
Bank, 2007.

Pathak, V. K., Presentation on “Land as a Resource for Financing Urban Infrastructure”

during Workshop on Alternate Sources of Financing Urban lnfrastructure, NIUA, New
Delhi March 26, 2009.

Spence, M., Aneez, P.C., Buckley, R. M., “Urbanisation and Growth” Commission on
Urban Growth, 2009.
396 Law and Policies Pertaining to Urbanisation

Redkar, S., “New Management Tools for Mumbai’s Solid Waste Management” in Baud,
I.S.A. and Wit, J. De, 2008.

“Integrated City Making” Urban Age, London School of Economics and Political Science,
2008.

Mathur, O.P. and Thakur, S., “India Municipal Sector- A Study for Twelfth Finance
Commission, NIPFP, New Delhi, 2004.

Mehta, D. (2006) “Urban Governance Lessons from Best Practices in Asia” in Shah P.J. and
Bakore, M. Handbook on New Public Governance, CCS, New Delhi.

Sivaramkrishnan, K. C. (2006), “People’s Participation in Urban Governance” I.S.S, New

Delhi.
Urban Laws and Policies 397

UNIT 21
URBAN DEVELOPMENT
POLICIES IN INDIA
Contents
21.1 Introduction 397
21.2 Institutional Mechanisms for Urban Development in India 399
21.3 National Policies Pertaining to Urban Development 403
21.4 State Policies Pertaining to Urban Development 415
21.5 Conclusion 421
21.6 References and Recommended Readings 422

21.1 lntroduction
Urbanisation is a broad term and there are wide variations amongst the States and
regions in the level of urbanisation.
India is rapidly urbanizing. As per the 2011 Census, the urban population in India grew
from 286.1 million in 2001 census to 377.1 million in 2011 census, thereby showing a
growth of 2.76 percent per annum during 2001-2011. The level of urbanization in India as
a whole increased from 25.7 percent in 1991 to 27.82 percent in 2001 and to 31.14
percent in 2011, thereby showing an increase of 3.3 percentage points during 2001-2011
compared to an increase of 2.1 percentage points during 1991-2001.
Between 2001 and 2011, a large number of new towns emerged contributing significantly
to the speeding up of urbanization. The number of statutory towns in India increased
from 3,799 to 4,041 during 2001- 2011 whereas the number of census towns have increased
from 1,362 to 3,892 during the decade. Among the states, Uttar Pradesh had the largest
number of towns – 648 statutory towns and 267 census towns in 2011.
Maharashtra has the largest urban population of 50.8 million followed by Uttar Pradesh
which has an urban population of 44.5 million. Goa is the most urbanized state with
62.17 percent urbanization followed by Mizoram at 52.11 percent. Among the Union
Territories, Delhi has urbanization level of 97.50 percent followed by Chandigarh with an
urbanization level of 97.25 percent. Himachal Pradesh has the lowest urbanization (10.03
percent) population living in urban areas, followed by Bihar (11.29 percent)1.
1
Handbook of Urban Statistics 2019 by Ministry of Housing and Urban Affairs, Government of India
398 Law and Policies Pertaining to Urbanisation

While there has been urban growth in some states, in other states and cities there has
also been deceleration. Inter-state variation in the annual growth of urban population
and urban-rural growth differential (URGD) throws more light on the development of
urban India and its underlying characteristics.

In spite of its prominent role in Indian economy, urban India faces serious problems due
to population pressure, deterioration in the physical environment and quality of life.
According to estimates nearly one third of the urban India lives below poverty line.
About 15 per cent of the urbanites do not have access to safe drinking water and about
50 per cent are not covered by sanitary facilities.

Traffic congestion has assumed critical dimensions in many metropolitan cities due to
massive increase in the number of personal vehicles, inadequate road space and lack of
public transport. There is a huge and widening gap between demand and supply of
essential services and infrastructure. Urban poor in India are forced to live under
unhygienic conditions in slums, lacking in basic amenities. Slums have grown in almost
all major cities due to inability of major chunks of population to afford accommodation
in planned areas of the cities.

Table 1: Million-plus cities of India

Rank City Population (in million)

1951 1971 1991
1. Bombay (Mumbai) 2.97 5.97 12.57
2. Calcutta (Kolkata) 4.67 7.42 10.92
3. Delhi 1.44 3.65 8.38
4. Madras (Chennai) 1.54 3.17 5.36
5. Hyderabad 1.13 1.80 4.28
6. Bangalore 0.79 1.66 4.09
7. Ahmedabad 0.88 1.75 3.30
8. Pune 0.61 1.14 2.49
9. Kanpur 0.71 1.28 2.11
10. Nagpur 0.48 0.93 1.66
11. Lucknow 0.50 0.81 1.64
12. Surat 0.24 0.49 1.52
13. Jaipur 0.30 0.64 1.52
14. Kochi 0.18 0.51 1.14
15. Coimbatore 0.29 0.74 1.14
16. Vadodara 0.21 0.47 1.12
Urban Laws and Policies 399

17. Indore 0.31 0.56 1.10

18. Patna 0.32 0.55 1.10
19. Madurai 0.37 0.71 1.09
20. Bhopal 0.10 0.38 1.06
21. Vishakhapatnam 0.11 0.36 1.05
22. Varanasi 0.37 0.64 1.03
23. Ludhiana 0.15 0.40 1.01

21.2 lnstitutional Mechanisms for Urban Development in lndia

In the federal structure of the Indian polity, the matters pertaining to the housing and
urban development have been assigned by the Constitution of India to the State
Governments. The Constitutions (74th Amendment) Act have further delegated many of
these functions to the ULBs. The constitutional and legal authority of the government of
India is limited only to Delhi and other Union Territories and to the subject which State
Legislatures authorise the Union Parliament to legislate. This is because ‘urbanisation’
generally is a State subject as per Schedule 11 of the India Constitution.

However, the provisions of the Constitution notwithstanding, the government of India

plays a much more important role and exercise a larger influence to shape the policies
and programmes of the country as a whole. The national policy issues are decided by the
Government of India which also allocates resources to the State Governments through
various Centrally Sponsored schemes, provides finances through national financial
institutions and supports various external assistance programmes for housing and urban
development in the country as a whole. The indirect effect of the fiscal, economic and
industrial location decisions of the Government of India exercise a far more dominant
influence on the pattern of urbanisation and real estate investment in the country.

The Ministry of Housing and Urban Affairs is the apex authority of Government of India
at the national level to formulate policies, sponsor and support programme, coordinate
the activities of various Central Ministries, State Governments and other nodal authorities
and monitor the programmes concerning all the issues of housing and urban affairs in the
country.

The Ministry was constituted on 13th May, 1952 when it was known as the Ministry of
Works, Housing & Supply. Subsequently it was renamed as Ministry of Works & Housing
when a separate Ministry of Supply came up. The name of the Ministry was changed to
Ministry of Urban Development in September, 1985 in recognition of the importance of
urban issues. With the creation of a separate Department of Urban Employment & Poverty
Alleviation on 8th March, 1995, the Ministry came to be known as the Ministry of Urban
Affairs & Employment. The Ministry had two Departments: Department of Urban
Development & Department of Urban Employment & Poverty Alleviation. The two
400 Law and Policies Pertaining to Urbanisation

Departments were again merged on 9th April, 1999 and in consequence thereto, the name
was restored to “The Ministry of Urban Development.” This Ministry was bifurcated into
two Ministries viz. (i) “Ministry of Urban Development” and (ii) “Ministry of Urban
Employment and Poverty Alleviation” with effect from 16.10.1999. These two Ministries
were again merged into one Ministry on 27.5.2000 and named as “Ministry of Urban
Development and Poverty Alleviation” with two Departments; (i) Department of Urban
Development and (ii) Department of Urban Employment and Poverty Alleviation. From
27- 5- 2004, the Ministry has again been bifurcated into two Ministries viz: (i) Ministry of
Urban Development and (ii) Ministry of Urban Employment & Poverty Alleviation vide
Presidential Notification No.CD-160/2004 dated 27/5/2004. The Ministry of Urban
Employment & Poverty Alleviation was subsequently named as Ministry of Housing &
Urban Poverty Alleviation vide Doc. CD-299/2006 dated 1/6/2006.

Government of India, Cabinet Secretariat vide gazette notification, No.SO2163 (E) dated
06.07.2017, merged Ministries of Urban Development and Housing & Urban Poverty
Alleviation into one Ministry i.e. Ministry of Housing and Urban Affairs (Awasan aur
Shahari Karya Mantralaya).
As per Government of India (Allocation of Business) Rules 1961, the following business
has been allocated to the Ministry of Housing and Urban Affairs :
1) Properties of the Union, whether lands or buildings, with the following exceptions,
namely:-
a) those belonging to the Ministry of Defence, the Ministry of Railways and the
Department of Atomic Energy and the Department of Space;
b) buildings or lands, the construction or acquisition of which has been financed
otherwise than from the Civil Works Budget;
c) buildings or lands, the control of which has at the time of construction or
acquisition or subsequently been permanently made over to other Ministries
and Departments.
2) All Government civil works and buildings including those of Union territories excluding
roads and excluding works executed by or buildings belonging to the Ministry of
Railways, Department of Posts, Department of Telecommunications, Department of
Atomic Energy and the Department of Space.
3) Horticulture operations.
4) Central Public Works Organisation.
5) Administration of Government estates including Government hostels under the
control of the Ministry. Location or dispersal of offices in or from the metropolitan
cities.
6) Allotment of accommodation in Vigyan Bhawan.
7) Administration of four Rehabilitation Markets viz. Sarojini Nagar Market, Shankar
Market, Pleasure Garden Market and Kamla Market.
Urban Laws and Policies 401

8) Issue of lease or conveyance deeds in respect of Government built properties in

Delhi and New Delhi under the Displaced Persons (Compensation and Rehabilitation)
Act, I 954 (44 of I 954) and conversion of lease deeds, allotment of additional strips
of land and correctional areas adjoining such properties.
9) Stationery and Printing for the Government of lndia including official publications.
10) Planning and coordination of urban transport systems with technical planning of rail
based systems being subject to the items of work allocated to the Ministry of Railways,
Railway Board.
11) Fixing of maximum and minimum rates and fares for rail-based urban transport
systems other than those funded by the Indian Railways.
12) Tramways including elevated high speed trams within municipal limits or any other
contiguous zone.
13) Town and Country Planning; matters relating to the Planning and Development of
Metropolitan Areas, International Cooperation and Technical Assistance in this field.
14) Schemes of large scale acquisition, development and disposal of land in Delhi.
15) Delhi Development Authority.
16) Master Plan of Delhi, coordination of work in respect of the Master Plan and Slum
Clearance in the National Capital Territory of Delhi.
17) Erection of memorials in honour of freedom fighters.
18) Development of Government colonies.
19) Local Government, that is to say, the constitution and powers of the Municipal
Corporations (excluding the Municipal Corporation of Delhi), Municipalities (excluding
the New Delhi Municipal Committee), other Local Self-Government Administrations
excluding Panchayati Raj Institutions.
20) The Delhi Water Supply and Sewage Disposal Undertaking of the Municipal Corporation
of Delhi.
21) Water supply (subject to overall national perspective of water planning and
coordination assigned to the Ministry of Water Resources, River Development and
Ganga Rejuvenation), sewage, drainage and sanitation relating to urban areas and
linkages from allocated water resources. International Cooperation and Technical
Assistance in this field.
22) The Central Council of Local Self-Government.
23) Allotment of Government land in Delhi.
24) Administration of Rajghat Samadhi Committee.
25) All matters relating to Planning and Development of the National Capital Region
and administration of the National Capital Region Planning Board Act, 1985 (2 of
1985).
402 Law and Policies Pertaining to Urbanisation

26) Matters relating to the Indian National Trust for Art and Cultural Heritage (INTACH).
27) All matters relating to the Housing and Urban Development Corporation (HUDCO).
27A.Matters relating to NBCC(India)Limited and its subsidiaries.
27B.Matters relating to Hindustan Prefab Limited.
28) Formulation of housing policy and programme (except rural housing which is assigned
to the Department of Rural Development), review of the implementation of the
Plan Schemes, collection and dissemination of data on housing, building materials
and techniques, general measures for reduction of building costs and nodal
responsibility for National Housing Policy.
29) Human Settlements including the United Nations Commission for Human Settlements
and International Cooperation and Technical Assistance in the field of Housing and
Human Settlements.
30) Urban Development including Slum Clearance Schemes and the Jhuggi and Jhonpri
Removal Schemes. International Cooperation and Technical Assistance in this field.
31) National Cooperative Housing Federation.
32) Implementation of the specific programmes of Urban Employment and Urban Poverty
Alleviation including other programmes evolved from time to time.
33) Administration of the Requisitioning and Acquisition of lmmovable Property Act,
1952 (30 of 1952).
34) Administration of Delhi Hotels (Control of Accommodation) Act, 1949 (24 of 1949).
35) The Public Premises (Eviction of Unauthorised Occupants) Act, 1971 (40 of 1971).
36) Administration of the Delhi Development Act, 1957 (61 of 1957).
37) The Delhi Rent Control Act, 1958 (59 of 1958).
38) The Urban Land (Ceiling and Regulation) Act, 1976 (33 of 1976).
39) Delhi Urban Art Commission, the Delhi Urban Art Commission Act, 1973 (1 of 1974).
40) Administration of the Street Vendors (protection of Livelihood and Regulation of
Street Vending)Act,2014.
41) Administration of the Real Estate(Regulation and Development)Act,2016.

The Central Public Health and Environmental Engineering Organisation (CPHEEO) is the
technical Wing of the Ministry of Urban Development, Government of India. CPHEEO
deals with the matters related to Urban Water Supply and Sanitation including Solid
Waste Management in the Country.
The attached offices to the Ministry are as follows
♦ Central Public Works Department
♦ Directorate of Printing
Urban Laws and Policies 403

♦ Directorate of Estates
♦ Land and Development Office
♦ National Buildings Organisation (NBO)
Listed below are some Statutory and Autonomous bodies
♦ Delhi Development Authority
♦ Delhi Urban Arts Commission
♦ National Capital Region Planning Board
♦ National Institute of Urban Affairs
♦ Rajghat Samadhi Committee
♦ Building Materials & Technology Promotion Council (BMTPC)
♦ Central Government Employees Welfare Housing Organisation (CGEWHO)
♦ National Cooperative Housing Federation of India (NCHFI)
Some Subordinate Offices are
♦ Town and Country Planning Organisation
♦ Government of India Stationary Office
♦ Department of Publication

21.3 National Policies Pertaining to Urban Development

Urban congestion may be tackled in three ways. The most popular one is to go vertical.
That generally makes matters worse because it increases congestion, escalates land
prices and hurts the poor more and more. Expanding horizontally is another option. That
increases commuting distances, worsens the congestion at the center, and is no better
than vertical expansion from the social point of view children and parents get separated
for long hours. This option, though alluring and more practical, also has various drawbacks
in the long run. Moreover, in times of today’s serious space crunch, this seemingly logical
and practical solution is not so practical beyond a point. The third (and so far the least
successful) solution is the satellite town. Kalyani near Kolkata and Maraimalainagar
near Chennai are standing examples of their limited appeal. Yet, in the final analysis,
the satellite town is the best option as of today.

For instance, people prefer to live in Delhi and to commute every day to work in the
neighbouring industrial town of Faridabad. This practice sharply contrasts with the US
experience where the fashion is to work in the city but live in faraway rural counties.
in India, the old city is the dormitory, the satellite town the work place. In the US, it is
the other way round. That happens because American satellite towns offer high quality
services of the type that may be described as tele-ineffective, the kind of services that
have to be close to the home and are of no use if they are far away. Indian satellite towns
are poorly designed in this respect.
404 Law and Policies Pertaining to Urbanisation

What are tele-effective services that is essential for cities or townships?

Tele-effective services are mainly those services without which a city or township
cannot function. Such services can be identified as follows
1) Schools: People do not expect colleges to be nearby, but kindergarten and
elementary schools have to be close at hand.
2) General Hospitals: People might be willing to go even a thousand miles for open-
heart surgery, but maternity hospitals, emergency services and general health
care services must be accessible at short notice.
3) Retail Stores: Retail shopping is an essential element for everyday living. In any
good locality, easily accessible retail shopping is a must.
In countries like US and UK, tele-effective services are strong in a vicinity in suburbs
and localities that resemble satellite towns. In India, the situation is quite the opposite.
It is the main city that offers the best schools, medical facilities and shopping, not
satellite towns. Satellite towns in India like Maraimalainagar near Chennai lay dormant
for decades because it offered no schools or hospitals of repute. Kalyani, near
Ahmadabad, started with a university but no schools worthy of note. That is why
Kalyani too did not succeed. Basically, satellite towns will take off when two conditions
are satisfied One, when they offer superior quality tele-effective survives like schools,
hospitals and departmental stores. Two, the cost of commuting to the city is low to
access tele-effective services such as universities and airports that only the parent
city can offer.

These are not onerous conditions but require ingenuity and a new paradigm in habitat
management. Therefore, this option is only for the competent and for those with the
courage or willingness to experiment with new ideas. By world standards, prestigious
satellite towns such as Salt Lake City, near Kolkata, and Gurgaon, near Delhi, are
over-crowded. So, they do not relieve the parent city as well as they should. Most of
the times, the problem is not physical but political and cultural. Overcoming the
inhibition against allocating adequate space, and designing habitats with a minimum
average of at least 200 square meters of residential space, plus an equal area per
dwelling for non-residential use, is Step One in the development and promotion of
satellite towns.

The space in a city should be evenly distributed. Most cities have hotspots of high
congestion. As a thumb rule, in every locality, minimum allocation per dwelling
should be 80 square meters of roads, 20 square meters of commercial space, another
20 square meters of parking space in commercial centers, 40 square meters of gardens
and parks, 10 square meters for schools and hospitals with another 40 square meters
for industries, etc.2 Uniform distribution of space on these lines is Step Two in satellite
town development. Choosing such a location is Step Three.

2
Word Standards of Sustainable Habitat, Sustainable Habitat Report, 2009.
Urban Laws and Policies 405

All these three steps require high administrative competence to implement. The
urban problem is not merely administrative; it is cultural and political too. As a
political ploy, State governments in India offer a tax holiday to attract entrepreneurs.
That is of limited use. To make satellite towns truly attractive, there must be a
holiday for over-restrictive labour laws, the Rent Control Act and extortionate stamp
duty too. That requires political courage. Fortunately, not much of that may be
needed if these holidays are restricted to satellite towns. These holidays are Step
Four.
State governments can help much more. They should take active steps to promote
high quality schools, hospitals and shopping malls in satellite towns. For instance,
they may minimise entry costs for investors by leasing land rather than selling it
outright. In a matching fashion, the government may acquire land from farmers for
the satellite town not by outright purchase but on an annual lease.
Designing a sustainable city plan requires a lot of effort and skill as well as provisions of
Urban service delivery. It also requires a proper legislative and institutional backing.
The Institutional arrangement for municipal governance and urban service delivery
mainly comprises the Constitutional provisions, State Municipal Laws, role of State
Finance Commission (SFC) and Central Finance Commission (CFC), and status of ULBs
and Local Self-Governments.
A) 74th Constitutional Amendment Act: Municipal institutions in India have a history of
over 300 years. These refer to ULBs comprising municipal corporations, municipalities
and nagar panchayats. In 2001, there were about 3636 ULBs in the country. However,
the Constitution did not make Local Self-Government in urban areas a clear-cut
constitutional obligation. As a consequence of inadequate Constitutional provision
for Local Self-Government, democracy in municipal governance was not stable. As
a result, many urban local bodies became weak and were not able to perform
effectively. In this context, 74th CAA came into force in June, 1993, which sought to
strengthen decentralisation. The main provisions include constitution and
composition; constitution of wards committees; reservation of seats; duration of
municipalities; powers and functions; finances; finance commission; elections; district
and metropolitan planning committees, etc.
B) State Municipal Laws: Municipal laws in India are very old and often do not enable
ULBs to implement reforms. Therefore, the GOI has developed a Model Municipal
Law in 2003 to guide States to enact municipal legislations. The basic objectives of
the model municipal laws are to implement the provisions of the 74th Amendment
Act in totality for empowerment of the ULBs, and provide the legislative framework
for implementation of the Ministry’s urban sector reform agenda. This initiative is
expected not only to enhance the capacities of ULBs to leverage public funds for
development of urban sector but will also help in creating an environment in which
ULBs can play their role more effectively and ensure better service delivery. Four
states, namely Rajasthan, Bihar, Orissa and Sikkim have prepared their municipal
laws on lines of Model Municipal Law and many others are in process of amending
their laws.
406 Law and Policies Pertaining to Urbanisation

Rajasthan Municipalities Ordinance 2008

The Rajasthan Government promulgated the new municipal law on September 26,
2008. The Rajasthan Municipalities Ordinance 2008 has introduced some very
innovative features that should help to empower ULBs in the State. It is mainly
based on Model Municipal Law. It also has many enabling provisions to implement
various reforms under JNNURM like
a) transferring various functions to ULBs,
b) introducing tax on land and buildings on unit area basis,
c) forming Area Sabha for community participation,
d) establishing MPCs and DPCs,
e) making Town Planning a municipal function,
f) introducing rainwater harvesting,
g) encouraging PPP,
h) introducing improved accounting,
i) introducing public disclosure,
j) setting up SFC and implementing its recommendations, etc.
There are also some very innovative enabling provisions for issue of municipal bonds,
comprehensive debt limitation policy, setting up a municipal service cadre, etc. The
Ordinance also divided various municipal functions into core, government assigned
and other functions. However, water supply and sewerage is not identified as core
function but a state assigned function.

C) Wards Committees: The 74th amendment provides a framework to enable

participation of citizens in urban governance. It contains an enabling mechanism to
form wards committees for citizens participation. However, it has remained on
paper in most states. Out of 29 states, where wards committee were required to be
set up as of June 2004, the enabling legislation was in place in only 19 and out of
these, wards committees were constituted in only eight states.

A study of wards committees in West Bengal, Kerala, Maharashtra and Karnataka

revealed that if wards committee are to function as mechanism for meaningful
participation of all people within the wards, they ought to be smaller in size like the
committees in West Bengal and Kerala. The committees in these two states are at
a ward level and are very participative. Whereas in Maharashtra and Karnataka
these are envisaged for a group of wards and are not able to achieve effective
proximity of citizens to elected representatives. While the provision of these
committees has been a significant addition to decentralisation process but they
have yet to become an effective platform for accountability. Concept of Area Sabha
(AS) was introduced to promote a sense of belongingness, inclusion and participation.
AS is to be constituted of citizens who are registered as voters in one or more than
Urban Laws and Policies 407

one Polling Stations but preferably not covering more than 2,500 voters. Chairperson
of the AS will also represent the area in the Ward Committee concerned. Wards
committee and AS are mainly to improve participation and improve urban
governance.

D) ULBs: Three broad institutional frameworks are discernible in states in India with
regard to water supply and sewerage services. First are the states where the entire
system is with a department or a parastatal of the State Government; second,
where the ULBs themselves handle the entire activity, and, third, as in some large
cities, where exclusive water supply and sewerage boards have been set up for the
city. Irrespective of the institutional framework, the failure of the public sector to
provide adequate service delivery has been ascribed to public monopoly,
organisational inefficiency, technical flaws in the form of high leakages, lack of
preventive maintenance, unaccounted water as well as over staffing and lack of
autonomy. City planning function has not been handed over to ULBs in many states.
These state level organisations are often not accountable to ULBs. Though 74th
amendment expects that major civic functions should be transferred to ULBs, many
small and medium sized ULBs are not in position to manage water supply, sanitation
and town planning functions.

To overcome the short comings in urban planning and management, there are numerous
policy measures both at central and State level. The foundation of such policy measures
can be traced back to the Constitution 73rd Amendment Act, 1992. The Act provides the
amendments in the definitions of terms used in the Constitution of India and includes the
details of
♦ The Panchayats
♦ The Gram Sabha
♦ Constitution of the Panchayats
♦ Composition of the Panchayats
♦ Duration of the Panchayats
♦ Disqualifications for membership
♦ Powers, authority and responsibilities of the Panchayat
♦ Powers to impose taxes by, and Funds of the Panchayats
♦ Constitution of Finance Commission to review financial position Let us now examine
the different urban policies in India
I) Atal Mission for Rejuvenation and Urban Transformation (AMRUT) - AMRUT adopts a
project approach to ensure basic infrastructure services relating to water supply,
sewerage, septage management, storm water drains, transport and development of
green spaces and parks with special provision for meeting the needs of children.
Implementation of this Mission will be linked to promotion of urban reforms such as
e-governance, constitution of professional municipal cadre, devolving funds and
408 Law and Policies Pertaining to Urbanisation

functions to urban local bodies, review of Building bye-laws, improvement in

assessment and collection of municipal taxes, credit rating of urban local bodies,
energy and water audit and citizen-centric urban planning.

Under AMRUT Mission, States get the flexibility of designing schemes based on the
needs of identified cities and in their execution and monitoring. States will only
submit State Annual Action Plans to the Centre for broad concurrence based on
which funds will be released. In a significant departure from JNNURM, Central
Government will not appraise individual projects.

Central assistance will be to the extent of 50 percent of project cost for cities and
towns with a population of up to 10 lakh and one-third of the project cost for those
with a population of above 10 lakh. Central assistance will be released in three
instalments in the ratio of 20:40:40 based on achievement of milestones indicated
in State Annual Action Plans. AMRUT seeks to lay a foundation to enable cities and
towns to eventually grow into smart cities.
AMRUT focus on the following Thrust Areas:
1) Water Supply
2) Sewerage and septage management
3) Storm Water Drainage to reduce flooding
4) Non-motorized Urban Transport
5) Green space/parks
Reforms: Besides creating infrastructure for basic amenities, Mission also focuses on
Reforms and capacity building of the ULBs. The reforms aim at improving delivery of
citizen services, bringing down the cost of delivery, improving financial health,
augmenting resources and enhancing transparency. The Mission has set aside 10% of
annual budgetary allocation to be given away as incentive to States/UTs for accomplishing
the reforms within specified timelines.

The Capacity Building is being focused at improving the capabilities of cities to deliver
the citizen services and to improve the health of ULBs.
The key expected outcomes under Reform agenda are:
1) Energy efficient LED street lights in cities.
2) Energy audit of water pumps followed by replacement of inefficient pumps.
3) Conducting credit ratings and issuance of Municipal Bonds.
4) Reuse of treated waste water.
5) Single Window Clearance System for Construction Permits.
6) Capacity building.
Urban Laws and Policies 409

The reform agenda is spread over a set of 11 reforms comprising 54 milestones to be

achieved by the States/ UTs over a period of four years. These reforms broadly cover
offering online services to citizens, establishing single window for all approvals,
establishing municipal cadre, achieving at least 90% of billing and collection of taxes/
user charges, developing at least one park for children every year, establishing
maintenance system for parks and play grounds, credit rating, implementing model
building bye-laws etc.
Urban Transport: Under AMRUT Mission, Urban Transport components which are admissible
are;
i) Ferry vessels for inland waterways (excluding port/bay infrastructure) and buses;
ii) Footpaths/walkways, sidewalks, foot over-bridges and facilities for non-motorised
transport (e.g. bicycles);
iii) Multi-level parking;
iv) Bus Rapid Transit System (BRTS).

Reasons for Slow Progress of Reforms

Main reasons for limited improvement in functioning of ULBs in spite of 74th CAA,
are that functions, finances and functions have not been transferred to ULBs in most
states.
These are elaborated below
♦ Limited understanding of reforms in cities/states.
♦ There is insufficient political consensus at state and municipal levels for the
reform agenda, particularly regarding private sector participation and proper
pricing of services.
♦ Preparation of electoral rolls for ULBs is carried out by State Election Commission
(SEC). In many states, SECs prepare separate rolls for local elections and do not
adopt rolls prepared by Election Commission for state assemblies.
♦ In many states, governments retain the power of delimitation of wards for ULB
elections. In many cases, SECs have to delay local elections till governments
complete delimitation exercises.
♦ Elections in some ULBs postponed for more than six months due to reorganisation
of ward boundaries, extension of limits, etc.
♦ In most states, elected Mayor does not have executive powers.
♦ Under 12th schedule of the 74th CAAA, it is not necessary that all the identified
functions have to be transferred to ULBs.
♦ Small and medium sized ULBs are not in position to manage all the functions
identified in the 12th Schedule.
♦ There are no regulations requiring certain minimum pricing of services to recover
costs.
410 Law and Policies Pertaining to Urbanisation

♦ Property tax, the main source of own income of ULBs, has not been able to
achieve adequate buoyancy due to constraints like rent control, inefficiency in
updating property rolls, resistance to periodic assessment, etc.
♦ Limited project development and implementation capacity.
♦ There are no regulations requiring provision of certain minimum level of services
to be provided by ULBs.
♦ ULBs have weak revenue base as tax base is inadequate, user charges are
relatively low and revenue collection is low.
♦ State transfers to ULBs are often low and unpredictable.
♦ Support from Central Finance Commissions to ULBs has been ad-hoc and not
linked to any central revenue source.
♦ Existing administrative structure does not require that there is certain minimum
level of technical staff in ULBs.
♦ Role of parastal (such as utility boards) and ULBs is often not clearly defined for
project planning, implementation and operation and maintenance.
♦ Presently, DPCs and MPCs play a minimal role in urban planning and investment
decisions.
♦ Certain industrial areas are exempted from setting up ULBs.

II) National Urban Housing and Habitat Policy - Ministry of Housing and Urban Poverty
Alleviation (2007) - This policy document by the Ministry of Housing and Urban
Poverty Alleviation outlines the current housing situation in India in the context of
urbanisation, the large influx of population from the rural areas to urban areas in
the metropolitan cities in India, the urgent need for provision of housing and basic
services to the population in the urban areas and promotion of sustainable habitats
in the country.

In view of this scenario, and the housing shortage and budgetary constraints of both
the central and state governments, the policy highlights the need for promotion of
public-private partnerships to reach its goal of Affordable Housing for All. In order
to do this, it encourages involvement of multiple stake-holders such as the private
sector, the cooperative sector, the industrial sector for labour housing and the
services/ institutional sector for employee housing.

III) National Mission on Sustainable Habitat - Many cities in India ranging from large
metropolitan to small transitional cities lack effective storm drainage systems and
face problems due to illegal, unplanned development and encroachment often on
natural areas and drainage systems/ways. As the cities develop and grow, benefits
from important environmental functions (natural water ways/areas) are often
ignored and overlooked as a result of which natural areas are degraded and damaged.
This along with increase in built up area results in increase in incidences of flooding
Urban Laws and Policies 411

and accompanied ill effects. The densification of cities is leading to construction of

roads, buildings which has resulted in increase in impermeable areas. As a result,
often permanent changes to the catchment are caused, leading to changes in runoff
patterns, which affect the magnitude, frequency and occurrence of flooding. This
necessitates adoption of sustainable storm water management practices in cities.

The core of sustainable storm water management is to consider storm water as a

potential resource rather than as a liability or a waste product. This shift can only
be initiated by a visionary storm water management approach which combines the
preventive measures with the traditional curative and reactive measures in
appropriate sum so as to minimise negative impacts on human, property and
environmental health. In this respect, environmental health would include preserving
and maintaining the natural hydrological cycle, groundwater recharge, natural
drainage system, etc. To address such concerns in various important sectors, the
Prime Minister released India’s first National Action Plan on Climate Change (NAPCC)
outlining existing and future policies and programmes addressing climate mitigation
and adaptation on June 30, 2008. The NAPCC has set out eight “National Missions”
as the way forward in implementing the Government’s strategy and achieving the
National Action Plan’s objective.

The focus of these missions is on “promoting understanding of climate change,

adaptation and mitigation, energy efficiency and natural resource conservation”.
The National Mission on Sustainable Habitat is one of them.
The National Mission on Sustainable Habitat seeks to promote sustainability of habitats
through:
♦ Improvements in energy efficiency in buildings through extension of the energy
conservation building code - which addresses the design of new and large
commercial buildings to optimise their energy demand;

♦ Better urban planning and modal shift to public transport - make long term
transport plans to facilitate the growth of medium and small cities in such a
way that ensures efficient and convenient public transport;

♦ Improved management of solid and liquid waste, e.g. recycling of material and
urban waste management - special areas of focus will be development of
technology for producing power from waste;

♦ It also seeks to improve ability of habitats to adapt to climate change by

improving resilience of infrastructure, community based disaster management
and measures for improving advance warning systems for extreme weather
events. It addresses sustainability concerns related to habitats, primarily in
urban areas;

♦ Conservation through appropriate changes in legal and regulatory framework.

412 Law and Policies Pertaining to Urbanisation

The key deliverables of the Mission include:

a) development of sustainable habitat standards that lead to robust development
strategies while simultaneously addressing climate change related concerns,
b) preparation of city development plans that comprehensively address adaptation
and mitigation concerns,
c) preparation of comprehensive mobility plans that enable cities to undertake
long- term, energy efficient and cost effective transport planning, and
d) capacity building for undertaking activities relevant to the Mission.

With a view to initiate action with respect of the first deliverable i.e. development
of National Sustainable Habitat Standards, the MoUD has constituted six sub-
committees mandated with the task of identifying standards in six areas i.e. energy
efficiency in the residential and commercial building sectors, urban transport, water
supply and sewerage, urban planning, urban storm water drainage and municipal
waste.

lV) Metro Rail Policy, 2017: This policy is launched for systematic planning and
implementation of metro rail systems in a comprehensive and sustainable manner.
The policy aims at ascertaining and enhancing the feasibility of metro rail projects
and act as a guide to state governments for preparing comprehensive proposals for
metro rail projects. It enables innovative financing through Transit Oriented
Development (TOD) and Value Capture Finance (VCF).

V) National Transit Oriented Development (TOD) policy: This policy aims to promote
planned and sustainable urban centers with high density, mixed land-use development
within an influence zone of 500-800 meters of mass transit stations. The policy aims
to enable the transformation of cities from private vehicle dependent development
to public transport oriented development. TOD increases the accessibility of the
transit stations by creating pedestrian and Non-Motorised Transport (NMT) friendly
infrastructures like footpaths and cycle tracks that benefit a large number of people.
The national TOD policy will help these cities to formulate city specific policies to
efficiently use these systems.

VI) National Sustainable Habitat Parameters on Urban Storm water Management - The
MoUD constituted six sub-committees under the National Sustainable Habitat
Standards. The committees were mandated with the task of identifying standards in
six areas i.e. energy efficiency in the residential and commercial building sectors,
urban transport, water supply and sewerage, urban planning, urban storm water
drainage and municipal waste. Sub-Committee for Development of “National
Sustainable Habitat Parameters on Urban Storm water Management” was constituted
by the MoUD vide OM No. A- 11019/2/2007-PHE.II/CCC dated 12.8.2010 and
subsequently, re-constituted on 11.10.2010.
Urban Laws and Policies 413

The Sub-Committee met under the chairmanship of JS (UD) three times between October
to December 2010 to deliberate and evolve sustainable habitat parameters on “Urban
Storm water Management”. The approach that emerged was that “What gets measured
gets managed”. The development of parameters is essential for developing legal
framework/regulations to improve urban planning in respect of storm water drainage.
Based on detailed deliberations, the following main parameters have been identified,
which will enable developing legal framework/regulations to improve the urban planning
in respect of storm water drainage and minimise the incidence of flooding in urban
areas.

Development of indices (under sub-committee on Urban Storm water Management)

- To assess and monitor the progress of implementing sustainable storm water
management, there is a need to develop key parameters and indicators. These
parameters/indicators are generally in the form of indices, for systematic and scientific
assessment of situation, progress and deficit. These parameters that have been developed
need to be considered at all stages of development namely, planning, implementation
and operation and maintenance subject to its appropriateness and significance to the
specific stage.

1) Master Plan index Existing storm water drains are provided based on comprehensive
planning and designing or in piece-meal manner. The basic assumption is that each
city has a basic master drainage plan and where none exists, the master plan would
be formulated and the indices would also complement the formulation of the drainage
master plan. This will enable the integration of the city’s drainage master plan with
the CDP.

2) Natural Drainage System Index: This index can be defined as the ratio of natural
drainage systems up and running to the total natural drainage systems (as existing
on a predetermined date) and can be used as an indicator for the sustainability of
the natural drainage system.

3) Drainage Coverage (Constructed) Index: Level of coverage of an urban area with

man-made storm drainage systems. This index can be defined as the ratio of the
length of existing constructed drains to the length of total constructed drains required
for an area.

4) Permeability Index: This index can be defined as the percentage of the catchment
which is impervious. (Note - Attempts should be made through sustainable drainage
practices to restore the permeability index of the catchment to pre-development
levels.)

5) Water Bodies Rejuvenation Index: This index is to define the sustainability of the
water bodies (past and present). For the rejuvenation of water bodies, the ratio of
total area under water bodies planned for rejuvenation to the total area of water
bodies including those encroached upon may be used as an indicator.
414 Law and Policies Pertaining to Urbanisation

6) Water Body Vulnerability Index: In regard to the habitations in the existing water
bodies/flood prone areas, it was proposed that the ratio of total area under water
bodies encroached (present date) to the total area under water bodies (on a datum
date) may be used as an indicator.
7) Water Logging Index: This index is to reflect the sustainability of an area to incidences
of water logging. Presently, the area inundated for four hours or more and having
water depth more than 6² are considered as affected by water logging. However, to
make our cities more sustainable and disaster resistant, the duration of 4 hours
should be reduced to 1 hour based on experiences in cities like Delhi and Mumbai.
(Flood prone area is categorised as one having 15 houses or more which are affected
by flood).
8) Area Vulnerability Index: In regard to the habitations in low lying areas / flood
prone areas, it is proposed that the ratio of total flood prone as area (present date)
to the total city area (on a datum date) may be used an indicator.
9) People Vulnerability Index: Identify vulnerable points in the slums - Number of
people affected in vulnerable area with or without drainage divided by total number
of people staying in the vulnerable area (with or without drainage) may be an
indicator.
10) Flood Moderation Index: Lakes/ponds are the best moderators. The index may be
defined as the ratio of area not flooded due to moderation to the area that would
have been flooded without moderation.
11) Drainage Cleaning Index: This is a very important parameter as regards, routine
operation and maintenance / cleaning of drains. It is opined that cleaning should be
done at least three times a year.
i) First, the process must start by 31st March each year and be completed one
month before the normal arrival of monsoon each year.
ii) The drains should also be thoroughly cleaned after first heavy shower,
iii) Subsequently, after retreating of rain i.e. in the post monsoon, the cleaning of
drains is essential. In addition, the ULBs may clean drains regularly, as per
requirement. The availability of trained manpower and O & M Manual for
operating and maintaining drainage system also need to be ensured.
12) Complaint Redressal Index: A certain eligible category of complaints registered and
those addressed may be considered as an indicator of the efficiency of storm water
O & M. The index may be defined as the ratio of drainage-related complaints
addressed satisfactorily to the total number of drainage-related complaints.

13) Climate Change Stress Index: The matter regarding the overstressing of existing
drainage infrastructure due to climate change was also considered. As per the
recommendations of International Conference on Urban Drainage in 2008, 20%
increase in calculated discharge suggested for designing for future storm water
Urban Laws and Policies 415

drains was agreed. The index may be defined as the ratio of the projected rainfall
intensity for a city to the present rainfall intensity being used for design for that
city.
14) Storm water Discharge Quality Index: This may be defined as the ratio of the measured
value of Total Suspended Solids (TSS)/Biochemical Oxygen Demand (BOD) of the
storm drain water to the prescribed limits of TSS/BOD.
15) Sewage Mixing Index: Incidences of mixing of sewage with storm water to be avoided/
prohibited. The index may be defined as the ratio of the volume of sewage flows
entering the storm water drainage system to the total volume of flows in the storm
water system.
16) Preparedness Index/Early Warning Index: This index would enable the quantification
of the preparedness of the city/community and can be defined for each point on the
drainage system as the ratio of lead time to the flow time at the point. Radar based
advance warning system of rainfall as well as one based on real time rainfall intensity,
viz. critical rainfall intensity causing flooding/real time rainfall intensity likely to
cause flooding in flood prone areas.
17) Rainfall Intensity Index: This can be defined as the ratio of the observed rainfall
intensity to the rainfall intensity which causes flooding in that particular area. It
will enable the determination of the sustainability of an area to flooding.
18) System Robustness Index for areas dependent on pumping, the index can be defined
as the ratio of rate of incoming storm flow to rate of pumping.
19) Tidal Index Parameter based on cycle of high and low tide for coastal areas. The
index may be defined as the ratio of tidal level for which the present protection is
adequate to the maximum tidal level observed for that area/city.
20) Rain Water Harvesting/Artificial Ground Water Recharge Index: With reference to
the encroachment of natural streams passing through urban, it was observed that
on one hand, the pathway / water line of natural streams are being blocked /
constructed and on the other hand, more and more developments are coming on by
paving the way in enhancing the run-off causing increased peak flow and frequent
inundation in urban area. To overcome this, rain water harvesting to be made
mandatory, while following building bye-laws and at suitable places, considering
the overall suitability, artificial ground water recharge also to be encouraged. The
recharge index may be defined as the ratio of the rainwater volume stored/harvested
to the ratio of the measured rainfall volume. In the planning level itself, 2 to 5% of
urban area should be reserved for water bodies to work as recharge zone.

21.4 State Policies Pertaining to Urban Development

1) Draft infrastructure policy - Infrastructure Development Department (Government
of Odisha) (2001)
416 Law and Policies Pertaining to Urbanisation

This policy document by the Government of Orissa outlines the draft infrastructure
policy designed to promote development of the state of Orissa. The policy promotes
private sector participation through provision of guidelines for private investments
in infrastructure. It encourages public private partnership, and provides a broader
institutional and legal framework for implementation of projects through cross
sectoral perspective. It provides details of the steps that will be taken to enable
better implementation of the infrastructural projects in the context of public private
partnerships.

2) Gujarat integrated township policy - Gujarat Urban Development Company

(Government of Gujarat) (2008)
The document includes the Gujarat integrated township policy by the Gujarat Urban
Development Company (GUDC) (Government of Gujarat) that aims at promoting
the development of townships with high quality built in environments and services
with reliable infrastructure. The proposed ‘Township Policy’ provides a framework
for ensuring that this happens in an efficient manner in predefined areas for township
development.

3) Rajasthan urban housing and habitat policy (RUHHP) and guidelines for action plan
- Urban Development and Housing Department (Government of Rajasthan) (2006)

The RUHHP-06 is broadly in consonance with the National Housing and Habitat
Policy- 2005. The document goes on to highlight the present urban and rural situation
in Rajasthan, the increasing population density in the urban areas because of
migration of people from rural to urban areas and the housing issues arising because
of this increased density of population in urban areas. The policy thus focuses on
balanced development, promotion of in situ- urbanisation, vertical construction
and the use of sustainable development models.

4) Public-Private partnership policy - Planning Department (Government of Rajasthan)

(2008)- This document provides details of the Rajasthan Public-Private Partnership
(PPP) Policy, which seeks to provide a fair and transparent framework to help facilitate
the process and encourage Public-Private Partnership in upgrading, expanding, and
developing of infrastructure in the State of Rajasthan. The document provides further
details on the objectives and the details of implementation of the policy.

5) Policy on public private partnership - The Assam Gazette (Government of Assam)

(2008) - This policy document provides a brief background and guidelines on the
implementation of the Public Private Partnership (PPP) in infrastructure development
proposed by the Government of Assam.

6) Draft regulatory reform bill - Secretariat for lnfrastructure (Planning Commission)

(2009) - This document is a draft regulatory reform bill that has been made in
response to the economic liberalisation process that has been claimed to distance
the relationship between State ownership and its responsibility for providing
Urban Laws and Policies 417

infrastructure services, as compared to the earlier situation, where infrastructure

was provided almost exclusively by the public sector. This has ushered a gradual
shift towards private investment in infrastructure services where independent
regulation assumes a critical role.

7) The Andhra Pradesh infrastructure development enabling act - Finance Department

- Government of Andhra Pradesh (2001)
This document provides the details of the Andhra Pradesh infrastructure development
enabling act, which extends to the whole of the State of Andhra Pradesh. It includes
the following information:
♦ Short title, extent, application and commencement of the Act;
♦ Definition of the terms in the Act;
♦ Details of the establishment, conduct of business and employees of the
infrastructure authority;
♦ Infrastructure project delivery process;
♦ Details of the generic risk disclosure and allocation, securitisation, right of
lenders and facilities to be provided by the government agency or the local
authority;
♦ Establishment of the conciliation board;
♦ Details of the conciliation proceedings; and
♦ Details of the establishment of the infrastructure projects fund.
8) The Uttar Pradesh urban planning and development act - Housing and Urban Planning
Department (Government of Uttar Pradesh) (1973)
This document describes the Act, which intends to provide for the development of
certain areas of Uttar Pradesh, where the problems of town planning and urban
development need to be tackled resolutely and the existing local bodies and other
authorities in spite of their best efforts have not been able to cope with these
problems to the desired extent. The document provides the details of the process of
implementation of the Act.

9) The Bangalore development authority act - Bangalore Development Authority

(Government of Karnataka) (1976)
This document provides the details of the Act and includes details of the development
schemes and the process of implementation of the schemes.
10) The Bangalore metropolitan region development authority act - Bangalore
Metropolitan Region Development Authority (1985)
This document provides the details of the Act and includes the details of the Bangalore
Metropolitan Region Development Authority, and the powers and functions of the
authority.
418 Law and Policies Pertaining to Urbanisation

11) The Karnataka urban development authorities act - Department of Urban

Development (Government of Karnataka) (1987)
This document provides the details of the Act and includes the definitions of the
terms used in the Act and details of the urban development authority.
12) The Karnataka urban water supply and drainage board act - Department of Urban
Development (Government of Karnataka) (1973)
This document describes the details of the Act and includes the details of the
constitution of the Board, powers and functions of the Board, investigation,
preparation, execution and maintenance of the schemes by the Board.

13) The Karnataka town and country planning act - Ministry of Environment and Forests
(Government of Karnataka) (1961)
This document includes the details of the Karnataka Town and Country Planning
Act, 1961 and includes
♦ Short title, extent and commencement
♦ Definitions of the terms in the Act
♦ Appointment of director of town planning
♦ State town-planning board
♦ Local planning areas and planning authorities
♦ Present land use
♦ Outline development plan
♦ Comprehensive development plan
♦ Town planning schemes
♦ Town planning officer and his duties
♦ Disputed ownership, preliminary schemes and final scheme and its sanction and
enforcement
♦ Finance, accounts and audit
♦ Land acquisition
♦ Offences and penalties, rules and bye-laws
14) The Orissa water supply and sewerage board act - Government of Orissa (1991)
This document describes the details of the Orissa Water Supply and Sewerage Board
Act, 1991 and includes
♦ The short title, extent and the commencement of the Act
♦ The definitions of the terms used in the Act
Urban Laws and Policies 419

♦ The details regarding the establishment of the Orissa Water Supply and Sewerage
Board, conduct of business duties and powers of the board
♦ The details of vesting of property, assets, liabilities and obligations and transfer
of property to the board
♦ Contract, finance, account and audits of the board
♦ Fees and charges decided by the board
♦ Definition of supply of water for domestic purposes under the Act
♦ Right of the owner or occupier to obtain sewer connection
♦ Penalties and procedures
♦ External control
15) Notification l: Draft of the Karnataka town and country planning rules - Government
of Karnataka (2007)
This is a draft document for the Karnataka Town and Country Planning Rules, 2007
and includes
♦ Details of the title and commencement of the rules
♦ Definitions of the terms in the rules
♦ Procedure for application
♦ Manner of enquiry
♦ Screening committee for regularisation
♦ Procedure and conditions of regularisation
♦ Utilisation of funds
16) The Orissa municipal corporation (amendment) act - Housing and Urban Development
Department (Government of Orissa) (2008)
This document describes the Orissa Municipal Corporation (Amendment) Act and
includes
♦ Short title and the commencement of the Act
♦ Insertion of a new section 24-A
♦ Obligations of the Corporation
17) The Karnataka municipalities act - Government of Karnataka (1964)
This document describes the Karnataka Municipalities Act and includes
♦ Details such as the short title, extent and commencement of the Act
♦ Definitions of the terms used in the Act
♦ Constitution of municipal areas
♦ Transaction of business by municipal council
420 Law and Policies Pertaining to Urbanisation

♦ Municipal property and fund

♦ Obligatory and discretionary functions of municipal councils
♦ Municipal taxation
♦ Recovery of municipal claims
♦ Improvement schemes and improvement boards
♦ Powers and offences
♦ Prosecution, suits and powers and police
♦ Municipal accounts and administration reports
♦ Control
♦ Rules and bye-laws
♦ Appointment and powers of municipal commissioner or chief officer and other
municipal officers
♦ Town panchayat
♦ Provisions for the conversion of panchayat area into a smaller urban area and
for amalgamation and division of smaller urban areas
18) Towards faster and more inclusive growth: An approach to the 11th five year plan-
Government of lndia (Planning Commission) (2006)
This document by the Government of India describes the approach to the 11th five
year plan. The document is divided into seven chapters and includes
♦ Chapter 1 The objectives of the eleventh five year plan and the existing challenges
in the country in terms of disparities and divides
♦ Chapter 2 Growth potential in the eleventh plan
♦ Chapter 3 Sectoral policies for the eleventh plan
♦ Chapter 4 Strategic initiatives for inclusive development
♦ Chapter 5 Bridging divides including the excluded
♦ Chapter 6 Public Sector Plan an enabling environment
♦ Chapter 7 Conclusions
19) Housing and urban policy in lndia - Ministry of Housing and Urban Poverty Alleviation
(2010)

This document provides information on the evolution of the Housing and Urban
Policy in India since the 1950s, and describes how the policy evolved from the First
Plan in (1951-1956) to the Eighth Plan in (1992-97), which for the first time explicitly
recognised the role and importance of urban sector for the national economy. The
document goes on to describe the key features of the policy.
Urban Laws and Policies 421

21.5 Conclusion
Attitudes to urban growth within the country tend to swing between two extremes.
Cities are seen either as an unavoidable evil or in a more positive way as ‘engines of
growth’. The former view is held by those who focus on the growth of slums and squatter
colonies, the congestion on the roads and environmental degradation. The others, in
contrast, focus on the bustling formal and informal sectors in urban areas and their
contribution to the economy, the diversification of occupations away from traditional
land-based ones to newer forms of production and services, and the lower levels of
poverty as compared to rural areas.

There is, in fact, evidence to show that urbanisation is likely to have been a key
determinant of economic growth in the 1980s and 1990s, boosted by economic
liberalisation. From this point of view, the moderate pace of urbanisation in the country
has been a cause of disappointment. There is, however, no rural vs. urban conflict either
in terms of national growth, or in development priorities. In fact, perhaps because of
the success of rural development programmes along with the limited availability of land
for squatting in central urban areas, there seems to be no runaway migration from rural
to urban areas.
Good urban governance calls for adequate policy and legal frameworks, the existence of
regulatory and planning authorities, human skills, a sound revenue base, accounting and
accountability. Substantial work has already been done to upgrade the urban infrastructure
and several parastatals and urban development authorities have acquired considerable
skills in planning and executing projects. shown varying degrees of success in meeting
some of the urban needs. In particular, parastatal agencies and bodies such as development
authorities, need to play a supportive role to the elected bodies rather than taking over
functions which properly belong to the ULBs. The objective of devolution and
decentralisation should be carried forward by making parastatals and authorities partners
and agencies of the democratically elected ULBs, thus making a gradual transition to
local management while continuing to use the expertise of the organisations set up and
supervised by the State Governments. Initiating the necessary processes for partnerships
between the State and its agencies on the one hand, and the ULBs on the other, is a part
of the exercise of ‘capacity building’ in the ULBs.
Experiences of few cities provide some important lessons for improved urban governance.
These lessons are
a) Build credibility of local government through improved administration;
b) Make initial efforts in a few critical areas that are “visible” and affect daily lives of
most residents;
c) Changes have to come from within the system, not forced by state or national
government;
d) Demonstration effects are important and more cities will learn from few success
stories;
422 Law and Policies Pertaining to Urbanisation

e) Dissemination and networking of local governments is crucial;

f) State and national governments may not always support the initiation of changes,
but will yield only when citizen support is received; and
g) Responsive administration for citizen grievances is essential.
The strategy for improved governance should include enablement, participation, and
capacity building.

Triggering Urban Reforms - Reforms can be triggered by creating external pressures on

municipal bodies and city administration. For instance, in Surat, extreme circumstances
such as the plague in early 1990s lead to various progressive reforms. Local leadership in
terms of Commissioner in Ahmadabad, Mayors in Alandur and Indore, and President of
Textile Exporters Association in Tiruppur lead the reforms in these cities. The State
Government played a key role in reforming Hyderabad city. The Bangalore Citizens
Report Cards was an attempt towards improving accountability by involving citizens in
performance assessment of public agencies.

21.6 References and Recommended Readings

Agarwal, O.P., Presentation to High Powered Expert Committee on Estimating Investment
Requirements for Urban Infrastructure “Investment Requirements for Sustainable Urban
Transport in India”, NIUA, New Delhi, 2009.
Baud, I.S.A. and Wit, J. De, “New Forms of Urban Governance in India”, Sage, 2008.
Gill, I. and Kharas, H., “An East Asian Renaissance-Ideas for Economic Growth” World
Bank, 2007.
Pathak, V. K., Presentation on “Land as a Resource for Financing Urban Infrastructure”
during Workshop on Alternate Sources of Financing Urban lnfrastructure, NIUA, New
Delhi March 26, 2009.
Spence, M., Aneez, P.C., Buckley, R. M., “urbanisation and Growth” Commission on Urban
Growth, 2009.
Redkar, S., “New Management Tools for Mumbai’s Solid Waste Management” in Baud,
I.S.A. and Wit, J. De, 2008.
“Integrated City Making” Urban Age, London School of Economics and Political Science,
2008.
“Local Governance Sixth Report” by Second Administrative Reforms Commission,
Government of India, 2007.
Mathur, O.P. and Thakur, S., “India Municipal Sector- A Study for Twelfth Finance
Commission, NIPFP, New Delhi, 2004.
Mehta, D. (2006) “Urban Governance Lessons from Best Practices in Asia” in Shah P.J. and
Bakore, M. Handbook on New Public Governance, CCS, New Delhi.
Urban Laws and Policies 423

Sivaramkrishnan, K. C. (2006), “People’s Participation in Urban Governance” I.S.S, New

Delhi.
Ramachandran, M, Address on the occasion of the release of the report “An Exploration
of Sustainability in the Provision of Basic Urban Services in Indian Cities” TERI, April 20,
2009.
Vaidya, Chetan, “Successful Municipal Resource Mobilization in Indore” in India
Infrastructure Report 2006, 3-I Network, 2006.
Vaidya, Chetan. and Vaidya, H., “Creative Financing of Urban Infrastructure in India
through Market-based Financing and Public-Private Partnership Options” in Metropolis
Congress, Sydney, 2008.
World Bank, GFDRR and ISDR, “Climate Resilient Cities Primer”, 2008.
World Bank, “World Development Report 2009 Reshaping Economic Geography”, 2009.
UN-Habitat, “State of the World’s Cities 2008-09", 2008.
(Footnotes)
1
Handbook of Urban Statistics 2019 by Ministry of Housing and Urban Affairs, Government
of India
424 Law and Policies Pertaining to Urbanisation

UNIT 22
COUNTRY AND
TOWN PLANNING
Contents
22.1 Introduction 424
22.2 Policies 426
22.3 Planned Cities - Satellite Towns 428
22.4 Good Practice State 432
22.5 Recommendations 433
22.6 References and Recommended Readings 433

22.1 Introduction
India has characteristically drifted with history, rising periodically to accomplish great
things. In no field has this been truer than in town planning. From prehistoric Mohenjo
Daro, to the imperial city of New Delhi, to Corbusier’s Chandigarh, India has pioneered
in town building. If planned urban development is to be undertaken, said the Planning
Commission, “each state should have a phased programme for the survey and preparation
of Master Plans”.

Figure 1: Plan of Mohenjo Daro, c. 2600-2000 BCE, Indus Valley civilization, Pakistan.
http://www.arthistory.upenn.edu/smr04/101910/101910lecture4.html
Urban Property and Land Use Management 425

City planning has always been of chief concern since times immemorial. Evidence of
planning has been unearthed in the ruins of cities in China, India, Egypt, Asia Minor, the
Mediterranean world, and South and Central America. Early examples of efforts towards
planned urban development include orderly street systems that are rectilinear and
sometimes radial; division of a city into specialised functional quarters; development of
commanding central sites for palaces, temples and civic buildings; and advanced systems
of fortification, water supply and drainage. Most of the evidence is in smaller cities that
were built in comparatively short periods as colonies. Often the central cities of ancient
states grew to substantial size before they achieved governments capable of imposing
controls. Modern time Po-pollution is the pollution caused by increasing population. In
all developing countries, it is the basic cause of all environmental pollution. Urban India
has seen a phenomenal growth during the past decade. As our metro cities have already
reached a saturation point and are bursting at the seams, the population pressure is now
shifting to medium class cities and towns, where infra-structural facilities are on the
verge of collapse. Metros have already become vast, concrete jungles due to poor
planning. This had led to greater impact on environment. India has many planned cities
and now due to pressure on metropolitan cities, satellite townships are coming up.
These planned cities have their own ups and downs.
Key Features of Urban Planning in India:
Urban Planning in India includes (but is not confined to) the following -
♦ Town planning
♦ Regulation of land use for residential and commercial purposes
♦ Construction of buildings
♦ Planning for economic development
♦ Construction of roads
♦ Construction of bridges
♦ Water supply for domestic use, industrial and commercial purposes
♦ Public health care management
♦ Sewerage, sanitation and solid waste management
♦ Proper fire services
♦ Urban forestation and maintenance
♦ Protection of environment through sustainable development
♦ Promotion of ecological balance and maintenance
♦ Safeguarding the interests of weaker sections of society
♦ Offering proper infrastructural help to the handicapped and mentally retarded
population of the society
♦ Organised slum improvement
426 Law and Policies Pertaining to Urbanisation

♦ Phased removal or alleviation of urban poverty

♦ Increased provision of basic urban facilities like public urinals, subways, footpaths,
parks, gardens and playgrounds
♦ Increased public amenities including street lighting, parking lots, bus-stop and public
conveyances
♦ Continual promotion of cultural, educational and aesthetic aspects of the
environment
♦ Increased number of burials grounds, cremation grounds and electric crematoria
♦ Proper regulation of slaughter houses and tanneries
♦ Absolute prevention of / zero tolerance of cruelty to animals
♦ Proper maintenance of population statistics, including registration of births and
deaths records.
The Commission noted that, in order that this might be accomplished, town and country
planning legislation should be enacted in all states and the necessary machinery for its
implementation should be set up.1

22.2 Policies
All the states in India have their own Town and Country planning Act. Like:
♦ Karnataka Town and Country Planning Act, 1961
♦ M.P. Town and Country Planning Act, 1973
♦ Gujarat Town Planning and Urban Development Act, 1976
The Town and Country Planning Organisation (TCPO), which is an organisation of Central
government to deal with the subject of planning (regional, urban and rural) and
developmental policies, formulated a Model Town and Country Planning Act in the year
1960. The Model Act provides as follows:

a) Provisions for preparation of comprehensive Master Plan for urban areas of various
states. The states may adopt the Model legislation with suitable modifications for
this purpose.

b) To constitute a board to advise and to coordinate in the matter of planning and plan
formulation by the Local Planning Authorities in the State.

c) Provisions for implementation and enforcement of the Master Plans and the
miscellaneous provisions to achieve planned urban growth of various urban areas in
the state. The above model was revised in 1985 by the Central Town and Country
Planning Organisation (TCPO) The revised model regional and town planning and

1
Urban planning in India SOC 477 Project Authors -Sahay Shrey Y6411 Siddhartha Kandoi Y6472 Soumil
Srivastava Y6478.
Urban Property and Land Use Management 427

development law has largely been the basis for the enactment of comprehensive
urban and regional planning legislation in the States and UTs. This model is in the
nature of a guideline and is the outcome of several reviews and revisions undertaken
on the recommendations of the State Ministers Conference held from time to time.
The legality of this model has been confirmed by the Ministry of Law.

Town and country planning organisation (TCPO) recommendations for amendment in

model town and country planning Act, 1960 are:

The definition of the terms such as “Natural Hazard” and “Natural Hazard Prone Areas,
Natural Disaster and Mitigations” are to be added in the relevant clauses. The
recommended modifications are given below:
a) Natural Hazard: The probability of occurrence, within a specific period of time in a
given area, of a potentially damaging natural phenomenon.
b) Natural Hazard Prone Areas: Areas likely to have (i) moderate to very high damage
risk zone of earthquakes, OR (ii) moderate to very high damage risk of cyclones OR
(iii) significant flood flow or inundation, OR (iv) landslide potential or proneness, OR
(v) one or more of these hazards.

— Identification of natural hazard prone areas

a) Intensities of VII or more on Modified Mercalli or MSK intensity scale are considered
moderate to high. Areas under seismic zones III, IV and V as specified in IS 1893.
Therefore, all areas in these three zones will be considered prone to earthquake
hazards.
b) In these zones, the areas which have soil conditions and the level of water table
favourable for liquefaction or settlements under earthquake vibrations will have
greater risk to buildings and structures which will be of special consideration under
Land Use Zoning.
c) Under these zones, those hilly areas which are identified to have poor slope stability
conditions and where landslides could be triggered by earthquake or where due to
prior saturated conditions, mud flow could be initiated by earthquakes and where
avalanches could be triggered by earthquake will be specially risk prone.

— Cyclone Prone Areas

a) Areas prone to cyclonic storms are along the sea coast of India where the cyclonic
wind velocities of 39 meter per second or more are specified in the Wind Velocity
Map given in IS 875 (part 3) to a small scale and easily identified in the Vulnerability
Atlas of India where the Maps are drawn state wise on a larger scale.
b) In these cyclone prone areas, those areas which are likely to be subjected to heavy
rain induced floods or to flooding by sea-water under the conditions of storm surge,
are specially risky due to damage by flood flow and inundation under water.
428 Law and Policies Pertaining to Urbanisation

— Flood Prone Areas

a) The flood prone areas in river plains (unprotected and protected by bunds) are
indicated in the Flood Atlas of India prepared by the Central Water Commission and
reproduced on larger scale in the state wise maps in the Vulnerability Atlas of
India.
b) Besides the above areas, other areas can be flooded under conditions of heavy
intensity rains, inundation in depressions, backflow in drains, inadequate drainage,
failure of protection works, etc.
— Landslide Prone Areas
a) In preparation of the landslide zone map, two types of factors are considered
important as listed here below:
1) Geological/Topographic Factors/Parameters
 Lithology
 Geological Structures/Lineaments
 Slope-dip (bedding, joint) relation
 Geomorphology
 Drainage
 Slope angle, slope aspect and slope morphology
 Land use
 Soil texture and depth
 Rock weathering
2) Triggering Factors
 Rainfall
 Earthquake
 Anthropogony
b) Whereas the factors listed under geological/topographic parameters have been
considered as basic inputs for the landslide potential model, the three triggering
factors namely, rainfall, earthquake and anthropogony were considered external
factors which trigger the occurrence of a landslide.

22.3 Planned Cities - Satellite Towns

A planned community, or planned city, is any community that was carefully planned
from its inception and is typically constructed in a previously undeveloped area. This
contrasts with settlements that evolve in a more ad hoc fashion. Land use conflicts are
less frequent in planned communities since they are planned carefully. New towns can
apply to specific communities especially in the United Kingdom where they are created
Urban Property and Land Use Management 429

under the New Towns Act, 1946. Navi Mumbai, a planned city near the Indian city of
Mumbai, is the largest planned township in the world. Urban Planning can be defined as
the design and regulation of the uses of space that focus on the physical form, economic
functions and social impacts of the urban environment and on the location of different
activities within it.

The need of the hour is sustainable development. With increasing population and growing
pollution, we can’t ignore the ill effects of planning on the environment. Sustainable
development refers to - Utilising the present resources keeping in mind the future needs
of the society, so as not to exhaust the resources. It should not disturb the ecological
cycle and hence preserve the environment.
List of planned cites in India:
♦ Navi Mumbai (New Mumbai), World Largest Planned city and Super city
♦ New Delhi
♦ New Okhla Industrial Development Authority (NOIDA)
♦ Chandigarh, Planned by Le Corbusier
♦ Gandhinagar, Planned by Louis Kahn
♦ Panchkula
♦ Mohali
♦ Bhubaneshwar, the capital of Orissa
♦ Dispur
♦ Dhule, Maharashtra, a city planned by the renowned architect of India, Sir
Vishveshwarayya.
♦ Naya Raipur, the upcoming capital of Chhattisgarh
♦ Bidhannagar (Salt Lake City), planned township near Kolkata
♦ Rajarhat (New Town), planned township near Kolkata
♦ Jamshedpur, planned township in Jharkhand2
Horizontal Growth VS Vertical
The restrictions are now being imposed on the vertical growth of other fast growing
cities. These cities are growing horizontally in all directions. Colonies after colonies are
being developed on the peripheries of these cities where green farms, fields, orchards
and ponds once existed. As the farmers are elbowed out to make room for the upcoming
posh colonies, they have no option but to move towards forested areas for their
sustenance. Trees are cut and dense forests are denuded to make way for agriculture
and horticulture. Nobody knows where this horizontal movement will lead us.
2
Arup Chatterjii, Jamshedpur, The city of steel, The Hindu, (2019). https://www.thehindu.com/society/
history-and-culture/jamshedpur-the-city-of-steel/article26341043.ece
430 Law and Policies Pertaining to Urbanisation

Rapid horizontal growth of cities is also causing severe strain on our transport system.
A person often has to travel 20-30 km from his residence to his place of work. This has
resulted in manifold increase in the number of vehicles, galloping rise in fuel consumption
and a phenomenal increase in environmental pollution. If the distance covered daily by
thousands of commuters could be reduced by, say 50-60%, then there will be a
corresponding decrease in the fuel bill, reduced pollution and save precious man hours,
which are wasted in commuting long distances. Civic and urban authorities should put a
check on unrestricted horizontal growth of these cities and allow well planned high-rise
multi-storeyed buildings to come up with full encouragement and incentives. However,
in order to avoid the creation of ‘concrete jungles’, high rise buildings should be allowed
to come up only along very wide, tree-lined roads. While half of the ground floor of such
buildings should have parking facilities, the remaining half should be converted into
indoor gardens of potted house plants. In Delhi such indoor gardens have recently come
up under the flyovers with very pleasing and soothing effect.3

Chandigarh - India’s first planned city

“I have welcomed very greatly one experiment in India: Chandigarh. Many people
argue about it; some like it, some dislike it. It is the biggest example in India of
experimental architecture. It hits you on the head and makes you think. You may
squirm at the impact but it has made you think and imbibe new ideas, and the one
thing which India requires in many fields is being hit on the head so that it may
think. I do not like every building in Chandigarh. I like some of them very much.
I like the general conception of the township very much but, above all, I like the
creative approach, not being tied down to what has been done by our forefathers,
but thinking in new terms, of light and air and ground and water and human
beings.”
— Jawaharlal Nehru. Speech, 17 Mar 1959

When Chandigarh was contemplated, the focus of urban planning in India was unclear. In
the 1950s and ’60s, the idea of a modern city was vital, especially to a new independent
country. Therefore, it was to serve as a model in city planning for India and even the
world. Charles-Edouard Jeanneret popularly known as Le Corbusier agreed to take on
this project along with Piere Jeanneret, Maxwell Fry and Jane Drew. Le Corbusier was
assigned to look at the master plan prepared by Mayer and make modifications, or make
new master plan. Later he would design the capitol complex buildings and work on the
architectural control of various areas. He prepared the plan in a matter of weeks and
gave it to Govt. justifying that it was cheaper and space efficient. It was on this basis
that his master plan was accepted but he did incorporate some features of the Mayer
plan. The two plans remained practically the same with the shifting of certain functions.
He retained most of Mayer’s organisational features but did away with its adaptation to
the landscape, its allowances for unplanned growth, and its use of native Indian building
types.
3
K.j. Ahmad (Secretary, ISEB) Environews International Society of Environmental Botanists Newsletter,
Lucknow (India) Vol 10 No 3 July, 2004.
Urban Property and Land Use Management 431

Le Corbusier’s Chandigarh
The city has projects designed by architects such as Le Corbusier, Pierre Jeanneret,
Matthew Nowicki, and Albert Mayer. The city was reported in 2010 to be the “cleanest”
in India, based on a national government study, and the territory also headed the list of
Indian states and territories according to research conducted using 2005 data by Human
Development Index. The new capital required a secure and central location, easily
accessible from all parts of the state. The site had to accommodate an initial population
of 1,00,000. It had to be away from existing towns, with an adequate supply of water,
easy drainage and a suitable climate. There was also to be a minimum dislocation to
existing landowners and proximity to appropriate building materials for large-scale
construction. Chandigarh was seen as a low-density and low-rise city, with a regular
traffic system, so reducing cost of roads and infrastructure. This city was to be free of
the familiar overcrowding, pavement dwellings and squatters’ shanties of many Indian
towns.

The Civic Life

However questionable the planning and architecture forced on the city, it did succeed in
providing clean hygienic environments, ample green open space, and the basic amenities
of civic life — schools, hospitals and parks. Such amenities are lacking in many Indian
cities even today.

The Problems
Whatever the failings or triumphs of Chandigarh as a symbol of a transformed culture,
its existence as an actual city where people live and work has been complicated by two
sets of external problems,
1) The explosive growth of the city over the past forty years
2) Political problems of the region.
Inferences
Although Le Corbusier took courageous risks at all levels of design, neither the city, nor
the buildings have been a practical success. He did not master the climate in terms of
hot breezes, the monsoon and un-insulated concrete. Similarly, at city scale, the isolation
of the routes and avenues, together with zoning regulations, do not encourage intense
urban activity to take place. The city’s own rigid character, lacking urbanity, is an
image of a vast series of metropolitan hamlets.

In his book The City of Tomorrow (1937), Le Corbusier shows a vacant rectangle with the
following words within it: ‘Left blank for a work expressing modern feeling’. With his
great concern for area design, there was the hope that Le Corbusier himself could have
fulfilled the ambitions of such an urban space admirably within the Capitol of Chandigarh.
Yet, like most of his exciting concepts that have influenced generations of architects,
Chandigarh is important for what it could have been, rather than what it is today.
432 Law and Policies Pertaining to Urbanisation

Chandigarh may well be one of India’s greatest achievements in urban town planning.
But despite Nehru’s enthusiasm, and the evident success of the experiment, the Indian
political establishment seems to have learned nothing from it. Chandigarh ought to
have become the harbinger for more planned cities. What came instead was unplanned
urban sprawl, dispiriting shanties, and creaking infrastructure, punctuated now by gated
enclaves built for the rich by a land-grabbing mafia of private developers. That
Chandigarh did not inspire a hundred planned cities points to a colossal failure of the
Indian imagination.4

22.4 Good Practice State

BANGALORE,
The Revised Master Plan (RMP) for Bangalore has been unique as for the first time the
plan preparation process was outsourced to a private consortium under the Indo French
Protocol with the objective of bringing in the state of the art technology in both planning
and management of Bangalore Metropolitan Area. As such the plan has been innovative
on several fronts (in context of the ongoing planning processes and the plans prepared
so far in the country) as under: One, the RMP is based on a zoning strategy for a dynamic
city fabric as against the static land use based physical plan. Two, it propagates a
compact city model with future growth concentrated in the vacant parcels of the city
center (as against the existing tendency of a sprawl ) as a strategy to provide and
manage efficient and cost effective amenities and facilities. Third, the plan uses state
of the art data repository created on GIS and its application to understand the dynamic
fabric of the city.

♦ Adaptation to climate change, including reduced vulnerability to natural Disasters:

Bangalore does not fall in the Seismic zone; hence the mandate of the plan was not
to address the issues of Disaster mitigation and disaster preparedness.

♦ Improving local and global ecology and mitigation of climate change, including
reduction of greenhouse gas emissions. While the city of Bangalore does not fall in
a seismic zone, given Bangalore’s unique micro climate composed of a 100 lakes,
their watersheds and catchments, the planning process for the first time successfully
recognises this and has mapped the city ecologically defining the valley beds, the
catchments and the watersheds as non-buildable zones. The hierarchies and
networks of the valleys have been established and demarcated to protect the valley
systems of the city. Of course, while these have been mapped, a lot depends on the
actual efficiency of the implementation process.5

4
Urban planning in India SOC 477 Project Authors -Sahay Shrey Y6411 Siddhartha Kandoi Y6472 Soumil
Srivastava Y6478.
5
City Experiences Submitted to the expert group meeting. Rome, November 29 - 30th, 2007 Un Habitat
for Better Urban Future.
Urban Property and Land Use Management 433

22.5 Recommendations
The integration of environmental and social aspects into urban infrastructure development
is necessary to ensure that the development of infrastructure is in accordance with the
principles of sustainable development. The concept of sustainable infrastructure
development enables the development of infrastructure in harmony with environment
and resources conservation. In an urban realm, the harmony of infrastructure
development with environmental protection and resources conservation is a requisite
towards the achievement of sustainable urban development and then sustainable cities.6

To take in view the ideas of Sir Patrick Geddes, we have a look at his chief guiding
principles that can be interpreted from the large number of reports and plans he had
drawn up. These include:
a) To start from a given situation and let the plan evolve itself.
b) To make best use of resources existing within the setting.
c) To understand social, economic and cultural conditions through direct contact and
to plan accordingly. The residents’ physical, social and psychological needs to be
taken into account.
d) To take the residents along by use of cultural symbols which will be supported by the
positive beneficial results they will themselves perceive because of the appropriate
planning and solid action taken.
e) To conserve and promote the good in local tradition, without any emotionalism
about ‘tradition’.
f) To take a humanistic approach considering people’s life as a whole and not just, say
sanitation.
g) Special attention to be given to the poor but basic principles to be applied to all.

22.6 References and Recommended Readings

UN Habitat for better urban future city experiences submitted to the expert group
meeting.
Rome, November 29 - 30th, 2007.
Urban planning in India SOC 477 Project Authors - Sahay Shrey Y6411 Siddhartha Kandoi
Y6472 Soumil Srivastava Y6478.
K.J. Ahmad (Secretary, ISEB) Enviro-news international society of environmental botanists
newsletter, Lucknow (India) Vol. 10 no. 3 July, 2004.

6
Source: Project “Eco-efficient and Sustainable Urban Infrastructure Development in Asia and Latin
America” Expert Group Meeting “Developing Eco-efficient and Sustainable Urban Infrastructure in
Asia and Latin America” Bangkok, 10-12 February 2009.
434 Law and Policies Pertaining to Urbanisation

UNIT 23
LAND USE POLICY
Contents
23.1 Introduction 434
23.2 Tenure Rights 437
23.3 Land Rights and Resource Tenure System 438
23.4 What are Customary Rights and Community Rights? 442
23.5 Land Tenure as an Effective Tool for Development 450
23.6 Agrarian Reforms 452
23.7 Building Bye-Laws 454
23.8 References and Recommended Readings 468

23.1 Introduction
A property designates to those things commonly recognised as an entity over which a
person or a group has exclusive rights. In the strict legal sense, property is an aggregate
of rights which are guaranteed and protected by the law of the land.

The question now lies that what all are the entities that may constitute a property. The
term property “includes not only ownership and possession but also the right of use and
enjoyment for lawful purposes”.1 Property may be classified into movable property,
that is, goods, articles, etc., and immovable property, that comprises of land and/or
building. Another kind of property is the Intellectual Property which reflects the idea
that subject matter is the product of the mind or the intellect. These could be in the
form of Patents, Trademarks, Geographical Indications, Industrial Designs, Layout-Designs
(Topographies) of Integrated Circuits, Plant Variety Protection and Copyright.

A distinction is often made between “real property” or “immovable property” on the

one hand, and “personal property” or “movable property” on the other hand. In the first
case, property would include land and fixtures (buildings, trees, etc.) that would be
regarded as immovable. In the second case, property would include objects not
considered fixed to the land, such as cattle, etc.

Tenure is a term normally associated to, but not limited to, an immovable property, i.e.
land and building. It is the act, right, manner or term of holding something. In terms of
1
Black’s Law Dictionary, 5th edition, 1979.
Urban Property and Land Use Management 435

property it refers to the way in which a property is owned. It is not just ownership but
a collection of rights and responsibilities to a range of renewable and non-renewable
resources. Tenure systems pertaining to a property may range from a farmland, forest,
grazing land, river, wildlife, fishery, or any other resource. Each resource has a particular
physical quality and a technical constraint on its use.

What are Property Rights?- Property Rights are defined as the rights that pertain to the
permissible use of resources, goods and services in relation to a property. A property
right is the exclusive authority to determine how a property is to be used, whether that
property is owned by government or by individuals.

In simple terms, property rights are nothing more than different degrees of legitimised
control over the property. These degrees of legitimised control are reflected by three
different types of property rights, namely,
1) Ownership rights: Ownership is a bundle of rights. It usually consists of right to use
the property, right to change its form or substance, right to transfer all or partial
rights over the property in favour of another person and the right to dispose off the
property. It includes the right to sell or mortgage the land, to convey the land to
others through intra-community reallocations, to transmit the land to heirs through
inheritance, and to reallocate use and control rights.
2) Usage rights: Right to usage of a property may arise due to an absolute right over
the property or because of a partial right. It includes right to possess or use the
property.
3) Developmental rights: Right alter, change or modify the property is included in the
developmental rights over the property.

Ownership right is the most effective right. A property ownership is said to be most
effective in three cases:
♦ Where the concept of private ownership is politically and socially acceptable.
♦ Where the resource to be conserved is easy to demarcate and defend, such as in
case of local level conservation of land, soil, forests, marine resources or water.
♦ Where the use of resource within the demarcated boundary does not generate
significant spill over effects on others.2
A resource is a component that can be used for subsistence, sustenance or help. It acts
as a reserve of supply or support. However, it is difficult to divide a resource as in the
case of wildlife, critical watershed and ecologically significant habitats. In such cases it
would be appropriate to use communal property rights instead of ownership.
With respect to the degree of ownership, a property may be further subdivided into
three types, common, government and private.
2
Wants, Needs and Rights: Economic Instruments and Biodiversity Conservation – A dialogue, WWF,
2000, p. 32.
436 Law and Policies Pertaining to Urbanisation

Common property belongs to all people in common; it is that which all have an equal
right to use and enjoy.
Government property belongs to the state and is subject to the direction of the
government.
Private property is that which a person or group of persons, natural or artificial, have
the exclusive right to own, profit from and dispose of as they see fit. However, private
property is also subject to limitations imposed by the government.
In practice, multiple rights can be held by several different persons or groups. This has
given rise to the concept of “a bundle of rights”. Different rights to the same parcel of
land, such as the right to sell the land, the right to use the land through a lease, or the
right to travel across the land, may be pictured as “sticks in the bundle”. Each right may
be held by a different party. The bundle of rights, for example, may be shared between
the owner and a tenant to create a leasing or sharecropping arrangement allowing the
tenant or sharecropper the right to use the land on specified terms and conditions.
Tenancies may range from formal leaseholds of 999 years to informal seasonal agreements.
If the farm is mortgaged, the creditor may hold a right from the “bundle” to recover the
unpaid loan through a sale of the mortgaged property in the case of default. A neighbouring
farmer may have the right from the “bundle” to drive cattle across the land to obtain
water at the river.
Examples of Property Rights
♦ A right to use the land.
♦ A right to exclude unauthorised people from using the land.
♦ A right to control how land will be used.
♦ A right to derive income from the land.
♦ A right to protection from illegal expropriation of the land.
♦ A right to transmit the rights to the land to one’s successors, (i.e., a right held by
descendants to inherit the land).
♦ A right to alienate all rights to the entire holding (e.g., through sale), or to a
portion of the holding (e.g., by subdividing it).
♦ A right to alienate only a portion of the rights, e.g., through a lease.
♦ A residuary right to the land, i.e., when partially alienated rights lapse (such as
when a lease expires), those rights revert to the person who alienated them.
♦ A right to enjoy the property rights for an indeterminate length of time, i.e., rights
might not terminate at a specific date but can last in perpetuity.
♦ A duty not to use the land in a way that is harmful to other members of society,
(i.e., the right is held by those who do not hold the right to use the land).
♦ A duty to surrender the rights to the land when they are taken away through a
lawful action, (e.g., in a case of insolvency where the right is held by the creditors,
or in the case of default on tax payments where the right is held by the state).
Urban Property and Land Use Management 437

23.2 Tenure Rights

Tenure is the act, right, manner or term of holding something. In terms of immovable
property such as land, tenure refers to the relationship, whether legally or customarily
defined, among people, as individuals or groups, with respect to land. It is a body of
rules invented by societies to regulate and manage how property rights to land are to be
allocated within societies.

Land tenure is one of the tools used by the government to allocate and regulate property
rights. It defines how access is granted to rights to use, control and transfer land, as well
as associated responsibilities and restraints. In simple terms, land tenure systems
determine who can use what resources for how long, and under what condition. However,
it is very essential to note that when we talk about land here, it includes other natural
resources such as water and trees as well.

Let us study few tools of land regulations used by the government to regulate property
rights.

1) Land Tenure
Land tenure is a political, economic social and legal institutional structure that
determines:
♦ How individuals and groups secure access to land and associated manage land
resources. The resources include trees, minerals, pasture and water.
♦ Who can hold and use these resources, for how long and under what conditions.
Land tenure may also have both spatial and temporal dimensions and are typically
defined through statutory or customary law.
Normally, the sovereign holds the land in its own right. All private owners are
either its tenants or sub-tenants, but their rights are as good as ownership rights.
This system is prevalent in India as well. The term “tenure” is used to signify the
relationship between tenant and lord, not the relationship between tenant and
land.

Land tenure is often categorised as:

♦ Private: the assignment of rights to a private party who may be an individual, a
married couple, a group of people, or a corporate body such as a commercial entity
or non-profit organisation. For example, within a community, individual families
may have exclusive rights to residential parcels, agricultural parcels and certain
trees. Other members of the community can be excluded from using these resources
without the consent of those who hold the rights.

♦ Communal: a right of commons may exist within a community where each member
has a right to use independently the holdings of the community. For example, members
of a community may have the right to graze cattle on a common pasture.
438 Law and Policies Pertaining to Urbanisation

♦ Open access: specific rights are not assigned to anyone and no-one can be excluded.
This typically includes marine tenure where access to the high seas is generally
open to anyone; it may include rangelands, forests, etc., where there may be free
access to the resources for all. (An important difference between open access and
communal systems is that under a communal system non-members of the community
are excluded from using the common areas.)

♦ State: property rights are assigned to some authority in the public sector. For example,
in some countries, forest lands may fall under the mandate of the state, whether at
a central or decentralised level of government.

2) Land Policy
Land policy is the tool employed to outline a set of goals and measures for meeting
objectives related to land: tenure, use, management, property rights and administration,
and administrative structures.

Land policy is formulated keeping in mind the development goals. It is linked to various
other policies such as agriculture policy, housing policy, urban policy, rural policy, forest
policy, etc. It concerns itself with sustainable and optimum use of resources.

3) Land Management
Land Management is the process of managing the use and development of land resources
in a sustainable way, in urban, suburban, rural as well as other lands. Land resources are
used for a variety of purposes which interact and may compete with one another;
therefore, it is desirable to plan and manage all uses in an integrated manner.

23.3 Land Rights and Resource Tenure System

In India, more than one and a half billion people amounting to about 70% of the population
depend directly on the land and environment for survival. Land is the life resource of the
majority of people whose subsistence directly depends on the water, forests and the soil.
The urban poor on the other hand, live in communities that have been settled for a
substantial period of time. Development of the community includes access to a means
of livelihood, to education, to health care, all of which stand to be disrupted in cases of
eviction. Certain land and resource tenure systems have been identified so as to secure
land rights of the underprivileged sections of the society. Some rights have been
recognised for the sustainable and optimum use of the limited resources such as land.
They are:

1) Customary and recorded rights

Customary rights are the traditional rights that have been exercised by a local community
for subsistence, cultural and religious purposes. These rights may not formally be recognised
by any statute or legislation but may have been exercised for generations by the members
of a local community.
Urban Property and Land Use Management 439

An example of a customary property right is the rights vested in tribals to carry out
forest activities such as grazing, native cultivation, vegetation, etc. the National Forest
Policy of 1988 recognises certain customary rights of local communities and proposes
that holders of the customary rights must be motivated to identify themselves with the
protection and development of forests from which they derive benefits.

Recorded rights, on the other hand, are formally recognised statutory rights vested in
individuals or communities over a property. They are formally recorded rights documented
in statutory instruments and have a legal backing.

2) Individual and community rights

Individual rights pertain to a situation where rights over a property are vested exclusively
over an individual or a group of individuals who have come together voluntarily. When
an individual or a group of individuals hold absolute rights over a property (if such
absolute right is recognised by the law of the land) or if such right is not recognised ( e.g.
in India where the sovereign holds absolute rights over land) then, limited rights that
are exclusive in nature and vested only upon such an individual or group of individuals).

In case of community rights, the members of a community collectively own a local

resource. The decisions of the use of the resource are made through a community
institution. Though individual members do have their own private rights, but such rights
are regulated by a community institution for the wellbeing of the community as a
whole.

Private Property right regimes are believed to create incentives for the management
of resources. However, they could also encourage erosion of the resources. Many a
times if property regimes are flawed or are not implemented properly, they may fail
miserably to provide solutions to preserve resource erosion. Some experts also argue
that if property laws are more favourable towards the State or individuals, neglecting
the community ownership rights, then erosion of natural resources is inevitable.

3) Easements and Concessions

Easement is a right to access a property for a specific use. Common forms of easement
are for utilities and similar required access. Easement is defined under Section 4 of the
Indian Easement Act, 1882. Section 4 of the Act provides as follows:

Section 4. ‘Easement’ defined. — An easement is a right which the owner or occupier of

certain land possesses, as such, for the beneficial enjoyment of that, to do and continue
to do something, or to prevent and continue to prevent something being done, in or
upon, or in respect of certain other land not his own.

Dominant and servient heritages and owners. — The land for the beneficial enjoyment
of which the right exists is called the dominant heritage, and the owner or occupier
thereof the dominant owner; the land on which the liability is imposed is called the
servient heritage, and the owner or occupier thereof the servient owner.
440 Law and Policies Pertaining to Urbanisation

Explanation: In the first and second clauses of this section the, expression “land” includes
also things permanently attached to the earth; the expression “beneficial enjoyment”
includes also possible convenience, remote advantage, and even a mere amenity; and
the expression “to do something” includes removal and appropriation by the dominant
owner, for the beneficial enjoyment of the dominant heritage, or any part of the soil of
the servant heritage, or anything growing or subsisting thereon.

Illustrations
a) A, as the owner of a certain house, has a right of way over his neighbour B’s land
for purposes connected with the beneficial enjoyment of the house. This is an
easement.
b) A, as the owner of a certain house, has the right to go on his neighbour B’s land, and
to take water for the purposes of his household, out of a spring therein. This is an
easement.
c) A, as the owner of a certain house, has the right to conduct water from B’s stream
to supply the fountain in the garden attached to the house. This is an easement.
d) A, as the owner of a certain house and farm, has the right to graze a certain number
of his own cattle on B’s field, or to take, for the purpose of being used in the house,
by himself, his family, guests, lodgers and servants, water or fish out of C’s tank, or
timber out of D’s wood, or to use, for the purpose of manuring his land, the leaves
which have fallen from the trees in E’s land. These are easements.
e) A dedicates to the public the right to occupy the surface of certain land for the
purpose of passing and re-passing. This right is not an easement.
f) A is bound to cleanse a watercourse running through his land and kept it free from
obstruction for the benefit of B, a lower riparian owner. This is not easement.

Concession is a contractual right to carry out a certain activity in an area, not being
one’s own, such as to explore or develop its natural resources. They are different from
easements since in easements the right to use or access a property is not a contractual
right.

How is land tenure system is made applicable?

A land tenure system is made applicable through effective land administration. Land
administration, whether formal or informal, comprises an extensive range of systems
and processes to administer:

♦ land rights: the allocation of rights in land; the delimitation of boundaries of

parcels for which the rights are allocated; the transfer from one party to another
through sale, lease, loan, gift or inheritance; and the adjudication of doubts and
disputes regarding rights and parcel boundaries.

♦ land-use regulation: land-use planning and enforcement and the adjudication of

land use conflicts.
Urban Property and Land Use Management 441

♦ land valuation and taxation: the gathering of revenues through forms of land
valuation and taxation, and the adjudication of land valuation and taxation disputes.

Information on land, people, and their rights is fundamental to effective land

administration since rights to land do not exist in a physical form and they have to be
represented in some way. In a formal legal setting, information on rights, whether held
by individuals, families, communities, the state, or commercial and other organisations,
is often recorded in some form of land registration and cadastre system. In a customary
tenure environment, information may be held, unwritten, within a community through
collective memory and the use of witnesses. In a number of communities, those holding
informal rights may have “informal proofs” of rights, i.e., documents accepted by the
community but not by the formal state administration.

An enforcement or protection component is essential to effective land administration

since rights to land are valuable when claims to them can be enforced. Such a component
allows a person’s recognised rights to be protected against the acts of others. This
protection may come from the state or the community through social consensus. A
stable land tenure regime is one in which the results of protective actions are relatively
easy to forecast. In a formal legal setting, rights may be enforced through the system
of courts, tribunals, etc. In a customary tenure environment, rights may be enforced
through customary leaders. In both cases, people may be induced to recognise the rights
of others through informal mechanisms such as community pressures. People who know
their rights, and know what to do if those rights are infringed, are more able to protect
their rights than those who are less knowledgeable.

Land administration is implemented through set of rules or procedures to manage

information on rights and their protection, such as:
♦ Procedures for land rights include defining how rights can be transferred from one
party to another through sale, lease, loan, gift and inheritance.
♦ Procedures for land use regulation include defining the way in which land use controls
are to be planned and enforced.
♦ Procedures for land valuation and taxation include defining methodologies for valuing
and taxing land.
Efficient procedures allow transactions to be completed quickly, inexpensively and
transparently. However, in many parts of the world, formal land administration procedures
are time-consuming, bureaucratically cumbersome and expensive and are frequently
non- transparent, inaccessible to much of the rural population, and are handled in
languages and forms that people do not understand. In such cases, high transaction
costs may result in transfers and other dealings taking place off-the-record or informally.

Finally, land administration requires actors to implement the procedures. In customary

tenure regimes, the customary leaders may play the principal role in land administration,
for example, in allocating rights and resolving disputes. In a more formal setting, land
administration agencies may include land registries, land surveying, urban and rural
442 Law and Policies Pertaining to Urbanisation

planning, and land valuation and taxation, as well as the court systems. Where customary
tenure has been recognised by the State, functional linkages are being developed between
government and customary land administration bodies.

23.4 What are Customary Rights and Community Rights?

Modern property rights are based on conceptions of ownership and possession as belonging
to legal persons, even if the legal person is not a natural person. In most countries,
corporations, for example, have legal rights similar to those of citizens. Therefore, the
corporation is a juristic person or artificial legal entity, under a concept that some refer
to as “corporate personhood”.

Since land is a limited resource and property rights include the right to exclude others,
land rights are a form of monopoly. Those without land rights must enter into legal
agreements known as land use agreements with the owners of the land. If a person
enters or makes use of a land not belonging to him, or without a proper land use
agreement, it would amount to trespassing.

Property rights are protected in the current laws of most states, usually by their constitution
or by a legislation. Property rights are defined as a bundle of entitlements defining the
owner’s rights, privileges and limitations for use of a resource. A land can be identified
under two broad property types, namely, Public property and Private property. A public
property is a property owned by state or publicly owned and available possession, a
private property is a property owned by legal persons or business entities.

Protection on right to property is also prescribed under Article 17 of the United Nations’
Universal Declaration of Human Rights as well as in the European Convention on Human
Rights (ECHR), Protocol 1.

For a long time, Private property in India was looked upon with the utmost disdain and
was considered the root cause of disharmony among fellow citizens. However for countries
that have astutely embraced capitalism, property rights form one of the three most
important pillars for running the system successfully, the other two being free trade and
liberty.

If we observe carefully, we will find that the numerous disputes we encounter relating
to resources arise from the fact that no one owns them or perhaps because everyone
owns them, as in the case of public property. It is not difficult to see that people care for
their own property much more than they care for the public property. Many of the
environmental problems we face today, ranging from pollution, the depletion of rainwater
forest or animal species becoming extinct, are largely due to the absence of formal
property rights.

Take India for example. The Indian Constitution does not recognise property right as a
fundamental right. In the year 1977, the 44th amendment eliminated the right to “acquire,
hold and dispose of property” as a fundamental right. However, in another part of the
Urban Property and Land Use Management 443

Constitution, Article 300 (A) was inserted to affirm that “no person shall be deprived of
his property save by authority of law”. The result is that the right to property as a
fundamental right is now substituted as a statutory right. The amendment expanded the
power of the state to appropriate property for “social welfare purposes”.

Common properties are resources, which are accessible to the whole community or
village to which no individual has exclusive ownership or properties right. The common
prosperity resources are subjected to individual use but no individual can own position
over this. Rather, it is used by a number of stakeholders each of whom has an equal right
to use.

The significant of common properties resources lies in their capacity to meet the basic
needs of the villagers. If utilised properly, the common properties resources could generate
substantial income for the villagers. But the main hurdle in this is the absence of ownership
feeling among the villager. Every one’s property becomes no one’s property and to break
this feeling the ownership of the common property should be handed over to a people’s
institution which have social acceptance and legal reorganisation. The success of common
property management through people’s institution is reflected through Haldikundi village
committee.
Land rights and related resource rights are of fundamental importance to the world’s
indigenous people for a range of reasons, including: the religious significance of the
land, self-determination, identity and economics.
Common-pool resource (CPR), also called a common property resource, is a type of
good consisting of a natural or manmade resource system (e.g. an irrigation system or
fishing grounds), whose size or characteristics makes it costly, but not impossible, to
exclude potential beneficiaries from obtaining benefits from its use. Unlike pure public
goods, common pool resources face problems of congestion or overuse, because they
are subtractable. A common-pool resource typically consists of a core resource (e.g.
water or fish), which defines the stock variable, while providing a limited quantity of
extractable fringe units, which defines the flow variable. While the core resource is to
be protected or entertained in order to allow for its continuous exploitation, the fringe
units can be harvested or consumed.
A common property regime is a particular social arrangement regulating the preservation,
maintenance, and consumption of a common-pool resource. The use of the term “common
property resource” to designate a type of good has been criticised, because common-
pool resources are not necessarily governed by common property regimes.
Examples of common-pool resources include irrigation systems, fishing grounds, pastures,
forests, water and the atmosphere. A pasture, for instance, allows for a certain amount
of grazing to occur each year without the core resource being harmed. In the case of
excessive grazing, however, the pasture may become more prone to erosion and eventually
yield less benefit to its users. Because their core resources are vulnerable, common-pool
resources are generally subject to the problems of congestion, overuse, pollution and
potential destruction unless harvesting or use limits are devised and enforced.
444 Law and Policies Pertaining to Urbanisation

The use of many common-pool resources, if managed carefully, can be extended because
the resource system forms a positive feedback loop, where the stock variable continually
regenerates the fringe variable as long as the stock variable is not compromised, providing
an optimum amount of consumption. However, wanton consumption leads to deterioration
of the stock variable, thus disrupting the flow variable for good.

Common-pool resources may be owned by national, regional or local governments as

public goods, by communal groups as common property resources, or by private individuals
or corporations as private goods. When they are owned by no one, they are used as open
access resources. Having observed a number of common pool resources throughout the
world, Elinor Ostrom noticed that a number of them are governed by common property
regimes — arrangements different from private property or state administration — based
on self-management by a local community. Her observations contradict claims that
common- pool resources should be privatised or else face destruction in the long run due
to collective action problems leading to the overuse of the core resource.3

Common property resource management: Pastoral resources are predominantly common

property resources that are by nature difficult to partition. While in some cases community
institutions and conventions govern such resources, in others “open access” can lead to
overuse and degradation. Governments face the choice of individualising the resources
or strengthening community institutions to better govern them. Though simpler,
individualisation excludes many - especially the poor. Community management systems
traditionally protect access rights for the poor, women, pastoralists and others. Because
common property management is more complex, it is important that the state empower
communities through legal provisions, institutional arrangements, and capacity building
for decision-making and enforcement. Also important is ensuring that indigenous systems
— including customary tenure — that contribute to sustainable use of resources are
recognised.

Gender relations: Not only do women produce and prepare food, they also transmit
knowledge and skills relating to food, agriculture and natural resource management.
While often regarded as the keepers of the environment, under many land tenure systems
women do not hold primary rights to land but instead gain access through male relatives.
Security of tenure in private, communal and other forms of land ownership can encourage
women to invest in the land, adopt sustainable farming practices and better take care
of other resources.

Natural resource conflicts: Activity- and actor-led land and natural resource conflicts
are a cause for concern.
Access/Tenure Regimes Governing Forest Areas, Protected Areas and Sanctuaries
In many parts of the developing world, the rural poor increasingly depend on shared
resources for their livelihoods. In such a scenario, there is an increase in tenure systems
and access to land and resources via common property regimes. The common property
3
Tragedy of Commons
Urban Property and Land Use Management 445

regimes are the most desirable of the land tenure systems so as to govern the Forest
Areas, Protected Areas and Sanctuaries.

The common property regimes are defined primarily in terms of collective rights. They
may also represent a range of different rights for both individuals and groups such as
access, withdrawal, management, exclusion, alienation. These multiple rights to the
same resource may also be exercised differently at different times.

A Common-pool resources (CPRs) refer to natural resources where one person’s use
subtracts from another’s use and where it is often necessary, but difficult and costly, to
exclude other users outside the group from using the resource. CPRs refer to the attributes
or characteristics of a resource. Common property is a formal or informal property
regime that allocates a bundle of rights to a group. Such rights may include ownership,
management, use, exclusion, access of a shared resource. The term common property
regime represents a set of institutions, regulations and management practices subject
to collective decision- making. In this sense, the term refers to the kind of tenure
institutions that exist, not the resources themselves. Common property regimes also
contribute to more environmentally sustainable use of natural resources. Environmental
degradation, such as deforestation, may take place where common-pool resources are
not adequately managed. Collective action, and supportive legal or policy frameworks,
may contribute to more sustainable use of the resources from the commons.

Customary law and practice forms the basis of group tenure and collective resource
management in many parts of the world. Customary systems generally have a collective
element to resource management, e.g., forms of group decision-making that determine
access and use, or joint use and management of resources in common areas. These are
the most widely applicable tenure regimes in the Forest areas, Protected areas and the
Sanctuaries.

In practice, most forms of holdings may be found within a given society, for example,
common grazing rights, private residential and agricultural holdings and state ownership
of forests. Customary tenure typically includes communal rights to pastures and exclusive
private rights to agricultural and residential parcels. In some countries, formally
recognised rights to such customary lands are vested in the nation state or the President
“in trust” for the citizens.

In broad terms, land tenure rights are often classified according to whether they are
“formal” or “informal”. There can be perceptual problems with this approach because,
for example, some so-called informal rights may, in practice, be quite formal and secure
in their own context. Despite these perceptual problems, the classification of formal
and informal tenure can sometimes provide the basis for useful analysis.

Formal property rights may be regarded as those that are explicitly acknowledged by
the state and which may be protected using legal means. Informal property rights are
those that lack official recognition and protection. In some cases, informal property
rights are illegal, i.e., held in direct violation of the law. An extreme case is when
446 Law and Policies Pertaining to Urbanisation

squatters occupy a site in contravention of an eviction notice. In many countries, illegal

property holdings arise because of inappropriate laws. For example, the minimum size
of a farm may be defined by law whereas in practice farms may be much smaller as a
result of informal subdivisions among heirs. Property rights may also be illegal because
of their use, e.g., the illegal conversion of agricultural land for urban purposes.

In other cases, property may be “extra-legal”, i.e., not against the law, but not recognised
by the law. In some countries, customary property held in rural indigenous communities
falls into this category. A distinction often made is between statutory rights or “formally
recognised rights” on the one hand and customary rights or “traditional rights” on the
other hand. This distinction is now becoming blurred in a number of countries, particularly
in Africa, which provides formal legal recognition to customary rights. Formal and informal
rights may exist in the same holding. For example, in a country that forbids leasing or
sharecropping, a person who holds legally recognised ownership rights to a parcel may
illegally lease out the land to someone who is landless. These various forms of tenure
can create a complex pattern of rights and other interests. A particularly complex situation
arises when statutory rights are granted in a way that does not take into account existing
customary rights (e.g., for agriculture and grazing). This clash of de jure rights (existing
because of the formal law) and de facto rights (existing in reality) often occurs in already
stressed marginal rainfed agriculture and pasture lands. Likewise in conflict and post-
conflict areas, encounters between settled and displaced populations lead to great
uncertainties as to who has, or should have, the control over which rights. The layers of
complexity and potential conflict are likely to be compounded, particularly where, for
example, state ownership is statutorily declared and state grants or leases have been
made without consultation with customary owners (who are not considered illegal), and
where squatters move illegally onto the land.

Access to land
Access to land for the rural poor is often based on custom. Customary rights to land in
indigenous societies, for example, are usually created following their traditions and
through the ways in which community leaders assign land use rights to the community
members. These rights of access may have their origin in the use of the land over a long
period. They are often rights developed by ancestral occupation and by the use of land
by ancestral societies. In such cases, it is through the act of original clearance of the
land and settlement by ancestors that rights are claimed.
People also use a wide range of strategies to gain access to land. These include:
♦ Purchase, often using capital accumulated while working as migrants in urban areas.
♦ Adverse possession or prescription (the acquisition of rights through possession for
a prescribed period of time). In some countries, this may be the only method for
small farmers to gain formal access to vacant or abandoned land and to bring it into
productive use.
♦ Leasing, or gaining access to land by paying rent to the owner.
Urban Property and Land Use Management 447

♦ Sharecropping, or gaining access to land in return for paying the owner a percentage
of the production.
♦ Inheritance, or gaining access to land as an heir.
♦ Squatting illegally on land.
In addition to such individual strategies, access to land can be provided systematically
through land reform interventions by national governments, often as a result of policies
to correct historic injustices and to distribute land more equitably. Such land reforms
usually occur in situations where much of the land is owned by a relatively small number
of land owners and the land is idle or under-utilised (although it should be noted that
determining whether land is under-utilised depends on the criteria selected for the
assessment). In some countries, land restitution has been an important type of land
reform. Other land reform interventions include land redistribution programmes which
aim at providing the rural poor with access to land and promoting efficiency and
investment in agriculture. These programmes are often, but not always, accompanied
by provision of subsidised agricultural services such as extension and credit. In some
cases, the state has provided access to idle or under-utilised public land but most often
private land holdings have been the source of land for resettlement purposes.

In imposed redistributive land reforms, land is taken from large land holders by the
State and transferred to landless and land-poor farmers. Compensation has been paid to
the original owners in some reforms but not in others. In some cases, the reforms have
benefitted the tenants who worked the land. Such reforms change the structure of land
ownership by transforming tenants into owners but do not change the operational holdings.
In other cases, the reforms have involved the resettlement of beneficiaries on the
expropriated lands and the creation of new farming operations.

Some recent land reform initiatives have been designed so that beneficiaries negotiate
with land owners to purchase land using funds provided by the State in the form of grants
and/or loans. Beneficiaries are usually required to form a group which identifies suitable
land, negotiates the purchase from the seller, formulates a project eligible for state
grants and/or credit, and determines how the land will be allocated among the members
of the group and what their corresponding payment obligations will be.

While there is broad consensus that land reform plays an important role in rural
development where land concentration is high, great controversy surrounds the choice
of mechanisms to transfer land from large land owners to the landless and land poor.
However, this debate is well beyond the scope of this guide to address.
Traditional principles of property rights include:
1) Control and use of the property
2) Right to any benefit from the property (eg: mining rights and rent)
3) Right to transfer or sell the property
4) Right to exclude others from the property
448 Law and Policies Pertaining to Urbanisation

Traditional property rights do not include:

- uses that unreasonably interfere with the property rights of another private party
(the right of quiet enjoyment)
- uses that unreasonably interfere with public property rights, including uses that
interfere with public health, safety, peace or convenience. [See Public Nuisance,
Police Power]
Not every person or entity with an interest in a given piece of property may be able to
exercise all possible property rights. For example, as a lessee of a particular piece of
property, you may not sell the property, because a tenant is only in possession and does
not have title to transfer. Similarly, while you are a lessee, the owner cannot use their
right to exclude to keep you from the property, or, if they do, you may be entitled to stop
paying rent or sue for access.
Further, property may be held in a number of forms, such as through joint ownership,
community property, sole ownership or lease. These different types of ownership may
complicate an owner’s ability to exercise property rights unilaterally. For example, if
two people own a single piece of land as joint tenants then, depending on the law in the
jurisdiction, each may have limited recourse for the actions of the other. For example,
one of the owners might sell their interest in the property to a stranger whom the other
owner does not particularly like.
Legal systems have evolved to cover transactions and disputes that arise over the
possession, use, transfer, and disposal of property, most particularly involving contracts.
Positive law defines such rights, and the judiciary is used to adjudicate and to enforce
property rights.
According to Adam Smith, the expectation of profit from “improving one’s stock of
capital” rests on private property rights. It is an assumption central to capitalism that
property rights encourage their holders to develop the property, generate wealth and
efficiently allocate resources based on the operation of markets. From this has evolved
the modern conception of property as a right enforced by positive law, in the expectation
that this will produce more wealth and better standards of living.
In his text The Common Law, Oliver Wendell Holmes describes property as having two
fundamental aspects. The first is possession, which can be defined as control over a
resource based on the practical inability of another to contradict the ends of the possessor.
The second is title, which is the expectation that others will recognise rights to control
resource, even when it is not in possession. He elaborates the differences between these
two concepts, and proposes a history of how they came to be attached to persons, as
opposed to families or entities such as the church.
Classical liberals, Objectivists and related traditions:
Most thinkers from these traditions subscribe to the labour theory of property. They hold
that you own your own life, and it follows that you must own the products of that life,
and that those products can be traded in free exchange with others.
Urban Property and Land Use Management 449

“Every man has a property in his own person. This nobody has a right to, but himself.”
(John Locke, Second Treatise on Civil Government)

“The reason why men enter into society is the preservation of their property.” (John
Locke, Second Treatise on Civil Government)

“Life, liberty, and property do not exist because men have made laws. On the contrary,
it was the fact that life, liberty, and property existed beforehand that caused men to
make laws in the first place.” (Frederic Bastiat, The Law)

“Just as man can’t exist without his body, so no rights can exist without the right to
translate one’s rights into reality, to think, to work and keep the results, which means:
the right of property.” ( Ayn Rand, Atlas Shrugged)
- Socialism’s fundamental principles are centred on a critique of this concept, stating,
among other things, that the cost of defending property is higher than the returns
from private property ownership, and that, even when property rights encourage
their holders to develop their property or generate wealth, they do so only for their
own benefit, which may not coincide with benefit to other people or to society at
large.
- Libertarian socialism generally accepts property rights, but with a short abandonment
period. In other words, a person must make (more or less) continuous use of the
item or else lose ownership rights. This is usually referred to as “possession property”
or “usufruct”. Thus, in this usufruct system, absentee ownership is illegitimate and
workers own the machines or other equipment that they work with.
- Communism argues that only collective ownership of the means of production through
a polity (though not necessarily a state) will assure the minimisation of unequal or
unjust outcomes and the maximisation of benefits, and that therefore private property
(which in communist theory is limited to capital) should be abolished.

Both communism and some kinds of socialism have also upheld the notion that private
property is inherently illegitimate. This argument centres mainly on the idea that creation
of private property always benefits one class over another, giving rise to domination
through the use of this private property. Communists are not opposed to personal property
that is “hard-won, self-acquired, self-earned” (Communist Manifesto) by members of
the proletariat.

Community-based natural resource management (CBNRM) needs to be institutionalised

to be effective. While the structure of each situation will be different, involving
different sets of actors and interests, there is a need for an institutional framework that
builds upon the shared values of communities while providing positive incentives for
individual action. Four related elements of any institutional framework include:

1) Effective community-based groups, both at the local level and scaled up to the
regional level;
450 Law and Policies Pertaining to Urbanisation

2) Effective operational linkages between the public sector, the private sector, and
community-based groups in management of natural resources;

3) Effective approaches to conflict management with regard to use of natural resources,

at all levels; and,

4) An enabling policy and institutional environment, at macro and micro levels, that
fosters support of existing community-based institutions, or the emergence of new
institutions, to manage natural resources locally.

Successful reform in each of these areas is also dependent on the ability to develop
legitimate fora and process for addressing these issues – processes which have the highest
level of political commitment, which involves all legitimate stakeholders, and which is
transparent and accountable. Such institutional reform processes also needs to be
supplemented by concerted efforts to build human capacity at all levels — from
community- based organisations to central government agencies — both to realise the
above institutional arrangements as well as administer them over time.

23.5 Land Tenure as an Effective Tool for Development

In accordance with the existing conditions, many different land tenure systems have
developed throughout the world, whereby both natural conditions (climate, soil
conditions, topography) as well as social factors (sociocultural values, political ideology,
level of technological development, population trend, changes in the cost price
relationships, etc.) played a role.

The land tenure system must be subjected to a continual process of change. This is
because land tenure system should aim for development and hence must be free of
stagnation. However, due to the fact that land tenure systems are institutionally
established they are sometimes difficult to alter. Political power structures, cooperative
ties and class, cultural, and ethnic interests and motives all work towards maintaining
the established forms.

Changes in the natural growing conditions and economic factors, technological

innovations, changes in the size of the population, and influences emanating from the
political power structures bring about the changes in the land tenure system. As in
recent times these factors have been changing more and more rapidly, the system of
land tenure frequently lags behind the new situation and does not adjust to it on time.
As a result of the continual changes in the factors that govern and form the land tenure
system, an ideal land tenure system cannot exist. A specific land tenure system is therefore
such an institutional framework that is interrelated with the natural, economic, social
and political conditions. As these change, the land tenure system has to continually
adapt itself to the changing situation.

Land tenure is multi-dimensional, bringing into play social, technical, economic,

institutional, legal and political aspects. Land tenure relationships may be well-defined
Urban Property and Land Use Management 451

and enforceable in a formal court of law or through customary structures in a community.

However, there may exist a lot of loopholes in legislations due to poorly defined concepts
with ambiguities that are open to exploitation. These ambiguities may include:
♦ Overriding interests: when a sovereign power (e.g., a nation or community has the
powers to allocate or reallocate land through expropriation, etc.)
♦ Overlapping interests: when several parties are allocated different rights to the
same parcel of land (e.g., one party may have lease rights, another may have a
right of way, etc.)
♦ Complementary interests: when different parties share the same interest in the
same parcel of land (e.g., when members of a community share common rights to
grazing land, etc.)
♦ Competing interests: when different parties contest the same interests in the same
parcel (e.g., when two parties independently claim rights to exclusive use of a
parcel of agricultural land. Land disputes arise from competing claims.)
With the aim of exploring new development opportunities to revitalise rural
communities worldwide, The International Conference on Agrarian Reform and Rural
Development (ICARRD) was organised jointly by the Food and Agriculture Organisation
of the United Nations and the Government of Brazil in Porto Alegre from 7-10 March
2006.

Participants from more than 100 countries reviewed different experiences of agrarian
reform around the world, analysing processes, impacts, mechanisms and participation
schemes, and made proposals for future action. The primary objective of the
conference was to assist the poor people of rural areas of the world by increasing
their access to land and other necessary resources.

The discussion in the world conference on agrarian reform and rural development
2006 was primarily based on three issues. These are as follows:
♦ Adoption of policies and practices for easy access to land, that can eventually
promote agrarian reform.
♦ Development of local capacities with an intention to enhance the agricultural
inputs and agricultural services, that will ultimately boost rural development.
♦ Creation of new opportunities for the rural cultivators and communities of the
world.
The thematic areas of concern covered in the conference were:
1) Basic Elements of a Programme of Action
2) Access to Land, Water, and Other Resources
3) Participation of the Population
4) Integrating Women in Rural Development
452 Law and Policies Pertaining to Urbanisation

5) Access to Inputs, Markets and Services

6) Development of Non-agricultural Activities
7) Education, Training and Extension
8) International Trade
9) Other Measures
Resolution
In world conference on agrarian reform and rural development 2006, the participating
countries primarily agreed upon the following matters:
♦ Establishing a common platform of understanding for discussing agrarian reform
and rural development.
♦ Provision for discussing policy matters and practices on agrarian reform and rural
development to boost partnership and global cooperation among different
countries of the world.

23.6 Agrarian Reforms

Land reform is concerned with rights in land, and their character, strength and distribution,
while agrarian reform focuses not only on these but also a broader set of issues: the class
character of the relations of production and distribution in farming and related enterprises,
and how these connect to the wider class structure. It is thus concerned economic and
political power and the relations between them.4

An Agrarian society is one that is based on agriculture as its prime means for support and
sustenance. The society acknowledges other means of livelihood and work habits but
stresses on agriculture and farming. India has traditionally been an agrarian society.
Even today agriculture is the predominant occupation in India, accounting for about 52%
of employment.

Agrarian reforms are the redistribution of the agricultural resources of a country.

Traditionally, agrarian, or land, reform is confined to the redistribution of land; in a
broader sense it includes related changes in agricultural institutions, including credit,
taxation, rents and cooperatives. Although agrarian reform can result in lower agricultural
productivity, especially if it includes collectivisation, it may increase productivity when
land is redistributed to the tiller. Pressure for modern land reform is most powerful in
the underdeveloped nations.

The concept of agrarian reform refers to changes implemented in the agricultural

economy, changes designed broadly to improve agricultural performance and notably to

4
Ben Cousins, Agrarian reform and the two ‘economies’: transforming South Africa’s countryside, Ch.
9, The Land Question in South Africa: The Challenge of Transformation and Redistribution , HSRC
Press, Cape Town, South Africa (2007).
Urban Property and Land Use Management 453

contribute to the process of economic growth and economic development. It implies to

the changes to an existing system or policies, though the interpretation of change and
the precise boundaries of the agricultural sector are general and broad. Thus characterised,
agrarian reform has been a continuing and important component of the Russian economic
experience. Moreover, the nature of agrarian reform has been closely associated with
the differing stages of Russian economic development and with the role envisioned for
the agrarian economy in the process of industrialisation for a quality social life of the
rural people.

Agrarian reforms in Developing Countries

The problems related to agrarian reform vary according to the social, economic and
political structures of developing countries.
♦ One of the major problems of agrarian reform in developing countries is the lack of
improvement in credit measures, marketing and community development. The
technical experts in these fields also need to function efficiency.
♦ The research and training programme is a vital part of agrarian reform. Lack of
proper training and research limits the prosperity of agrarian reform in developing
countries. Developing regional training and research institutes can be the best
solution for this specific problem. The existing training and research institutes can
take the assistance from FAO (Food and Agriculture Organisation) of the United
Nations.

♦ One of the major problems taking place in developing countries is the lack of proper
implementation of agrarian policies. Despite having a common objective to provide
enough incentives to the cultivators with modern facilities and technologies, these
policies differ according to the physical, historical, climatic and cultural conditions
of a country. A proper implementation of agrarian policies can enhance the social
and economic life of rural people. An universally accepted policy can facilitate land
reform in developing countries. The techniques and procedures should be suitably
implemented while adopting land acquisition and redistribution of a particular
area.

Sometimes due to lack of sufficient marketing and credit facilities, agrarian reform
fails to prosper. Development of co-operatives can be treated as one of the effective
solutions of this specific problem.
The problems of industrialised countries have impeded the proper implementation of
agrarian reforms. The problems are discussed in detail in the following sections.
Agrarian Reform: Problems and Present Scenario in Industrial Countries
Agrarian structural variances exist in many industrial countries of the world that limit
the growth of agrarian system as well as the socioeconomic development of those
countries. The major problems of the industrial countries relating to the implementation
of agrarian reform are as follows:
454 Law and Policies Pertaining to Urbanisation

♦ Negligence: The significance of agrarian reforms in industrial countries is less than

other developing countries of the world. This is because of the fact that in industrial
countries, industries get more importance than other sectors. Industrial countries
have enough necessary technologies, instruments and institutions to implement
agrarian reforms. Despite having these advantages of implementing agrarian reform
step by step, industrial countries neglect this idea of initiating agrarian reform
primarily because of political pressures.

♦ Mechanisation: Rapid growth of mechanisation impede the growth of agrarian

reforms in industrial countries.

♦ Inter-dependence: With the introduction of new technologies, industrial countries

started to use fertilisers, pesticides and high quality seeds. All these farm inputs are
the products of industries. The agricultural sector required to purchase these firm
inputs from industrial sectors and eventually promoted interdependence.
Interdependence restricted the agrarian system to reform independently.

♦ Urbanisation also impeded the growth of agrarian reform in industrial countries.

In most of the industrial countries, industrialisation started to develop much before the
implementation of agrarian system. This was because at the beginning of industrialisation,
the population density was poor leading to low dependence on the agricultural sector
for food or other items.

23.7 Building Bye-Laws

Building bye-laws are tools used to regulate coverage, height, building, bulk and
architectural design and construction aspects of buildings so as to achieve orderly
development of an area. They are mandatory in nature and serve to protect buildings
against earthquake, noise, structural failures and other hazards. In India, there are still
many small and medium sized towns which do not have building bye-laws and in the
absence of any regulatory mechanisms, such towns are confronted with excess coverage,
encroachment and haphazard development resulting in chaotic conditions, inconvenience
for the users, disregards for building aesthetics, etc.

In this regards, the MoHUA has established the Town and Country Planning Organisation
(TCPO). TCPO is a technical arm of the Ministry and is an apex technical advisory and
consultant organisation on matters concerning urban and regional planning strategies,
research, appraisal and monitoring of central government schemes and development
policies. TCPO not only assists the Central Government but also provides assistance to
the State Governments, Public Sector Undertakings and Local Bodies / Development
Authorities on the matters pertaining to urbanisation, town planning, urban
transportation, metropolitan planning, human settlement policies, planning legislation.
The Organisation also undertakes consultancy works on urban development, urban design,
spatial planning, etc., besides, conducting training programme on computer application
Urban Property and Land Use Management 455

in planning, GIS, etc., in collaboration with other national and international agencies.
The major functions of TCPO are :
i) Appraisal and monitoring of central sector projects/programmes.
ii) Advice to the Ministry of Urban Development, Planning Commission and other Central
Ministries in Urban Development policies and strategies.
iii) Technical advice and assistance to State Town and Country Planning Departments.
iv) Undertaking applied research in areas of topical interest.
v) Preparation of Manuals and Guides on various aspects of planning and development.
vi) Organising training programmes, conferences and workshops for in-service planners
and officials in the field of urban and regional planning and development.
vii) Providing consultancy services in planning projects at various levels.
viii) Developing Urban and Regional Information System.
Major on-going and new Schemes
I) Smart Cities Mission
Smart Cities Mission (SCM) was launched on 25 June 2015. It is one of the most
transformational urban missions. The objective of the Mission is to strengthen urban
infrastructure through application of smart solutions and provide a better quality of life
to citizens. Mission focuses on sustainable and inclusive development and the idea is to
look at compact areas, create a replicable model which will act like a lighthouse to
other aspiring cities. The Smart Cities Mission is launched with the purpose to set examples
that can be replicated both within and outside the Smart City, catalysing the creation of
similar Smart Cities in various regions and parts of the country.

Some of the core infrastructure elements in a Smart City would include adequate water
supply, assured electricity supply, sanitation, including solid waste management, efficient
urban mobility and public transport, affordable housing, especially for the poor, robust
IT connectivity and digitalization, good governance, especially e-Governance and citizen
participation, sustainable environment, safety and security of citizens, particularly
women, children and the elderly and health and education.

The strategic components of the Smart Cities Mission are city improvement (retrofitting),
city renewal (redevelopment) and city extension (Greenfield development) plus a Pan-
city initiative in which Smart Solutions are applied covering larger parts of the city.
Area-based development will transform existing areas (retrofit and redevelop), including
slums, into better planned human settlements, thereby, improving liveability of the
whole cities. Development of well-planned and fully serviced new areas (greenfield) will
be encouraged around cities in order to accommodate the rapidly expanding population
in urban areas. Application of Smart Solutions will enable cities to use technology to
improve infrastructure and services.
456 Law and Policies Pertaining to Urbanisation

As such, comprehensive development in this way will improve quality of life, create
employment and enhance incomes for all, especially the poor and the disadvantaged,
leading to inclusive cities.

Selection Process
i) The selection process of Smart Cities is based on the idea of Competitive and Co-
operative Federalism and follows a Challenge process to select cities in two stages.
ii) In January 2016, based on the All India Competition, 20 smart cities were selected
in Round 1. 13 more Smart Cities were selected in May 2016 in fast track round.
iii) In Round 2, 63 potential smart cities participated of which, 27 Smart Cities have
been selected in September 2016.
iv) In Round 3, 45 potential smart cities participated of which, 30 Smart Cities have
been selected in June 2017.
v) In Round 4, 15 potential smart cities participated of which, 9 Smart Cities have
been selected in January 2018.
vi) A total investment of Rs.2,01,981 crore has been proposed by the 99 cities under
their smart city plans. Projects focusing on revamping an identified area (Area
Based Projects) are estimated to cost Rs. 1,63,138 crore. Smart initiatives across
the city (Pan City Initiatives) account for the remaining Rs. 38,841 crore of
investments.
vii) The implementation of the Smart Cities Mission is done by a Special Purpose Vehicle
(SPV) to be set up at city level in the form of a limited company under the Companies
Act, 2013 and will be promoted by the State/UT and the Urban Local Body (ULB)
jointly both having 50:50 equity shareholding. After selection, each selected Smart
Cities have to set up SPVs and start implementation of their Smart City Proposal,
preparation of Detailed Project Reports (DPRs), tenders etc.
viii) The SPV will convert the Smart City Proposal into projects through Project
Management Consultants (PMCs) and implementation thereafter.

II) Atal Mission for Rejuvenation and Urban Transformation (AMRUT): The Mission will
focus on the following Thrust Areas - Water Supply, Sewerage and septage
management, Storm Water Drainage to reduce flooding, Non-motorized Urban
Transport and Green space/parks.

The purpose of AMRUT is to

a) Ensure that every household has access to a tap with the assured supply of water
and a sewerage connection.
b) Increase the amenity value of cities by developing greenery and well maintained
open spaces (e.g. parks) and
Urban Property and Land Use Management 457

c) Reduce pollution by switching to public transport or constructing facilities for non-

motorized transport (e.g. walking and cycling). All these outcomes are valued by
citizens, particularly women, and indicators and standards have been prescribed by
the Ministry of Housing and Urban Affairs (MoHUA ) in the form of Service Level
Benchmarks (SLBs).

III) Heritage City Development and Augmentation Yojana (HRIDAY): The MoHUA launched
the National HRIDAY scheme on 21st January, 2015 with a focus on holistic
development of heritage cities. This scheme aims to preserve and revitalise soul of
the heritage city to reflect the city’s unique character by encouraging aesthetically
appealing, accessible, informative & secured environment.

The main objective of HRIDAY is to preserve character of the soul of heritage city
and facilitate inclusive heritage linked urban development by exploring various
avenues including involving private sector. Specific objectives are:
♦ Planning, development and implementation of heritage sensitive infrastructure.
♦ Service delivery and infrastructure provisioning in historic city core areas.
♦ Preserve and revitalize heritage wherein tourists can connect directly with
city’s unique character.
♦ Develop and document a heritage asset inventory of cities – natural, cultural,
living and built heritage as a basis for urban planning, growth and service provision
& delivery.
♦ Implementation and enhancement of basic services delivery with focus on
sanitation services like public conveniences, toilets, water taps, street lights
with use of latest technologies in improving tourist facilities/amenities.
♦ Local capacity enhancement for inclusive heritage-based industry.
♦ Create effective linkages between tourism and cultural facilities and also the
conservation of natural and built heritage.
♦ Urban heritage adaptive rehabilitation and maintenance, including appropriate
technologies for historic buildings retrofitting.
♦ Establish and manage effective public private partnership for adaptive urban
rehabilitation.
♦ Development and promotion of core tangible economic activities to enhance
avenues of livelihoods amongst stakeholders. This would also include necessary
skill development amongst them including making public spaces accessible and
developing cultural spaces.
♦ Making cities informative with use of modern ICT tools and making cities secure
with modern surveillance and security apparatus like CCTV etc.
♦ Increase accessibility i.e. physical access (roads as well as universal design) and
intellectual access (i.e. digital heritage and GIS mapping of historical locations/
tourist maps and routes).
458 Law and Policies Pertaining to Urbanisation

IV) Swachh Bharat Mission (Urban): Swachh Bharat Mission Urban is being implemented
by the Ministry of Housing and Urban Affairs. The mission covers all Statutory towns.
The objective of the mission are:
♦ Elimination of open defecation
♦ Eradication of Manual Scavenging
♦ Modern and Scientific Municipal Solid Waste Management
♦ To effect behavioural change regarding healthy sanitation practices
♦ Generate awareness about sanitation and its linkage with public health
♦ Capacity Augmentation for ULBs to create an enabling environment for private
sector participation in Capex (capital expenditure) and Opex (operation and
maintenance)
The estimated cost of implementation of SBM (Urban) based on unit and per capita costs
for its various components is Rs. 62,009 Crore. The Government of India share as per
approved funding pattern amounts to Rs. 14,623 Crore. In addition, a minimum additional
amount equivalent to 25% of GoI funding, amounting to Rs. 4,874 Crore shall be contributed
by the States as State/ULB share. The balance funds is proposed to be generated through
various other sources of fund which are, but not limited to:
♦ Private Sector Participation
♦ Additional Resources from State Government/ULB
♦ Beneficiary Share
♦ User Charges
♦ Land Leveraging
♦ Innovative revenue streams
♦ Swachh Bharat Kosh
♦ Corporate Social Responsibility
♦ Market Borrowing
♦ External Assistance
Swachh Bharat Mission (Urban) has a three-tier mission management structure – National
level, State level and ULB level.
V) Pradhan Mantri Awas Yojana (Urban) [PMAY (U)]
Pradhan Mantri Awas Yojana (Urban) was launched on 25 June 2015 for ensuring housing
for all in urban areas providing pucca houses to all eligible beneficiaries by 2022. The
Mission provides Central Assistance to implementing agencies through States/Union
Territories (UTs) and Central Nodal Agencies (CNAs) for providing houses to all eligible
families/ beneficiaries against the validated demand for houses for about 1.12 cr.
Urban Property and Land Use Management 459

PMAY(U) has made a mandatory provision for the female head of the family to be the
owner or co-owner of the house under this Mission. A basket of options is adopted to
ensure more number of people depending on their income, finance and availability of
land through following four options.
1) “In-situ” Slum Redevelopment (ISSR)
2) Credit Linked Subsidy Scheme (CLSS)
3) Affordable Housing in Partnership (AHP)
4) Beneficiary-led individual house construction/enhancements (BLC)
A beneficiary under PMAY (U) is defined as a family comprising of husband, wife and
unmarried children. Such beneficiary should not own a pucca house either in his / her
name or in the name of any member of his / her family in any part of India to receive
Central Assistance under the Mission. Person having pucca house less than 21 sqm may be
included under enhancement of existing house Adult earning member irrespective of
marital status are also eligible. EWS category of beneficiaries is eligible for Assistance in
all four verticals of the Missions whereas LIG/MIG category is eligible under only CLSS
component of the Mission NHB, HUDCO and SBI have been identified as Central Nodal
Agencies (CNAs) to channelize this subsidy to the lending institutions and for monitoring
the progress of this component. Ministry may notify other Institutions as CNA in future.

VI) Integrated Development of Small and Medium Towns

Since 1979-80, the Centrally Sponsored Scheme of Integrated Development of Small and
Medium Towns (IDSMT) is in operation in all states and UTs. It aims at the development
of selected regional growth centres with infrastructure and service facilities so as to
enable such towns to emerge as regional centres of economic growth and employment
opportunities and arrest migration from rural areas and small towns to large and
metropolitan cities. Since inception of the scheme till end of the financial year 2004-05
central assistance of Rs. 850.49 crores has been released to 1854 towns. In addition, Rs.
24.05 crores have also been released to 1202 towns under Central Urban Infrastructure
Support Scheme (CUISS). A status report on IDSMT 2004-05 highlighting the salient features
of the scheme, component wise progress for each state and UT upto 31.03.2005 is
available with TCPO.

VII) Urban Infrastructure Development Scheme for Small and Medium Towns (UIDSSMT)
Urban infrastructure Development Scheme for Small and Medium Towns was launched
on 3.12.2005 for improvement of urban infrastructure in towns and cities in a planned
manner. It subsumed the erstwhile schemes of Integrated Development of Small and
Medium Towns (IDSMT) and Accelerated Urban Water Supply Programme (AUWSP). The
main thrust of the Scheme is on planned and integrated development of small and
medium towns. The Scheme envisages to improve the urban governance so as to make
the Urban Local Bodies financially sound with enhanced credit rating to access the
resources from the market for undertaking new programmes and expansion of services.
As part of JNNURM, in order to access the Additional Central Assistance under the scheme,
460 Law and Policies Pertaining to Urbanisation

mandatory reforms at Urban Local Bodies/parastatal/state level and the optional reforms
at the state/ULB/parastatal level are required to be implemented.
The objectives of the scheme are to:
♦ Improve infrastructural facilities and help create durable public assets and quality
oriented services in cities and towns.
♦ Enhance public-private-partnership in infrastructural development and. Promote
planned integrated development of towns and cities.
The duration of the Scheme is seven years beginning from 2005-06. All the cities / towns
as per 2001 census, except those covered under Jawaharlal Nehru National Urban Renewal
Mission (JNNURM), are eligible to be covered under the Scheme. The components for
assistance under the scheme include all urban infrastructure development projects
including water supply and sewerage. Land cost will not be financed except for acquisition
of private land for schemes/projects in the North Eastern States and hilly States viz.
Himachal Pradesh, Uttaranchal and Jammu & Kashmir.
Admissible Components:
i) Urban Renewal i.e. redevelopment of inner (old) city areas [this would include
items like widening of narrow streets, shifting of industrial/commercial
establishments from ‘non-conforming (inner-city) to conforming’ (outer-city) areas
to reduce congestion, replacement of old and worn-out water pipes by new/ higher
capacity ones, renewal of sewerage/drainage/solid waste disposal systems, etc.
ii) Water Supply (including de-salination plants) and sanitation
iii) Sewerage and Solid Waste Management
iv) Construction and improvement of drains/storm water drains
v) Construction/Upgradation of roads, highways/expressways
vi) Parking lots/spaces on Public Private Partnership basis
vii) Development of heritage areas
viii) Prevention and rehabilitation of soil erosion/landslides only in case of Special
Category States where such problems are common and,
ix) Preservation of water bodies.
Inadmissible Items:
i) Power and telecommunication works,
ii) Rolling stock like buses and trams,
iii) Health and educational institutions,
iv) Urban Transport (MRTS, LRTS etc.),
v) Wage employment programme and staff component,
vi) Maintenance works While sanctioning projects for slum improvement.
Urban Property and Land Use Management 461

State Level Sanctioning Committee would ensure that there has not been any duplication
of efforts from other sources. For this purpose the implementing agencies are required
to submit requisite certificate.
Financing Pattern: The sharing of funds is in the ratio of 80:10 between Central Government
and State Government and the balance 10% could be raised by the nodal/ implementing
agencies from the financial institutions. Implementing agencies may substitute internal
resources for funds to be raised from financial institutions. However, in case of cities/
towns in North Eastern States and Jammu & Kashmir sharing of funds would be in the
ratio of 90:10 between Central and State Government.

Release of Central Assistance: Central assistance (grant) released will go directly to the
nodal agencies identified by the State Government as Additional Central Assistance.
Release of Central share to nodal agency will be in two instalments and will depend on
availability of State share and submission of utilisation certificates within 12 months of
the closure of the financial year in accordance with the provisions of General Financial
Rules.
The criteria for release of funds is as under:
♦ 50% of the Central share will be released on signing of Memorandum of Agreement
with the State Level Nodal Agency, after ascertaining availability of State Share.
♦ Balance 50% of the Central share would be released on submission of Utilisation
Certificates by Nodal Agency for 70% of funds (Central and State grants) released
earlier.
State Level Nodal Agency will, however, release funds in the following manner:
♦ 25% of Central grant on ascertaining availability of State share;
♦ Balance Central grant after release of State grant and after assessment of progress
of implementation of reforms.
Since inception (as on 31-03-09), 969 projects in 783 towns of 27 States and 3 UTs have
been approved for total project cost of Rs.19842.72 crores by the respective State Level
Sanctioning Committees. Out of these, 747 projects in 631 towns across 26 States and
2 UTs at a total cost of Rs. 12777.80 crores have been approved for release of funds. An
amount of Rs. 5820.70 crores has been released as Central Share till 31.03.09.
National Urban Information System (NUIS): Ministry of Urban Development has launched
National Urban Information System (NUIS) Scheme on pilot basis to develop GIS databases
for 137 towns/cities in the country in two scales i.e., 1:10000 and 1:2000. In addition,
utility mapping on 1:1000 scale will also be undertaken for 24 towns. The total number
of towns under NUIS Scheme are now 152 due to addition of towns from J&K, Sikkim,
Tripura and dropping of town from NCT Delhi, Tamil Nadu, and Uttar Pradesh. The major
objectives of the Scheme are to:
i)) develop attribute as well as spatial database for various levels of urban planning,
ii) use modern data sources,
462 Law and Policies Pertaining to Urbanisation

iii) develop standards,

iv) develop urban indices, and
v) capacity building.
The NUIS Scheme comprises two major components, a) Urban Spatial Information System
(USIS) to meet the spatial (map/images, data/information), requirements of urban
planning for routine functions and (b) National Urban Databank and Indicators (NUDBI)
to develop town – level urban database to support development of indices through a
network of Local Urban Observatories (LUO) under the National Urban Observatory (NUO)
programme.

Digital maps and GIS Database created under the Scheme will be useful for the following
purpose:
i) Preparation of Master Plan and Zonal Plan
ii) Disaster Management Plan for towns
iii) Traffic Management System
iv) Operation and management of water supply and sewerage system.
152 towns/cities will be covered under NUIS Scheme and the cost to be shared by the
Center and the State in the ratio of 75:25. Generation of digital maps and GIS database
under this scheme is being outsourced to Survey of India which would undertake the job
jointly with National Remote Sensing Agency (NRSA). The Town and Country Planning
Organisation under the Ministry of Urban Development is the nodal agency for
implementation and review of the Scheme.

Five meetings of Monitoring and Implementation Group, one TAC meeting and one review
meeting was held for implementation of NUIS Scheme during the financial year 2008-09.
32 States (including 5UTs) have released the State share for mapping and generation of
GIS databases to Survey of India. Tamil Nadu, NCT Delhi and Uttarakhand have been
dropped from the Scheme. First instalment of Central Share has been released for HW /
SW and NUDBI for 2 States and 2nd instalment for HW/SW for 8 States during 2008-09.
Scheme for Urban Infrastructure Development in Satellite Towns/Counter Magnets of
Million Plus Cities: It is a proposed scheme and in during the financial year 2008-09 a
token provision of Rs. 5.00 crores was made. Draft Guidelines of the Scheme has been
prepared and a national level consultation was held at Chennai in collaboration with
Tamil Nadu Urban Finance Infrastructure and Development Corporation (TUFIDCO) in
which various stakeholders participated.
Integrated Development of Small and Medium Towns (IDSMT) Scheme: The Scheme has
been subsumed in the new scheme of Urban Infrastructure Development Scheme for
Small and Medium Towns (UIDSSMT) since 2005-06 and no allocation is provided in the
current financial year under the Scheme. The residual work under the Scheme is being
attended and UCs for Rs. 29.17 crores have been realised from the State Governments
upto 31.03.2009.
Urban Property and Land Use Management 463

Studies on ‘Selected Demographic and Socio-economic Indicators of States and UTs in

India – 2001’; ‘Households having Toilet facilities in cities and towns of India’ and
‘Households having electricity connection in cities and towns of India’ based on 2001
Census were completed. Studies on Urban Land Price Scenario in Kolkata and Mumbai
are in progress. Perspective Plan for Bageshwar District (Uttarakhand) is also in
progress. Initiated work on Draft Interim Development Plan for Bhubaneshwar – Khurda
Corridor. Work for revising the Toolkit for City Development Plan under JNNURM was
initiated.

Technical inputs were provided for the meetings of Board of Approval for Special Economic
Zone (SEZ) and also for Industrial Parks. Technical inputs provided on various issues
related with urbanisation matters, Urban Development policies, ADB and World Bank
funded projects, Hi-tech cities, implementation of geographical distribution of minorities
in India, Backward Region Grant Fund (BRGF), setting up of National Commission on
Urbanisation (NCU), formulation of Model Town and Country Planning Act, Disaster
Management, Center of Excellence in the field of Urban Development and Transport,
proposal for Japanese Development Study and technical Cooperation Programme for the
year 2007-08, The Maharashtra Housing Sector Regulatory Commission Bill, 2008, National
Policy on Older Persons, project proposal on ‘Urban Water Supply and Environmental
Improvement in 14 towns of Orissa’; amendment to Model Regulation/bye-law circulated
to States/UTs to assist Municipal Corporation/Municipalities in revising their bye-laws
to make the use of solar water heaters mandatory in certain categories of buildings;
National Policy on the Voluntary Sector – 2007, Guidelines for sanction and implementation
of projects out of 10% lump sum provision for the benefit of NE Region including Sikkim,
draft note for the cabinet on National Urban Sanitation Policy, National Policy on Disaster
Management, Manual for Integrated District Planning, The Maharashtra Special Economic
Zone and Designated Areas Ordinance Bill, 2008, draft Cabinet Note on Conservation of
Energy and various other issues covering urban development.

VIII) Urban Mapping Scheme

Perspective Plan for Dandakarnya: The Urban Mapping Scheme was initiated during the
VIII Five Year Plan to prepare large-scale base maps of towns/cities using aerial
photography. Under the scheme 53 towns from different States were covered in two
phases. During the first phase 25 towns from 7 States and during the second phase 28
towns from 19 States have been covered in consultation with the State Governments.
The total work of aerial photography and mapping for all the 53 towns has been completed
and maps generated under the scheme have been sent to the respective State Town
Planning Departments which are being used for urban planning and other related purposes.
Out of 53 towns, 28 towns covered in the second phase are also available in digital
format. Further, to test the efficacy of the maps generated under the scheme, two towns
viz. Khammam and Nainital have been taken up as pilot studies for generation of GIS
database to enable preparation of Master Plan. The total cost of the scheme for all the
53 towns worked out to Rs 20.19 Crores.
464 Law and Policies Pertaining to Urbanisation

IX) National Urban Information System (NUIS)

During the Tenth Five Year Plan, the Urban Mapping Scheme has been discontinued and
subsumed in the new scheme of National Urban Information System (NUIS) Scheme.
Under NUIS it is proposed to cover 137 towns at an estimated cost of Rs. 66.28 crores.
Under the scheme, funding will be in the ratio of 75:25 between Central Government and
State Government. TCPO is the nodal agency to implement the NUIS Scheme.
The NUIS comprises broadly two major components with independent but related
objectives, strategies and budget under a single umbrella i.e., Urban Spatial Information
System Scheme (USIS) National Urban Data Bank and Indicators (NUDBI)
The National Urban Databank and Indicators component will further comprise the following
two sub-components (1) Housing and Household Statistics, and (2) National Urban
Observatory/Local Urban Observatories addressing the indicators aspect. The scheme
has been approved by the Government and operationalised.

X) Permanent Settlement Plan for Tsunami Affected Areas in A&N Islands

As directed by the Ministry, TCPO as a member of the central team, has surveyed and
prepared layout plans for Permanent Settlements for Tsunami affected areas in Little
Andaman, Car Nicobar, Southern group of Islands, and Great Nicobar of A&N Islands.

XI) A Comparative Study on Planning Norms, Building Bye-Laws, Tariff Structure, Land
Assembly and Resource Mobilisation for selected Metropolitan Cities, (1999)
This study was a comparative study among the nine metropolitan cities with regard to
Planning Norms, Building Bye-Laws, Tariff Structure, Land Assembly and Resource
Mobilisation. It is a useful document which gives details of all these relevant issues of
urban planning and development for metropolitan cities. The study was funded by Ministry.

XII) Building Bye-Laws for NCT Delhi, 2003 (Draft)

On the request of the Ministry, Building Bye-Laws for NCT Delhi, 2003 (Draft) was prepared
by a Committee constituted for this purpose under the Chairmanship of CP, TCPO. As the
building bye-laws of NCT Delhi, 1983 have number of amendments in the recent past,
it was felt that the same may be revised/updated duly incorporating provisions for
structural safety of buildings, rain water harvesting, barrier free environment for disabled
and elderly persons.

XIII) Comparative Transportation Profile in Metropolitan Cities (Draft), 2003

A comparative transportation profile for selected metropolitan cities was prepared
highlighting important transportation issues in these cities.

XIV) Model Building Bye-Laws, 2004

The Model Building Bye-Laws was prepared to act as guide to State Town Planning
Departments and Development Authorities to adopt the same as per their requirements
and local conditions.
Urban Property and Land Use Management 465

Building bye-laws are a set of standards used to regulate various facets of a building
everything from its design to its safety features. In these ‘Model Building Bye-Laws’, the
Town and Country Planning (TCPO) under the MoUD has created a guide for State
Governments, Urban Local Bodies, Development Authorities to help them play a more
effective role in enforcing the implementation of the master plans.

In the Indian context, this model bye-law comes at a time when there is rapid urbanisation
happening without a regulatory mechanism and the 74 th Constitutional Amendment
empowers local bodies to prepare and enforce master plans for orderly development of
urban areas. The ‘Model Building Bye-Laws’ contains eight chapters:
1) Definitions
2) Jurisdiction and applicability of the building bye-laws
3) Development code pertaining to residential and non-residential premises
4) General building requirements
5) Structural safety and services
6) Special requirements for occupancy/land development
7) Fire protection and fire safety requirements
8) Conservation of heritage sites including heritage buildings, heritage precincts and
natural feature areas
Each chapter is broken down to into sections to ensure that the bye-laws cover various
aspect of building design, maintenance and safety.

Definitions: The first chapter provides definitions of various legal, municipal architectural
and building terminology. These definitions help in understanding various terms used in
the bye-laws and also in ensuring the letter and spirit of the law is followed during its
implementation.

Jurisdiction and applicability of the building bye-laws: The jurisdiction of these bye-
laws are dealt with in the second chapter. These laws are applicable to buildings being
constructed, change of use/occupancy of building, reconstruction of a building or a
part of it. There are separate sections for each case. The bye-law clarifies that existing
structures that are lawfully established would not need to undergo removal, alteration,
etc. The chapter also has a section on the procedure for obtaining a building permit. The
procedure includes giving a notice in writing to the Authority responsible indicating the
intent. Along with this notice copies of plans also have to be submitted along with
documents such as sale/lease deed and approvals from various government agencies.
These approvals depend on the type, nature and use of the building. Thus in case of a
hazardous building, the approval of the Chief Controller of Explosives and Chief Fire
Officer is sought.
Some of the other documents that have to be submitted include a certificate of supervision
and execution of drainage/sanitary works. The Annexures provides the prescribed formats
466 Law and Policies Pertaining to Urbanisation

in which these documents have to be submitted. The chapter also has sections on
procedure during construction work, notice of completion, occupancy and completion
certification, etc.

Development code pertaining to residential and non-residential premises: This chapter

of the bye-laws deals with regulation of buildings within a premises. The topics covered
include use, open space, height, number of dwelling units, parking standards for residential
premises, resettlement of ‘jhuggi jhonpri’ etc. The section on development standards
for hill towns lists out the factors that need to be taken into consideration for space
standards. These include sunlight, degree of slopes, conservation principle, energy needs,
communication networks etc. In the context of parking, a chart is provided which details
the Equivalent Car Space (ECS). Thus for a residential area with group housing where
plots are above 250 sqm the ECS is 0.50-1.50 per sq m of floor space. The chart has ECS
for different types of commercial areas, public and semi-public facilities and industries.
The development code for specific types of premises forms part of the chapter. For
residential areas, density pattern is followed to work out the pattern of development
with respect to the size of the plot, number of dwellings etc. In the case of buildings
within a residential zone factors such as FAR, height are to be taken into consideration.
While in case of plotted development, points such as sufficient light and air in buildings,
protection against noise and dust, open space are kept in mind.

There is chart prepared for plotted housing which looks into type of housing, FAR, height,
etc. Guidelines for group housing, resettlement and jhuggi jhonpri in situ upgradation,
low income housing, non-residential premises (foreign missions), dharamshala, baratghar,
petrol pumps, night shelter, bus stops, swimming pools, etc. form part of this chapter.

General building requirements: This chapter deals with space requirements of various
parts of the building. This depends on occupancy load and purpose of the building. For
example, the plinth or any part of a building or outhouse, has to be located with respect
to average road level in a manner to provide adequate drainage of the site but not at
a height less than 45 cm.

A table provides the minimum size of different parts of a residential premises for different
sizes of plots. For a plot less than 50 m the minimum area of a habitable room is 7.50
sq m, while for a plot larger than 50 m it is 9.50 sq m. The size of doorways, staircases,
canopy, projections, etc. are part of this table. In the case of group housing the space
is the same as for an independent plot. The chapter also has other requirements for
different areas of a residential premises. Thus a kitchen should have at least one
window and its floor should be made of impermeable material. While a bathroom and
WC will be situated to ensure that at least one of its walls open to external air. There are
such requirements for basement, loft, mezzanine, and garage. In case of building sites,
there are recommendations for the distance from building sites and minimum size of
sites. There is also a section on means of access which categorically states that no
building will be constructed to deprive an existing building of a means of access. This
section also provides details of the width of road which abuts a building. Sections on exit
Urban Property and Land Use Management 467

requirements, staircase requirements, doorways, open space area and height limitation,
lighting and ventilation of rooms etc.

Structural safety and services: This chapter has its headquarters in the National Building
Code of India and the Bureau of Indian Standards. The bye-law suggests that the per-
capita water requirements for various uses and different types of buildings varies - in
case of a hotel it is 180 litters per person, while in the case of a day school it is 45 litters
per person. The water requirements for hospitals, different type of train stations, storage
facilities, airports, etc. are provided. Similarly flushing storage capacities are suggested
in another table. The chapter has tables to suggest sanitation requirements for different
types of buildings. This chapter makes special mention of water harvesting and other
water conservation techniques. It states that all plots of 100 sq m and above will need
to have water harvesting structures. Also buildings with a discharge of 10,000 litres and
above will incorporate a wastewater recycling system. The chapter also lists out the
types of buildings that will need to have solar water heaters, these include hostels with
more than 100 students, individual residential areas with plinth of more than 150 sq m,
railways station, etc.

Special requirements for occupancy, land development: Requirements for factories,

educational buildings, assembly buildings, petrol filling stations, burial and cremation
grounds etc. are indicated here. In case of factories, provisions under the Factories Act
will have to be followed while in case of assembly buildings like cinema halls relevant
provisions of the Cinematographic Rules/Acts will be applicable.

Fire protection and fire safety requirements: As the title suggests, this chapter covers
the requirements for fire protection for multi-storied buildings and buildings which are
15 m and above in height and low occupancy buildings like assembly, educational, business
etc. These requirements work in tandem with other bye-laws found in Chapter 4. The
procedure for getting clearance from the fire department is suggested here. Three sets
of building plans along with the prescribed fee are to be sent to the Chief Fire Officer
after ensuring the plans are in line with master/zonal Plan. The format for providing
information on the various fire safety measures is provided in the annexure of the bye-
laws.

The Chief Fire Officer has to examine the plans, approve them and send it for
implementation. Once completed the Chief Fire Officer will provide a “No Objection
Certificate” from a fire safety and escape point of view. This fire clearance will be
reviewed on an annual basis for particular types of buildings like hotels, hospitals, etc.

Conservation of heritage sites including heritage buildings, heritage precincts and natural
feature areas: This chapter of the bye-laws is applicable to all buildings, heritage sites,
sacred groves, scenic beauty spots etc., that are listed in government notifications and
listed in the Master Plan. The chapter begins with a definition of different concepts like
heritage building, heritage site, conservation, preservation, restoration, reconstruction.
It then moves to the responsibilities of the owner of a heritage buildings. The
responsibilities include repair and maintenance of the building. However repairs,
468 Law and Policies Pertaining to Urbanisation

redevelopment etc. have to be carried out after permission from Commissioner of

Municipality. There are other caveats which have to be followed such as involvement
of the public prior to alteration of such buildings etc. The chapter also lists out the role
of the Heritage Committee and its composition. This committee will include members
of the PWD, structural engineers, environmentalists, historians, chief town planners
from different departments and representatives from state archaeological department.
The terms of reference of the committee include:
♦ Advising Municipal Commissioner on granting development permission
♦ Preparing supplementary list of heritage sites
♦ Prepare supplementary guidelines on conservation principles
The bye-laws end with a list of annexures that pertain to various forms that need to be
filled, when filing for application to make a building.

23.8 References and Recommended Readings

Upadhyay Videh: Customary Rights over Tanks – Some Plain Talking on Limits of Customs,
Economic and Political Weekly, November 1, 2003.

Section 44 of the Punjab Land Revenue Act. There are Court judgments that make clear
that Entries in the record of rights made or authenticated at a regular Settlement shall
be presumed to be true.

Section 4 of the Indian Easements Act, 5 of 1882. Land Acquisition Act and Easements Act.
Urban Property and Land Use Management 469

UNIT 24
LAND CONSUMPTION AND
COMMUNITY DEVELOPMENT
Contents
24.1 Introduction 469
24.2 History of Land Acquisition in India 474
24.3 The Land Acquisition (Amendment) Act, 1984 476
24.4 The Land Acquisition (Amendment) Act, 2007: An Analysis 479
24.5 The Right to Fair Compensation and Transparency in Land Acquisition, 484
Rehabilitation and Resettlement Act, 2013
24.6 Land Acquisition and Resettlement 489
24.7 Urban Community Development in India 491
24.8 References and Recommended Readings 492

24.1 Introduction
As we have seen in the last unit Land Tenure is a political, economic social and legal
institutional structure that determines:
♦ How individuals and groups secure access to land and associated manage land
resources. The resources include trees, minerals, pasture, and water.
♦ Who can hold and use these resources, for how long and under what conditions.
Land tenure may also have both spatial and temporal dimensions and are typically
defined through statutory or customary law. Normally, the sovereign holds the land in its
own right. All private owners are either its tenants or sub-tenants, but their rights are
as good as ownership rights. This system is prevalent in India as well. The term “tenure”
is used to signify the relationship between tenant and lord, not the relationship between
tenant and land.
Another significant term here is Land Policy. Land Policy is the tool employed to outline
a set of goals and measures for meeting objectives related to land: tenure, use,
management, property rights and administration and administrative structures. Land
policy is formulated keeping in mind the development goals. It is linked to various other
policies such as agriculture policy, housing policy, urban policy, rural policy, forest policy,
etc. It concerns itself with sustainable and optimum use of resources.
470 Law and Policies Pertaining to Urbanisation

The next step in consumption of land as a resource involves Land Management. Land
Management is the process of managing the use and development of land resources in a
sustainable way, in urban, suburban, rural as well as other lands. Land resources are
used for a variety of purposes which interact and may compete with one another;
therefore, it is desirable to plan and manage all uses in an integrated manner.

In India, more than 600 million people amounting to about 70% of the population depend
directly on the land and environment for survival. Land is the life resource of the majority
of people whose subsistence directly depends on the water, forests and the soil. The
urban poor on the other hand, live in communities that have been settled for a substantial
period of time. Development of the community includes access to a means of livelihood,
to education, to health care, all of which stand to be disrupted in cases of eviction.
Certain land and resource tenure systems have been identified so as to secure land
rights of the underprivileged sections of the society. Some rights have been recognised
for the sustainable and optimum use of the limited resources such as land. They are:
♦ Customary and recorded rights
♦ Individual and community rights
♦ Easements and Concessions
Government regulations or practices contributing to a decrease in land supply:
♦ Urban Land ceiling act
The major effect of the urban land ceiling act has been to freeze large areas of land in
legal disputes. These areas are not available for development or redevelopment. An
additional negative impact of the act was to prevent private developers to assemble
land for subsequent development. The act gave a de facto monopoly on land development
to government developers such as housing boards or Development Authorities.

♦ Rent control
The effect of rent control on the supply of new rental stock is obvious and well
documented. However rent control laws have also an effect on land supply and city
shape. Rent control contributes to a decrease in land supply because buildings which are
under rent control cannot be redeveloped or even renovated. Many rent controlled
buildings are very old and by necessity badly maintained, even in some cases, in Mumbai
for instance, structurally unsound. But no redevelopment can occur until the tenants
voluntarily move out the building. Rent control creates the perverse incentive for
landlords to see their property deteriorate or even collapse. Until this happen,
development has to bypass the areas under rent control which constitute a form of
“frozen” land as far as development is concerned.
♦ Regulations preventing or slowing down the conversion of land from one use to
another
Any change of use, even when approved by Master plans, requires lengthy approval to
become effective. This is particularly serious at the periphery of cities where land has
Urban Property and Land Use Management 471

to be converted from agricultural to urban use. Change of land use within cities is also
long and cumbersome resulting in pockets of “dead land”. For instance, obsolete cotton
mills in Mumbai and Ahmedabad are still occupying large areas of land in central location,
although there is a consensus that it is neither environmentally desirable nor economically
feasible to put back these mills into operation.

♦ Master plans ignoring real estate demand

Master plans allocate land between various uses and limit the amount of floor space
which can be built on specific parcels, either directly through maximum FSI or indirectly
through setbacks, plot coverage ratio, and maximum number of floors. While these
types of control are not objectionable per se, the parameter used are often arbitrary
and have been set without taking into account the efficiency of city structure or the
affordability of different social groups. Indian urban planners have a tendency to prefer
low intensity of development through low FSI values and to ban commercial development
in central area to “avoid congestion”. This is the urban version of the regional
development philosophy which had been banning new industries around successful
metropolises like Bombay and Surat and had been subsidising industrial infrastructure in
remote areas like Western Gujarat (next to the desert of Kutch) and in the mountains of
Arunachal Pradesh. A wide debate should take place in India to discuss “demand, location,
congestion, economy of scale and uniform geographic development”. There is still a
widespread conceit among policy makers that the absence of development in some
remote location (whether urban or regional) is a sign of market failure which should be
corrected by Government investment and tax subsidies; and reciprocally, that fast growth
in high demand locations should be discouraged by government regulations.

♦ High stamp duty

High stamp duties discourage land transactions, and as a consequence reduce the supply
of land on the market. High stamp duty incites to grossly under-declare the real value
of land. This in turn adversely affects the possibility of using land as collateral for
construction financing. In the future, Indian cities will have to move to an ad valorem
property tax system. But setting an ad valorem tax requires a reasonable transparency
in land transactions. It could therefore be said that an unreasonably high stamp duty
prevents the modernisation of the property tax system in India.

♦ Large institutional land holdings

Government entities or parastatals such as Railways often own large tracts of land in
cities. Because this land cannot be sold on the market to the benefit of the owning
institution, it is often underused, or used in a way incompatible with its real market
value. Many of the land holdings have been inherited from colonial time and are located
in downtown areas. Government entities and parastatals should be required to make
a full inventory of their land holdings and to evaluate them at market value. Government
entities and parastatals should be allowed to sell their land holdings, and retain the
proceeds, whenever they feel that the cash value of land would be more valuable to
472 Law and Policies Pertaining to Urbanisation

them than the use of land. A complete inventory of urban Institutional land holdings has
never been done in India, but an informal survey made in Chennai some 20 years ago
indicated that more than 30% of the urban land was owned by government institutions
(not including housing boards or development authorities).

♦ Very low property taxes

Very low property taxes and property taxes based on actual rents rather than on land
values create an incentive to hold vacant or underused land, thus decreasing the amount
of land on the market. Introducing an ad valorem property tax would require more open
and transparent land transactions. Of course ad valorem land taxation is incompatible
with rent control.

♦ Inadequate primary infrastructure

The failure to provide primary infrastructure with a capacity consistent with demand
is often cited as a justification for constraining development intensity, in particular low
FSI. It is important to realise that an adjustment of land use regulation to actual market
demand will also require the provision of primary infrastructure of sufficient capacity.
The means to finance primary infrastructure could come for a better design of the
property tax or from the imposition of impact fees when redeveloping high density
areas.

Government regulations or practices contributing to an artificial increase in land

consumption:

♦ Land subdivision regulations

Land subdivision regulations tend to “over-design” roads right of ways, open space and
other land reserves. This practice results in an increase in the consumption of land
compared to what would be necessary. Many of the right of ways reserved are never
used for circulation.

♦ Minimum plot size

Minimum plot sizes are often set at different value for state development agencies and
for the private sector. This practice results in excluding the private sector from the
supply of plots and housing for a large segment of the population. Minimum plot sizes
should be adjusted to reflect land values and the affordability of various socio-economic
groups and the same standards should be available for both the private and public
sector.

♦ Low FSI
Low value for FSI (typically, FSI in India are seldom above 1.6, even in centrally located
areas, compared to values ranging from 5 to 15 in the CBD of other cities of Asia) tend
to increase the consumption of land because with low FSI more land is required to build
a given area of floor space. In the case where the supply of land is severely constrained
Urban Property and Land Use Management 473

by the laws and practices described above, low FSI values result in a reduction in the
consumption of floor space. This affects low and middle income households more than
others, and in the non-residential sector contribute to a loss of productivity.

Expected impact of land regulatory reforms

The careful review and reforms of the regulations mentioned above would result in a
lower cost for urban development and for housing. An additional benefit will be a more
efficient spatial organisation for cities. Specifically, the expected outcome of regulatory
reform can be summarized as follows:
♦ More compact cities, more efficient land use. No enclaves of under use or unused
land; more efficient use of existing primary infrastructure.
♦ Increase share of the housing stock supplied by unsubsidised formal private sector
developers, decrease in illegal subdivisions and slum areas.
♦ Generally lower land prices but higher prices in some prime commercial and business
areas.
♦ Decrease in trip length due to more compact cites and because of more intense use
of land in the CBD (less dispersion of employment). A more intensely used CBD allows
a better efficiency of transit and therefore should increase urban air quality in the
long run.
♦ Increase in the consumption of floor space per person for both residential and
business use. This should result in an increase of welfare for households and an
increase in productivity for firms.
♦ Average urban population densities are likely to stay constant as more efficient
land use and higher FSI are likely to be balanced by a higher floor consumption.
♦ Because of an increase in the number and transparency of transactions, in the
long run, possibility to convert progressively property tax from an area base to an
ad valorem base. The ad valorem property tax constitutes an incentive for the local
government to keep land at its best and higher use.
♦ Finally, by reducing the difference between what is allowed and what is financially
feasible, land use reform should reduce significantly the opportunity for corruption.
Implementation
Some regulatory reforms require prior legislative action by the States. The center should
then create incentives to stimulate action, this include full documentation of the benefits
of reform and some financial incentive to reverse the status quo. Other reforms —
master plans fixing FSI and land use, minimum plot sizes — will require setting up example
in selected 2 or 3 cities to illustrate the methodology to be used. No standards value for
FSI or minimum plot size should be legislated at the state level. The best vehicle for
reform of this type would be an investment project in urban infrastructure including a
“master plan and regulatory reform component”. The example and methodology could
then be transferred to other cities and states.
474 Law and Policies Pertaining to Urbanisation

24.2 History of Land Acquisition in India

Land acquisition refers to the process by which the government acquires private property
for public purpose without the consent of the land owner, which is different from a
market purchase of land.

The Land Acquisition Act was enacted in the year 1894. This Act passed by the British
Government still continues with some amendments in 1967 and 1984. The Act sought to
set out the circumstances and the purposes for which private land can be acquired by
the Central/State Government. The procedure to be followed in making an acquisition
under the Act is briefly as follows:
STAGE I
♦ Publication of a preliminary notification by the Government and in a particular
locality is needed or may be needed for a public purpose or for a company. S. 4(1).
♦ Entry of authorised officers on such land for the purpose of survey and ascertaining
whether it is suitable for the purpose in view S. 4 (2).
♦ Filing of objections to the acquisition by persons interested and enquiry by Collector.
S. 5-A.
STAGE II
♦ Declaration of intended acquisition by Government. S. 6(1)
♦ Publication of declaration as required by the Act. S.6(2)
♦ Collector to take order from the Government for acquisition and land to be marked
out, measured and planned. Sections 7 & 8.
STAGE III
♦ Public notice and individual notices to persons interested to file their claims for
compensation. S. 9.
♦ Enquiry into claims by Collector. S. 11
♦ Award of Collector. S. 11-15
♦ Reference to Court. S. 18-28.
STAGE IV
♦ Taking of possession of the land by the Collector. S.16. A property designates to
those things commonly recognised as an entity over which a person or a group has
exclusive rights. In the strict legal sense, property is an aggregate of rights which
are guaranteed and protected by the law of the land.

♦ Payment of Compensation. S. 31-34.

Prior to 1984, the Land Acquisition Act, 1894 was not applicable to the States of
Jammu and Kashmir, Rajasthan, Kerala and Nagaland, which had their own self-
Urban Property and Land Use Management 475

contained Land Acquisition Acts. These Acts differed in some respects from the Act
of1894 but the broad scheme was generally the same. In 1984 the Land Acquisition
(Amendment) Act was passed which made the Land Acquisition Act, 1894 applicable
to the whole of India except Jammu and Kashmir which enjoyed a special position
under the Constitution.

Apart from the Land Acquisition Act, 1894, which is directly and exclusively concerned
with the acquisition of land by the Government there are a large number of other laws
(Central as well as States) which permit the Government to acquire land for specific
purposes such as planned development of industries, slum clearance, town planning/
improvements, implementation of municipal housing schemes etc. Instances of such
Acts are:
♦ The Forest Act, 1927
♦ The Coal Bearing Areas (Acquisition and Development) Act, 1957;
♦ The Slum Areas (Improvement and Clearance) Act, 1956;
♦ The Delhi Development Act, 1957;
♦ The Maharashtra Industrial Development Act, 1961.
State Amendments
This Act has been enacted by the Central Government. However, the state Governments
have the power to amend its provisions. (Article 246 of the Constitution read with item
42 of List III in the Seventh Schedule to the Constitution). This means that within the
territory of each State the Act will be applicable in the amended form.

The State Government can make any amendments they want as long as such changes are
not opposed to the provisions as they stand in the Act. For example, the Act requires that
the award of the Collector must be made within a specified time limit. Now, suppose a
State Government amended this provision so that there was no such time limit and the
Collector could take as long as he liked, such an amendment would be ineffective because
it would be opposed to and defeat the object that the Central Government had in mind
viz. to ensure that each stage of the acquisition proceedings is completed within a
reasonable time-frame. Therefore, the Central provision would continue to be operative.
(Article 254(1) of the Constitution).
Under certain circumstances an amendment which is inconsistent with the provisions
of the Central Act may still be a valid one (Article 254 (2) of the Constitution). However,
the Central Government has the power to modify such an amendment or to declare it
as invalid (provision to Article 254 (2) of the Constitution). Though the procedure for
acquiring property in each stage is broadly that prescribed by the Act, there are regional
variations with regard to matters such as:
The authority who has the power to set in motion the acquisition proceedings, the
manner in which notices must be publicised, persons on whom notices must be served,
etc.
476 Law and Policies Pertaining to Urbanisation

24.3 The Land Acquisition (Amendment) Act, 1984

After amendment of 1967, the Act was drastically amended in 1984 by the Central
Government with the objective of minimising the undue delays that characterise
acquisition proceedings and to provide for payment of compensation on a realistic scale.
The Amendment Act of 1984 has resulted in:
♦ The setting down of a time limit for the completion of all formalities between the
issue of the preliminary notices u/s 4(1) and the issues the declaration of acquisition
u/s 6(1). First proviso to S. 6(1).
♦ The setting down of a time limit within which the Collector must make the award.
S. 11-A.
♦ Payment of 12 p.a. interest for the period commencing from the date of the
notice u/s 4(1) and ending with the date of the Collector’s award S. 23(1-A).
♦ Payment of solatium (i.e. compensation for loss, suffering or injury) at an increased
rate of 30 of the market value of the acquired land, S. 23(2). Prior to this amendment
solatium was payable at the rate of 15 of the market value awarded.
♦ The provision of an opportunity to those dissatisfied with the Collector’s award to
apply to him for a redetermination of the compensation payable to them on the
basis of an order for higher compensation obtained by an one of them from the
Reference Court S. 28-A.

However, this Amendment Act has created far more disadvantage for the people; it has
conferred greater discretionary powers on the Government for acquiring land under
S.17.

Proposed Amendments to the Act post 1984

The Land Acquisition Act was sought to be amended in the year 1999. The Bill was
scheduled to be introduced in Lok Sabha in 1999 itself. However, due to severe opposition
the Act could not see the light of the day. Later on in 2007, another attempt was made
to amend the said Act.

A new amendment bill was drafted by the Rural Development Ministry in the year 2007.
The Land Acquisition (Amendment) Bill, 2007, was introduced in the Lok Sabha and was
later on referred to the Parliamentary Standing Committee on Rural Development, headed
by Lok Sabha Member of Parliament Mr. Kalyan Singh. The Standing Committee reviewed
the bill as well as invited suggestions on the proposed amendments in the land acquisition
bill. The main feature of the bill is that it seeks to broaden the definition of ‘public
purpose’ to balance the concerns of land-losers with what “is useful for the general
public”. In the proposed Land Acquisition Amendment Bill 2007, “public purpose” has
been classified into three categories:
♦ Strategic purposes, relating to the defence forces or work “vital to the state”
Urban Property and Land Use Management 477

♦ Public infrastructure: Electricity, communication, water supply, mining, “public

facilities”
♦ Projects “useful for the general public”.
While the draft of the Bill did away with the earlier clause that put restrictions on the
government from acquiring land for companies, it has introduced a new element in the
definition of “public purpose” to cover cases of “persons” that will include “any company
or association or body of individuals whether incorporated or not where land is required
for purposes useful for the general public.” The Rural Development Ministry had suggested
that this be restricted to those cases where at least 90% of the land has already been
purchased.

On the issue of compensation, the draft Bill said that the rate should not be less than the
price fixed by the state government or average of higher prices paid in 50% of land sale
cases during the previous three years, whichever is higher. The draft also provides that
conversion of land to intended category of use should be factored in while fixing the
prices. The Land Acquisition (Amendment) Bill, 2007 provided for a fair compensation
at a market value as well as the alternative mechanisms for disposal of land compensation
disputes in a time-bound manner.

This bill has also attracted a lot of opposition. Those who were against the bill said that
though the bill seeks to omit compulsory land acquisition for projects such as those of
Special Economic Zones (SEZs), and enhance compensation for the land, the bill would
make it difficult for those who acquire land for a particular purpose and use it for
something else making huge commercial gains in the bargain.

As mentioned earlier, The Land Acquisition (Amendment) Bill, 2007, was introduced in
the Lok Sabha and was later on referred to the Parliamentary Standing Committee on
Rural Development, headed by Lok Sabha Member of Parliament Mr. Kalyan Singh. The
Standing Committee on Commerce had also submitted its report on The Functioning of
Special Economic Zones in June 2007. The report includes recommendations related to
both land acquisition and compensation.

Table 1 provides a “Comparison of Standing Committee Recommendations and the Land

Acquisition (Amendment) Bill, 2007”.
Table 1: Comparison of Standing Committee Recommendations and the Land Acquisition
(Amendment) Bill, 2007

Issue SEZ Standing Committee Land Acquisition Bill

Recommendations
Verification of land State government and gram panchayat No specific public process stated;
should verify type of land and hold a Collector is responsible for
public notice for objections to the ‘updating of land records,
stated type of land to prevent classification of land and its
manipulation of land records tenure, survey and standardisation
of land and property values’
478 Law and Policies Pertaining to Urbanisation

Type of land Use only waste and barren lands for No mention
SEZs; only in unavoidable situations
use single-crop, rain-fed land; ban use
of double or multi- crop irrigated land
Limitations on land Prevent developers from acquiring No specific limitations stated; land
more land than necessary by unused for 5 years shall return to
prescribing maximum area for various the appropriate government
types of SEZs and 50% of area should
be used as “processing area”
Consent of With the exception of land acquisition Owners of notified land may file an
landholders for national security, the affected objection with the Collector within
parties should give their consent 30 days of notification; the
appropriate government shall
decide on all objections;
rehabilitation plans shall be
discussed in the gram sabhas
Inform affected Land acquisition law should inform Land acquisition proceedings and
persons affected persons of the purpose for compensation details shall be
acquisition, its implications, and available publicly; rehabilitation
resettlement provisions plan shall be created in
consultation with affected families
and circulated publicly
Unused land or Lease the land so land owners receive No provision for leasing of land;
failed projects a lump sum and periodic rent. If SEZ land unused for 5 years shall return
fails or dissolves, land goes back to to the appropriate government
the original owner
Land ownership Land should be leased to the If 70% of land is already purchased,
developer, even if the state company can acquire 30% if project
government acquires the land is for ‘public purpose’
Calculation of Compensation should be calculated on Compensation based on market
compensation prevailing market rates rates, intended use of the land,
standing crops, and the higher
average of either neighbouring
property, land purchased for the
project, or minimum value from
sale deeds
Market rates State governments should devise a Collector to determine market
system of periodic market surveys to value based on minimum land value
determine periodic market rates in the Indian Stamp Act, average
sale price for similar type of land
in the vicinity, and any land
acquired for the same project
Shares in company Offer equity shares in the developers Acquiring companies can offer land
company owners 20-50% of compensation
amount in shares or debentures
Urban Property and Land Use Management 479

24.4 Land Acquisition (Amendment) Act, 2007: An Analysis

Note: This section is for discretionary reading as the Land Acquisition (Amendment) Act
2007 is repealed by the The Right to Fair Compensation and Transparency in Land
Acquisition, Rehabilitation and Resettlement Act, 2013, which is discussed later on.

The Land Acquisition Act, 1894 addresses the process of land acquisition in India and was
last amended by the Land Acquisition Amendment Act, 1984. The Act takes a broad
definition of ‘public purpose’ permitting a diverse range of projects. A number of Supreme
Court cases have highlighted concerns related to fair compensation, valuation of land,
definition of ‘public purpose’ and other issues related to land acquisition. Citing problems
with the principal Act, the government re-introduced the Land Acquisition (Amendment)
Bill, 2007. The said bill passed on 11 April 2007 and enforced as an Act.
The Land Acquisition (Amendment) Act 2007 (the ‘Act’) came into force on 7 May 2007.
This Act amends the Land Acquisition Act to abolish the use of a statutory date in
determining the basic compensation for land that is compulsorily acquired on or after 12
February 2007 and to provide that the basic compensation will instead be the market
value of the land as at the date of its acquisition.

However, the market value of the acquired land cannot exceed the price; which a bona
fide purchaser might reasonably be willing to pay for the land. The market value of the
land is to be arrived having regard (but not only) to the zoning and density requirements
and any other restrictions imposed by or under the Planning Act at the date of acquisition,
and any restrictive covenants in the title of the acquired land. However, no account is
to be taken of any potential value of the land for any other use more intensive than
what is permissible by or under the Planning Act as at the date of its acquisition.

The Land Acquisition Act is also amended so that when accessing the market value of
acquired land, it will no longer be prohibited to take into account any increase in value
arising from any improvement to the land within two years before the date the land is
declared to be required for a public purpose, or from development in the neighbourhood
by the provision of roads, drains, electricity, water, gas or sewerage or social, education
or recreational facilities within seven years preceding that date.

The special compensation provisions for acquired land which is used as a burial ground
and acquired land that is devastated or affected, directly or indirectly, by fire, explosion,
thunderbolt, earthquake, storm, tempest, flood or any act of God, have also been
abolished. Such land, if acquired, will be assessed no differently from other acquired
land.

The compensation for land acquired before 12 February 2007 continues to be governed
by the existing law.

The Act also makes improvements and establishes new procedures for the compulsory
acquisition of land to simplify the acquisition process.
480 Law and Policies Pertaining to Urbanisation

Analysis of Act of 2007

Land acquisitions have raised a number of concerns related to fair compensation,
valuation of land, definition of ‘public purpose’ and other issues. The Land Acquisition
(Amendment) Act, 2007 amends The Land Acquisition Act, 1894. The Act redefines ‘public
purpose’ as land acquired for defence purposes, infrastructure projects, or for any project
useful to the general public where 70 per cent of the land has already been purchased.
It bars acquisition for companies except under the 70 per cent condition.

The Act expands the rights of those displaced by land acquisition, and limits the ability
to acquire land for public purpose. It also establishes the Land Acquisition Compensation
Disputes Settlement Authority at the state and national levels to arbitrate all disputes
resulting from land acquisition proceedings. This Act was introduced in conjunction with
the Rehabilitation and Resettlement Bill, 2007 to address land acquisition, compensation,
and resettlement of displaced persons.

Key features
Public Purpose
♦ The principal Act permits land acquisition if the land is to be used for a ‘public
purpose’ project. ‘Acquisition’ refers to forcibly obtaining land without consent of
the land owner. ‘Public purpose’ includes land needed for village-sites, town or
rural planning, land for residential purposes for poor or displaced due to natural
calamities, land for planned development (including education, housing, health
and slum clearance), or land needed by a state corporation. The new amendment
Act changes ‘public purpose’ to allow land acquisition only for (i) strategic naval,
military, or air force purposes, (ii) public infrastructure projects, or (iii) for any
purpose useful to the general public where 70% of the land has already been purchased
from willing sellers through the free market.
♦ The new amendment Act defines ‘infrastructure’ as any project relating to electricity,
construction of roads, highways, bridges, airports, rail, mining activities, water
supply, sanitation and sewerage, and any other notified public facility.
♦ Currently, private land may be acquired on behalf of a company for a ‘public purpose’
project. The Act prohibits land acquisition for companies unless they have already
purchased 70% of the land needed.
Table 2: Definition of Public Purpose in other Countries

Country Act and Year Definition / Some Circumstances

China Land Administration Law, Economic, cultural, national defence
Article 21 (1988) construction projects, public works
projects
Brazil The Constitution, Article 5, 182 Public use, social interest, or for purposes
& 184 (1988) of agrarian reform of rural property which
is not performing its social function
Urban Property and Land Use Management 481

Mexico The Expropriations Law (1936) Infrastructure development, conservation

of history or culture, national security,
public benefit, equitable distribution of
wealth preservation ecological balance and
natural resources
South Africa Expropriation Act, No 63, Public purpose and certain other purposes
Definitions Article 2 (1975) if the purpose is connected with the
administration of the provisions of any law
by an organ of State
US The Constitution, 5 th Private property can be taken for public
Amendment, existing case law use; has been interpreted to include
including Kelo v City of New property development
London, 2005
UK Town and Country Planning Act Planning and public purposes if it is suitable
(1990) for and required for development,
redevelopment or improvement; or is
required for a purpose which it is necessary
to achieve in the interest of proper planning
of an area
Singapore The Land Acquisition Act, Public purpose, by any person, corporation,
Section 5 (1966) or statutory board for public benefit or
public interest projects, or for any
residential, commercial or industrial
purposes

Social Impact Assessment Study

If land acquisition results in the displacement of 400 families in the plains or 200 families
in the hills or tribal areas, the government must conduct a social impact assessment.
The study will include the effects of displacement, a Tribal Development Plan, and
provisions for infrastructure development in resettlement areas.

Process for Land Acquisition

♦ ‘Appropriate government’ is determined by the location of the acquired land and
the intended project. The principal Act gives jurisdiction over land acquired for
Union purposes to the central government and for any other projects to the state
government. This Act includes multi-state land acquisition projects as central
government jurisdiction.

♦ To identify land needed for a public project, the government must issue a notification.
The notification must be published in the Official Gazette and in two daily newspapers
circulating in that locality. After a notification is published, the government is
authorised to conduct work on the land to determine its suitability for an intended
project. Any objections must be registered with the Collector’s office.
482 Law and Policies Pertaining to Urbanisation

♦ If the land is suitable, the government must issue a declaration stating the land
will be used for public purpose. The declaration must be issued within one year of
notification; otherwise a fresh notification cannot be made for an additional year.
If this time expires again, notification cannot be issued for five years. No individual
shall make transactions or encumbrances on notified land until the final declaration
is made or compensation is paid.
♦ The Act states acquisition costs will include suffering or loss, payment for damages
to the land during acquisition, cost of land needed for displaced residents, cost of
infrastructure development at resettlement sites, and administrative costs of
acquisition and resettlement. These costs must be borne by the entity acquiring the
land.
♦ The Collector must make details of the land acquisition process, including
compensation amounts, publicly available.

Assessing Market Value of the Land

♦ In the principal Act, the Collector only needs to determine the current price value
of the land for compensation amounts. The new amendment Act requires the
Collector to take the highest value of: (i) the minimum land value for the area as
specified in the Indian Stamp Act, 1899; (ii) the average sale price of at least 50%
of the higher priced sales of similar land in the village or vicinity; or (iii) the average
sale price of at least 50% of the higher priced land purchased for the project. The
value of trees, plants, or standing crops damaged must also be included.
♦ In the event that a price is not available or the land is in an area where land sales
have been previously restricted, the state government shall set the floor price per
unit of land. This price will be determined by average prices of at least 50% of the
higher priced land in the vicinity.
♦ While determining compensation, the Collector must also factor in the intended
use of the land and the value of such land in the current market.

Compensation
♦ In 1984 Act, the term ‘person interested’ includes those who are claiming land
compensation and those interested in an easement (limited right of use of the land)
on the land. The Act proposes to expand the definition to include tribal and other
traditional forest dwellers who have lost any traditional rights as well as individuals
with tenancy rights under state law.
♦ In addition, if any damages are incurred on land excluded from acquisition
proceedings, the appropriate owner must be compensated within six months.
♦ Payment for acquired land must be made within one year from the date of the
declaration. The Collector can extend this time limit by six months with a penalty
of 5% per month. If payment has not been made within one year nor has the Collector
granted an extension, the land acquisition proceedings shall lapse.
Urban Property and Land Use Management 483

♦ After the compensation amount is determined, the Collector must ensure that
payment occurs within 60 days. Possession of land shall not be taken unless full
compensation is paid or tendered to the land owner.
♦ Land owners whose property has been acquired under urgency shall be compensated
an additional 75% of the market value of the land.
♦ If the acquisition is for a company, shares or debentures of 20-50% of the compensation
amount must be offered through these options. The interested person may either
accept this offer or opt for a full cash settlement.

Restrictions on Acquired Land

♦ Land acquired can be transferred only for a public purpose and with prior approval
from the appropriate government.
♦ Acquired land that is unused for 5 years from the date of possession shall be returned
to the appropriate government.
♦ Whenever acquired land is transferred to another individual, 80% of the difference
between the consideration received and the original acquisition cost shall be shared
among the original land owners and their heirs.

Land Acquisition Compensation Disputes Settlement Authorities

♦ Currently, all land acquisition cases are referred to civil courts for a decision. The
Act establishes the Land Acquisition Compensation Disputes Settlement Authority at
both the state and national levels to adjudicate all land acquisition disputes within
six months. The Act gives these Authorities the same powers as a civil court and
deems all proceedings of the Authorities as judicial proceedings. The government
may form more Authorities or benches.
♦ In the event of a dispute, the land owner must file a written complaint with the
Collector. The Collector shall refer any dispute cases to the Authority within 15 days
from the receipt of the complaint. If the Collector fails to act, the land owner may
petition the Authority directly to request the Collector to file the reference within
30 days.

♦ If the Authority decides in favour of the land owner, they shall award compensation
for (i) market value of the land, (ii) property damages, (iii) damages to the land
owner, (iv) damages to the land owner’s salary, movable, or immovable property,
(v) expenses incurred by the owner for change or residence or business, and (vi) any
damages resulting in a loss of profits from the time of declaration to possession of
the land. In the Act, the Authority awards a sum of 12% of market value from the
publication of notification to the date of possession or compensation paid.
Furthermore, the land owner receives an additional sum of 30% of the market value.
The Act increases this sum to 60% of market value.
484 Law and Policies Pertaining to Urbanisation

Civil Jurisdiction
The Act grants the Land Acquisition Compensation Disputes Settlement Authority the
powers of a civil court. The Authority consists of 2-3 persons with the qualification of
either a district court judge, an officer of at least District Collector rank, or an officer
of at least Director rank in the state government’s law department. Three issues arise
from this composition.

First, this Authority is a judicial body but could be entirely staffed by members without
judicial qualifications or experience. Second, this could also lead to a situation where a
state government official decides on a case in which the state government (as acquirer)
is the defendant. Third, this provision may be unconstitutional as the Constitution
separates the executive and the judiciary. The Competition Commission of India was
formed in 2002 but not operationalised due to a writ petition filed in the Supreme Court.
The petition challenged the Commission’s powers, which were both judicial and regulatory.
In response to the writ petition, the central government introduced an amendment to
the Competition Act, 2002 establishing separate regulatory and adjudicatory bodies.

Civil courts are barred from entertaining any disputes or issuing any injunctions relating
to land acquisition. With the barring of civil jurisdiction, it is unclear whether there is
a mechanism by which a party may challenge the qualification of a project as ‘public
purpose’.

Compensation
Percentage of Sale Deeds used to compute market value: The Act prescribes three
criteria to determine the market value of the land and requires the Collector to adopt
the highest of the three computed values. The criteria refer to recently concluded sale
prices for similar land, ascertained from “not less than 50%” of the transactions, “where
higher price has been paid”. This clause is ambiguous. If the intention is that the average
should be taken from the highest priced 50% transactions, taking a larger proportion of
transactions would include lower priced ones, and would reduce the average value.

Compensation as shares or debentures: The Act requires the company to offer shares
‘or debentures’. By accepting shares, the land owner may be able to participate in any
significant benefit to the company from the project. However, if the land owner accepts
debentures, he receives only a fixed return; he is effectively lending money to the
company to purchase his own land.

24.5 The Right to Fair Compensation and Transparency in

Land Acquisition, Rehabilitation and Resettlement
Act, 2013
This Act replaced the nearly 120-year-old Land Acquisition Act, 1894, enacted during
British rule. The bill was introduced in Lok Sabha in India on 7 September 2011. Out of
the 235 members who voted on the bill, 216 backed it while 19 voted against it. The Act
Urban Property and Land Use Management 485

was passed on 29 August 2013 in the Lok Sabha (lower house of the Indian parliament)
and on 4 September 2013 in Rajya Sabha (upper house of the Indian parliament). The bill
received the assent of the Mr. Pranab Mukherjee, the President of India, on 27 September
2013. The Act came into force from 1 January 2014.

Background and Rationale of the Act

Before having passed, the present Act was drafted to basically repeal and replace the
Land Acquisition Act, 1894. The Act provides for land acquisition as well as rehabilitation
and resettlement. The aims and objectives of the Act include:
♦ To ensure, in consultation with institutions of local self-government and Gram Sabhas
established under the Indian Constitution, a humane, participative, informed and
transparent process for land acquisition for industrialisation, development of
essential infrastructural facilities and urbanisation with the least disturbance to
the owners of the land and other affected families
♦ Provide just and fair compensation to the affected families whose land has been
acquired or proposed to be acquired or are affected by such acquisition
♦ Make adequate provisions for such affected persons for their rehabilitation and
resettlement
♦ Ensure that the cumulative outcome of compulsory acquisition should be that affected
persons become partners in development leading to an improvement in their post-
acquisition social and economic status and for matters connected therewith or
incidental thereto.

The process for land acquisition involves a Social Impact Assessment survey, preliminary
notification stating the intent for acquisition, a declaration of acquisition, and
compensation to be given by a certain time. All acquisitions require rehabilitation and
resettlement to be provided to the people affected by the acquisition. The nuances of
granting compensation are as follows:
♦ Compensation for the owners of the acquired land shall be four times the market
value in case of rural areas and twice in case of urban areas.
♦ In case of acquisition of land for use by private companies or public private
partnerships, consent of 80 per cent of the displaced people will be required.
♦ Purchase of large pieces of land by private companies will require provision of
rehabilitation and resettlement.
♦ The provisions of this Act do not apply to acquisitions under 16 existing legislations
including the Special Economic Zones Act, 2005, the Atomic Energy Act, 1962, the
Railways Act, 1989, etc.
The rationale of enacting this legislation was that the Government of India believed
there was a heightened public concern on land acquisition issues in India. A particular
concern was that despite many amendments, over the years, to India’s Land Acquisition
486 Law and Policies Pertaining to Urbanisation

Act of 1894, there was an absence of a cohesive national law that addressed fair
compensation when private land is acquired for public use, and fair rehabilitation of
land owners and those directly affected from loss of livelihoods. The Government of
India believed that a combined law was necessary, one that legally requires rehabilitation
and resettlement necessarily and simultaneously follow government acquisition of land
for public purposes.

Forty-Fourth Amendment Act of 1978 omitted/repealed Art 19(1) (f) with the net result
being:
The right not to be deprived of one’s property save by authority of law has since been no
longer a fundamental right. Thus, if government issues a fiat to take away the property
of a person, that person has no right to move the Supreme Court under Art 32.
Moreover, no one can challenge the reasonableness of the restriction imposed by any
law the legislature made to deprive the person of his property.
Some of the major highlights of the Act are as follows:
a) Public purpose
♦ Land may be acquired only for public purpose. The Act defines public purpose to
include: defence and national security; roads, railways, highways, and ports built
by government and public sector enterprises; land for the project affected people;
planned development; and improvement of village or urban sites and residential
purposes for the poor and landless, government administered schemes or institutions,
etc. This is broadly similar to the provisions of the 1894 Act.

♦ In certain cases consent of 80 per cent of the project affected people is required to
be obtained. These include acquisition of land for (i) use by the government for
purposes other than those mentioned above, and (ii) use by public-private
partnerships, and (iii) use by private companies.

b) Process of land acquisition

♦ The government shall conduct a Social Impact Assessment (SIA) study, in consultation
with the Gram Sabha in rural areas (and with equivalent bodies in case of urban
areas). After this, the SIA report shall be evaluated by an expert group. The expert
group shall comprise two non-official social scientists, two experts on rehabilitation,
and a technical expert on the subject relating to the project. The SIA report will be
examined further by a committee to ensure that the proposal for land acquisition
meets certain specified conditions.

♦ A preliminary notification indicating the intent to acquire land must be issued within
12 months from the date of evaluation of the SIA Report. Subsequently, the
government shall conduct a survey to determine the extent of land to be acquired.
Any objections to this process shall be heard by the Collector. Following this, if the
government is satisfied that a particular piece of land must be acquired for public
Urban Property and Land Use Management 487

purpose, a declaration to acquire the land is made. Once this declaration is published,
the government shall acquire the land. No transactions shall be permitted for the
specified land from the date of the preliminary notification until the process of
acquisition is completed.

♦ In case of urgency, the above provisions are not mandatory. The urgency clause may
be used only for defence, national security, and in the event of a natural calamity.
Before taking possession of land in such cases, 80 per cent of the compensation must
be paid.

c) Compensation to the land owners

The compensation for land acquisition is determined by the Collector and awarded by
him to the land owner within two years from the date of publication of the declaration
of acquisition. The process of determination of compensation is given below.
♦ First, the market value of the acquired land is computed as the higher of (i) the land
value specified in the Indian Stamp Act, 1899 for the registration of sale deeds; or
(ii) the average of the top 50 per cent of all sale deeds in the previous three years
for similar type of land situated in the vicinity.
♦ Once the market value is calculated, it is doubled for land in rural areas. There is
no doubling of value in urban areas. Then, the value of all assets attached to the
land (trees, buildings, etc) is added to this amount. On this amount, a 100 per cent
solatium, (i.e., extra compensation for the forcible nature of acquisition), shall be
given to arrive at the final compensation figure.
♦ Land owners whose property is acquired using the urgency provisions shall be given
an additional 75 per cent of the market value of the land.

d) Process of Rehabilitation and Resettlement

♦ The Act requires Rehabilitation and Resettlement to be undertaken in case of every
acquisition. Once the preliminary notification for acquisition is published, an
Administrator shall be appointed. The Administrator shall conduct a survey and
prepare the Rehabilitation and Resettlement scheme. This scheme shall then be
discussed in the Gram Sabha in rural areas (equivalent bodies in case of urban
areas). Any objections to the Rehabilitation and Resettlement scheme shall be
heard by the Administrator. Subsequently, the Administrator shall prepare a report
and submit it to the Collector. The Collector shall review the scheme and submit it
to the Commissioner appointed for Rehabilitation and Resettlement. Once the
Commissioner approves the Rehabilitation and Resettlement scheme, the government
shall issue a declaration identifying the areas required for the purpose of
Rehabilitation and Resettlement. The Administrator shall then be responsible for
the execution of the scheme. The Commissioner shall supervise the implementation
of the scheme.
488 Law and Policies Pertaining to Urbanisation

♦ In case of acquisition of more than 100 acres, an Rehabilitation and Resettlement

Committee shall be established to monitor the implementation of the scheme at
the project level. In addition, a National Monitoring Committee is appointed at the
central level to oversee the implementation of the Rehabilitation and Resettlement
scheme for all projects.

♦ In case the land is being privately purchased (100 acres in rural areas and 50 acres
in urban areas), an application must be filed with the Collector who shall forward
this to the Commissioner for approval. After the application has been approved,
the Collector shall issue awards as per the R&R scheme.

Rehabilitation and Resettlement entitlements

♦ Every resettled area is to be provided with certain infrastructural facilities. These
facilities include roads, drainage, provision for drinking water, grazing land, banks,
post offices, public distribution outlets, etc.

♦ The Act also provides the displaced families with certain Rehabilitation and
Resettlement entitlements. These include, among other things, (i) land for a house
as per the Indira Awas Yojana in rural areas or a constructed house of at least 50
square metres plinth area in urban areas; (ii) a one-time allowance of Rs 50,000 for
affected families; and (iii) the option of choosing either mandatory employment in
projects where jobs are being created or a one-time payment of Rs 5 lakh or an
inflation adjusted annuity of Rs 2,000 per month per family for 20 years.

Other provisions
♦ A Land Acquisition and Rehabilitation and Resettlement Authority shall be established
for settling any disputes relating to the process of acquisition, compensation, and
Rehabilitation and Resettlement

♦ There shall be no change of ownership of acquired land without prior permission

from the government. Land may not be used for any purpose other than for which
it is acquired.

♦ Acquired land which has been unused for 10 years from the date of possession shall
be returned to the Land Bank of the government. If any unused acquired land is
transferred to another individual, 20 per cent of the appreciated land value shall
have to be shared amongst the original land owners.

♦ The government may temporarily occupy and use any piece of waste or arable land
for a public purpose. This occupation may be for a period of not more than three
years. The compensation of such land may be decided mutually by the owner of the
land and the Collector. Any disagreement on matters relating to compensation or
the condition of the land on being returned shall be referred to the Land Acquisition
and R&R Authority.
Urban Property and Land Use Management 489

♦ In any district, land acquisition will be restricted to a maximum of five per cent of
irrigated multi-crop land.

♦ The provisions of this Act shall not apply to land acquisition under 16 existing laws.
These include: the SEZ Act, 2005, Atomic Energy Act, 1962 and the National Highways
Act, 1956.

24.6 Land Acquisition and Resettlement

Land acquisition for developmental purposes, i.e., for making roads, constructing
dams and irrigation canals, establishing manufacturing industries and for urban
development has been going on since long, and has also generated debates around the
fallouts of such developments for the poor people and for the environment. But in the
last 5-6 years the debate has not only become intense, but has also acquired new
dimensions.

The process of economic growth requires the growth in productivities. The primary
sector consisting of agriculture, fishing and forestry involves relatively low productivity
economic activities when compared with more modern industrial and service sectors.
The process of economic growth thus involves a change in the structure of the economy
away from primary agriculture based activities towards industry and services. This
structural change of the economy not only involves the movement of persons (workers)
from these primary sectors to modern sectors, but also involves an important change in
the pattern of land use. This process of structural change in the economy is historically
seen to be associated with urbanisation. The growth of urbanisation requires change of
agricultural and forest land into urban use. Further, to modernise the primary sector
there is need to develop infrastructure like - irrigation projects, roads, warehouses, etc.
These infrastructure developments and mining activities also require substantial
agricultural and forest land.

In the attempt for industrialisation, large factories, industrial parks of various kind,
large electricity generation projects and large mines, etc., have been assigned very
substantial space in our country. Also to modernise the agriculture sector, the major
portion of government investment in agriculture has gone into developing large dams.
This kind of growth framework has created the need for acquisition of large pieces of
agricultural and forest land. Though this framework of development is unchanged, the
agency which will bring these changes has changed. In pre 90’s era, the government was
directly involved and was the main actor in this economic process. From early 90’s the
private corporate sector has become an important factor in the economic process and
government’s role has changed to become larger - as a facilitator of this private corporate
led economic development process. This change in the role of the government has
created a situation where in all state government is competing with each other to
attract private capital into their states.
490 Law and Policies Pertaining to Urbanisation

There are two ways through which agricultural land in India has been acquired - first,
government has acquired land by using Land Acquisition law, and second, through the
land market where everyone can participate.

Land markets function reasonably well when the requirement of land is of small and the
speculative motive behind the land transaction is substantially weak. But even then, in
these transactions, if the buyer is a powerful one there is always a fear of abuse of this
power to set the price of transaction. For the requirement of a large piece of land with
monopsony market structure, it is difficult to acquire the land. Because of this monopsonic
structure in the land market the big industrialists and developers are seeking state’s
help to acquire land. There are instances where state is helping the industrialist to
acquire land by invoking the land acquisition act and then leasing it out to industrialists,
sometimes at a subsidised rate. The states are doing it for three reasons - first, to
compete with each other to attract private capital, second, to prevent the emergence
of land mafias, and third, a nexus between the state and the industrialists.

A speculative demand for land from the industrialists is also being observed. They are
trying to acquire more land, maybe for real estate business interest, than their need for
setting up industries. The market price of land is generally low before any new industrial
or urban development projects come up in a rural area. But thereafter, once the project
comes up, the land price shoots up. So, to take the speculative advantages of this land
price hike, industrialists are trying to acquire more land than their need to set up
factories. And often states are helping them (primarily in the case of Special Economic
Zones (SEZ)) to acquire land by invoking Land Acquisition Act in the name of public
interest for industrialisation of the state. But this land-speculation has resulted in lower
acceptability by the people for land acquisition by the state.

Government has generally used the Land Acquisition laws for acquiring land to build
public infrastructure, mines or factories. Historically, it has been seen that the benefit
of large projects like irrigation, roads, electricity are primarily enjoyed by the richer
section of the society and the brunt of these projects are borne by the small and
marginal farmers, agricultural labourers, schedules castes and the scheduled tribes.
For example, in Narmada project the displaced people belong to the tribal communities
in the upstream areas and beneficiaries are the rich farmers of north Gujarat and
Saurashtra.

The present pattern of industrialisation, which copies the technology developed in labour
constraint western capitalist countries, has very limited capacity to generate
employment, especially for the people without, or with low skillsets. So, most of the
agricultural workers or tribals, who are losing their livelihood due to the acquisition of
their land for industrialisation, are not getting alternative equivalent livelihood in
industrial or modern sector. The benefits are going to those who are already skilled
enough. Further, those who are losing their livelihood in this process, feel that the
compensation provided is not adequate. This has led to popular movements against the
projects and land acquisition, and legal attempts to stop the projects.
Urban Property and Land Use Management 491

24.7 Urban Community Development in India

Urban Community Development (UCD) is defined as the process of developing active and
sustainable communities based on social justice and mutual respect based. It goes on to
influence power structures, the barriers that prevent people from participating in the
issues that affect their lives.
UCD in India: Its formation from the village development programmes was initiated in
October 1952. In 1958, the first pilot project was started in Begun in Delhi. This was
followed by another project in Ahmedabad in 1960 and a third in Baroda in 1965.
Key elements - The ingredients of an UCD programme are the people and their problems,
the government and voluntary resources available to stimulate self-help, and urban
community organisers to locate and develop indigenous leaders and to translate their
problems in such a way that can be adequately interpreted by government and private
agencies.
Community development assumes the existence of people’s initiative in one form or the
other, which can be developed to alter the environment. The approach to the problems
of the city slums through UCD involves the following elements:
a) Strengthening of group interrelationships;
b) Encouragement and stimulation of self-help through the initiative of the individuals
in the community;
c) Stimulation by outside agencies when self-help is lacking;
d) Identification and development of local leadership;
e) Development of civic consciousness and acceptance of civic responsibility;
f) Use of professional and technical assistance to support the efforts of the people
involved; and
g) Coordination of city services to meet neighbourhood needs and problems.
Principle of UCD - Community participation is the underlying principle of community
development. It means involving the community at all stages of the project including
vital decision making right from the pre-planning and planning stages through all phases
of implementation, monitoring, evaluation and post-project sustenance. The local
community and the individual sections must have a major say in the community
development programme. For this, potential indigenous leadership in local area needs
to be identified and developed, which will initiate change and development among the
people.
The nature of slum life makes it doubtful whether people can improve their patterns of
life and their surrounding environment without the aid and stimulation of government
and other agencies. As in rural community development, the urban citizen’s efforts
require some financial help and technical assistance in areas like sanitation, public
health, education and recreation.
492 Law and Policies Pertaining to Urbanisation

In UCD, every functionary becomes a significant agent in the complex process of individual
and group development. The community organiser has to work in a way to become a
catalytic agent to move the community or its leaders into concrete action for the
improvement of their environmental conditions and personal and social mode of life.
The supervisor or the project officer plays a similar role both with regard to the community
organisers and the community.
Urban Basic Services and its components - In 1981, the community development
programmes were merged into a new service called Urban Basic Services (UBS). The
principal aim of this programme is to improve and upgrade the quality of life of the most
vulnerable sections of the population - the women and children who tend to get neglected
in the urban setting. The UBS programme operates on the basis of six guiding principles:
community participation, convergence, child and mother focus, cost effectiveness,
coverage and continuity.
The major components of the UBS programme includes primary health care services,
early childhood learning facilities, women’s education, water supply, sanitation, etc. It
provides for the preparation of plans at three levels: districts, towns and communities.
The functionaries involved in the implementation of the programme are the coordinators
at the district level, project officers at the town level and community organisers at the
community level. Since the programme rests on the community participation, the help
of community volunteers is envisaged at the grassroots level to facilitate the participatory
process.
The National Commission on urbanisation, set up by the Government of India,
recommended universalisation of UBS activities to cover the whole of urban India.
About 600 projects are recommended to cover the entire population of urban poor.
Although urban development is in the State List of the Constitution of India, there are
organisations of the government that deal with the subject of urban planning and
development. The approach to urban development has been piecemeal and desultory.
Even schemes termed as ‘integrated’ were focused only on few towns and little attempt
was made to integrate them with the overall development plan for the city or the
region.
The major weakness of the system is the inadequacy of the citizen’s participation through
organised voluntary efforts. UBS is a welcome step in this field of development based on
the principle of people’s participation and self-help. This is seen as an effective instrument
to reach out, to organise, to deliver services and finally to integrate low-income
communities with the mainstream city life.

24.8 References and Recommended Readings

Asian Development Bank (1999), Sustainable Cities, Environmental Challenges in the
21st Century, Asian Development Bank.

Asia-Pacific Forum for Environment and Development: Expert meeting document on 23

January 2003.
Urban Property and Land Use Management 493

United Nations (1995), World Urbanization Prospects, (UN).

United Nations Centre for Human Settlements (1996), An Urbanizing World – Global Report
on Human Settlements 1996 (Oxford University Press).

United Nations Economic and Social Commission for Asia and the Pacific (1993), State of
Urbanization in Asia and the Pacific 1993, (United Nations).

United Nations Economic and Social Commission for Asia and the Pacific and Asian
Development Bank (2000), State of the Environment in Asia and the Pacific 2000.

UN Habitat (2008) State of the World’s Cities 2008-09: Harmonious Cities Earthscan.
494 Law and Policies Pertaining to Urbanisation

UNIT 25
URBAN POPULATION
MANAGEMENT
Contents
25.1 Introduction 494
25.2 History of Urbanisation in India 496
25.3 Planning for Population Management 498
25.4 Challenges Posed by Increasing Urban Population 503
25.5 A Few Case Studies: Best Practices/Projects 504
25.6 Conclusion 506
25.7 References and Recommended Readings 507

25.1 Introduction
India is the second most populous country in the world, with over 1.21 billion people
(2011 census), more than a sixth of the world’s population1. Already containing 17.5% of
the world’s population, India is projected to be the world’s most populous country,
surpassing China, its population reaching 1.6 billion by 2050. India occupies 2.4% of the
world’s land area and supports over 17.5% of the world’s population2. The country has
more arable land area than any country except the US3 and more water area than any
country except Russia, Canada and US.

As per the 2001 census, 72.2% of the population lives in about 638,000 villages4 and
the remaining 27.8%5 lives in more than5,100 towns and over 380 urban agglomerations.6

1
India’s population ‘to be biggest’ in the planet, BBC News. 2004-08-18. Retrieved 2011-09-24.
2
US Census Bureau, Demographic Internet Staff, US Census Bureau-International Data Base (IDB),
Census.gov. Retrieved 2011-09-24.
3
GM Crops Around the World – an accurate picture, GM Freeze, Table 3.
4
Rural Urban Distribution, Census of India: Census Data 2001: India at a glance-Rural-Urban Distribution.
Office of the Registrar General and Census Commissioner, India. Retrieved on 2008-11-26.
5
Urban Agglomarations and Towns, Census of India: Urban Agglomerations and Towns. Office of the
Registrar General and Census Commissioner, India. Retrieved on 2008-11-26.
6
Census of India. Ministry of Finance India. Retrieved 18 December 2008.
Other Urban Regulatory Frameworks 495

The rapid growth of urbanisation accompanied by phenomenal increase in urban areas.

Concentration of population in limited number of cities and town have accentuated the
problems of urbanisation. Urbanisation involved not only movement of population from
rural to suborn area, but it has at the same time recognised the economic, social and
political structure of every state.

Table 1: Largest cities of India7

Sl. Name Census 1991 Census 2001 Calculation 2012 State/UT

1 Bombay 9 925 891 11 978 450 14 282 734 Maharashtra
2 Delhi 7 206 704 9 879 172 11 279 074 Delhi
3 Bangalore 2 908 018 4 301 326 6 386 490 Karnataka
4 Madras 3 857 529 4 343 645 4 703 195 Tamil Nadu
5 Calcutta 4 399 819 4 572 876 4 467 821 Bangla
6 Ahmadabad 2 966 312 3 520 085 4 064 518 Gujarat
7 Surat 1 498 817 2 433 835 3 927 101 Gujarat
8 Hyderabad 3 059 262 3 637 483 3 912 815 Andhra Pradesh
9 Pune 1 702 376 2 538 473 3 663 287 Maharashtra
10 Jaipur 1 518 235 2 322 575 3 416 819 Rajasthan
11 Kanpur 1 879 420 2 551 337 3 234 385 Uttar Pradesh
12 Lucknow 1 619 115 2 185 927 2 874 489 Uttar Pradesh
13 Nagpur 1 624 752 2 052 066 2 469 427 Maharashtra
14 Patna 917 243 1 366 444 2 021 498 Bihar
15 Indore 1 091 674 1 474 968 1 972 883 Madhya Pradesh
16 Thana 803 389 1 262 551 1 936 751 Maharashtra
17 Pimpri 517 083 1 012 472 1 920 898 Maharashtra
18 Bhopal 1 062 771 1 437 354 1 917 293 Madhya Pradesh
19 Ludhiana 1 042 740 1 398 467 1 800 830 Punjab
20 Agra 891 790 1 275 134 1 769 814 Uttar Pradesh
21 Ghaziabad 542 992 968 256 1 702 985 Uttar Pradesh
22 Nashik 656 925 1 077 236 1 695 920 Maharashtra
23 Rajkot 559 407 967 476 1 606 745 Gujarat
24 Vadodara 1 046 009 1 306 227 1 602 424 Gujarat
25 Faridabad 617 717 1 055 938 1 594 224 Haryana

7
India: largest cities and towns and statistics of their population, World Gazetter.
496 Law and Policies Pertaining to Urbanisation

26 Navi Mumbai 307 724 704 002 1 533 639 Maharashtra

27 Marat 753 778 1 068 772 1 456 406 Uttar Pradesh
28 Mira Bhayandar 175 605 520 388 1 397 423 Maharashtra
29 Kalyan 1 014 557 1 193 512 1 338 643 Maharashtra
30 Aurangabad 573 272 873 311 1 285 519 Maharashtra
31 Amritsar 708 835 966 862 1 265 766 Punjab
32 Varanasi 940 778 1 091 918 1 220 081 Uttar Pradesh
33 Sholapur 604 215 872 478 1 198 974 Maharashtra
34 Srinagar 702 478 898 440 1 188 388 Jammu & Kashmir
35 Allahabad 792 858 975 393 1 164 810 Uttar Pradesh
36 Ranchi 626 262 847 093 1 162 025 Jharkhand
37 Mysore 493 927 755 379 1 127 804 Karnataka
38 Koyampattur 816 321 930 882 1 120 462 Tamil Nadu
39 Jabalpur 764 586 932 484 1 112 215 Madhya Pradesh
40 Visakhapatnam 875 175 982 904 1 073 517 Andhra Pradesh
41 Guwahati 590 114 809 895 1 071 905 Assam
42 Jodhpur 666 279 851 051 1 048 939 Rajasthan
43 Haora 950 435 1 007 532 1 032 509 Bangla
44 Salem 499 024 696 760 1 021 893 Tamil Nadu
45 Vijayawada 701 827 851 282 1 005 452 Andhra Pradesh
46 Bhubaneswar 411 542 648 032 1 003 786 Orissa
47 Chandigarh 569 374 808 515 971 172 Chandigarh
48 Gwalior 690 765 827 026 965 851 Madhya Pradesh
49 Madurai 940 989 928 869 946 032 Tamil Nadu
50 Hubli 648 298 786 195 945 172 Karnataka

25.2 History of Urbanisation in India

When India gained independence the country’s population was a mere 350 million. Since
1947, the population of India has more than tripled.

In 1950, India’s total fertility rate was approximately 6 (children per woman). Nonetheless,
since 1952 India has worked to control its population growth. In 1983, the goal of the
country’s National Health Policy was to have a replacement value total fertility rate of
2.1 by the year 2000. That did not occur.
Other Urban Regulatory Frameworks 497

In 2000, the country established a new National Population Policy to stem the growth of
the country’s population. One of the primary goals of the policy was to reduce the total
fertility rate to 2.1 by 2010. One of the steps along the path toward the goal in 2010 was
a total fertility rate of 2.6 by 2002.
As the total fertility rate in India remains at the high number of 2.8, that goal was not
achieved so it is highly unlikely that the total fertility rate will be 2.1 by 2010. Thus,
India’s population will continue to grow at a rapid rate. The U.S. Census Bureau does
predict a near-replacement total fertility rate of 2.2 to be achieved in India in the year
2050.
India’s high population growth results in increasingly impoverished and sub-standard
conditions for growing segments of the Indian population. As of 2007, India ranked 126
th on the United Nations’ Human Development Index, which takes into account social,
health, and educational conditions in a country.
Population projections for India anticipate that the country’s population will reach 1.5
to 1.8 billion by 2050. While only the Population Reference Bureau has published projections
out to 2100, they expect India’s population at the close of the twenty-first century to
reach 1.853 to 2.181 billion. Thus, India is expected to become the first and only county
on the planet that will ever reach a population of more than 2 billion (recall that China’s
population is likely to drop after reaching a peak of about 1.46 billion in 2030 and the
U.S. isn’t ever likely to see a billion).
Although India has created several impressive goals to reduce its population growth
rates, India and the rest of the world has a long way to go to achieve meaningful
population controls in this country with a growth rate of 1.6%, representing a doubling
time of under 44 years.
Now the biggest challenge for urban managers lies in managing the urban population.
The growth of urban population in India is attributed to a large extent to migration
factor, which is generally experienced in the initial stage of urbanisation. The growth of
urbanisation during pre-independence period was slow. In the earlier part of 20th century
in 1901 the level of urbanisation was only 10:84% with only 25:85 million people in 1827
cities. During post-independence period the growth of urbanisation was fact. In 1951,at
the starting point of planned economic development, the level was 17:29% with 62.45
million.
Traditional rural-urban migration exists in India as villagers seek to improve opportunities
and lifestyles. In 1991, 39 million people migrated in rural-urban patterns of which 54%
were female. Caste and tribe systems complicate these population movements. According
to estimates 25% of the country’s poor live in urban areas and about 31% of the urban
population is poor.8
Seasonal urban migration is also evident throughout India in cities like Surat where
many migrants move into the city during periods of hardship and return to their native
villages for events such as the harvest.

8
India’s national census of 2001.
498 Law and Policies Pertaining to Urbanisation

Ratio of rural urban population of a country is an index of the level of industrialisation

of that country. As the industries get momentum, ratio of urban population go on
increasing. As India is predominantly an agricultural country, ratio of urban population
is less as compared to rural population.

Census of 2001 reveals that about 27 per cent population i.e. about 28 crore people were
living in urban areas. As against it, 74 per cent of the population i.e. 63 crore people
were living in rural areas.

It implies that in the economic life of India, role of industries is relatively less. In 1901,
rural population was 89.0 per cent while the urban population was 11.0 per cent. In 1921
rural population reduced to 88.8% and urban population increased to 11.2 per cent.

Further in 1951, rural population was 82.8 per cent and urban population was 17.2 per
cent. Moreover, in 1981 rural and urban population was recorded to be 76.7% and 23.3
per cent respectively against 74.0 per cent and 26.0 per cent in 1991. The population in
rural area was 72.6 per cent while 27.4 per cent in urban areas.

The population explosion table shows that in the last 100 years, percentage of urban
population in the country has increased from 11 per cent to 26 per cent. It proves that
in the economic life of India, role of cities has been increasing, but progress in this
direction is very slow.

Compared to developed countries, number of cities and the ratio of population living in
urban areas are very low. Just 26 per cent of population lives in urban areas, as against
80 per cent in England, 74 per cent in USA, 72 per cent in Japan, 60 per cent in Russia
and 52 per cent in France.

25.3 Planning for Population Management

Rapid population growth in cities often exerts pressure on the existing infrastructure,
housing and other basic amenities. The services required to support large concentration
of population are lagging behind the pace urbanisation. Even the infrastructure facilities
are not proper. The growth of urban centres created concentration of population, problems
of planning, co-ordination and development of civic amenities. Urbanisation requires a
healthy local government but it is made difficult by the explosive problems of urban
areas. The unplanned and unbalanced urban growth is leading to inter-regional
imbalances, rural urban divisions, springing up of large slums and environmental pollution.
It is also leading to social tension, depletion of resources, etc. The process of urban
development has been a big challenge to planners and administrations in India.

Historical measures to manage population in India

Historically, human population control has been implemented by limiting the
population’s birth rate, usually by government mandate, and has been undertaken
as a response to factors including high or increasing levels of poverty, environmental
Contd...
Other Urban Regulatory Frameworks 499

concerns, religious reasons and over population. While population control can involve
measures that improve people’s lives by giving them greater control of their
reproduction, some programs have exposed them to exploitation.

Worldwide, the population control movement was active throughout the 1960s and
1970s, driving many reproductive health and family planning programs. In the 1980s,
tension grew between population control advocates and women’s health activists
who advanced women’s reproductive rights as part of a human rights based approach.
Growing opposition to the narrow population control focus led to a significant
change in population control policies in the early 1990s.

In 1952, India was the first country in the world to launch a national program,
emphasizing family planning to the extent necessary for reducing birth rates “to
stabilise the population at a level consistent with the requirement of national
economy”. After 1952, sharp declines in death rates were, however, not accompanied
by a similar drop in birth rates.

In the early 1970s, then Prime Minister Mrs. Indira Gandhi had implemented a forced
sterilisation program, but failed. Officially, men with two children or more had to
submit to sterilisation, but many unmarried men, political opponents and unaware,
men were also believed to have been sterilised. This programme is still remembered
and criticised in India, and is blamed for creating a public aversion to family
planning which hampered Government programmes for decades.

Contraceptive usage has been rising gradually in India. In 1970, 13% of married
women used modern contraceptive methods, which rose to 35% by 1997 and 48% by
2009. The national family planning programme was launched in 1951, and was the
world’s first governmental population stabilisation programme. By 1996, the
programme had been estimated to have averted 168 million births.

The National Health Policy, 1983 stated that replacement levels of total fertility
rate (TFR) should be achieved by the year 2000. In 2000, a fresh policy was formulated.
National Population Policy, 2000 was formulated with the aim of stabilising population
in India. It states that stabilising population is an essential requirement for promoting
sustainable development with more equitable distribution. However, it is as much
a function of making reproductive health care accessible and affordable for all, as
of increasing the provision and outreach of primary and secondary education,
extending basic amenities including sanitation, safe drinking water and housing,
besides empowering women and enhancing their employment opportunities, and
providing transport and communications. The National Population Policy, 2000 (NPP
2000) affirms the commitment of government towards voluntary and informed choice
and consent of citizens while availing of reproductive health care services, and
continuation of the target free approach in administering family planning services.
The NPP 2000 provides a policy framework for advancing goals and prioritising
Contd...
500 Law and Policies Pertaining to Urbanisation

strategies during the next decade, to meet the reproductive and child health needs
of the people of India, and to achieve net replacement levels (TFR) by 2010. It is
based upon the need to simultaneously address issues of child survival, maternal
health, and contraception, while increasing outreach and coverage of a
comprehensive package of reproductive and child health services by government,
industry and the voluntary non-government sector, working in partnership.

National Population Policy 2000

Objectives
The immediate objective of the NPP 2000 is to address the unmet needs for
contraception, health care infrastructure, and health personnel, and to provide
integrated service delivery for basic reproductive and child health care.

The medium-term objective is to bring the TFR to replacement levels by 2010,

through vigorous implementation of inter-sectoral operational strategies.

The long-term objective is to achieve a stable population by 2045, at a level consistent

with the requirements of sustainable economic growth, social development, and
environmental protection.

The long and short term objectives of National Population Policy, 2000, are to
address the unmet need for contraception, development of health care infrastructure
including human resources, ensure the implementation of inter-sectoral operational
strategies and achieve a stable population by 2045, at a level consistent with the
requirements of sustainable economic growth, social development and
environmental protection.

For achieving population stabilisation as envisaged by National Population Policy

(NPP), comprehensive strategies aimed at convergence of service delivery at the
village level for basic health care, family planning and maternal and child health
related services; and empowerment of women for accessing health and nutrition
services and promotion of male participation in Family Planning are being
implemented as components of the State Programme Implementation Plan under
National Rural Health Mission.

The following specific initiatives have been taken in pursuance of the objectives of
NPP/NRHM towards population stabilisation:-
Since 2005, the National Family Planning Insurance Scheme is under implementation·
to compensate the sterilisation acceptors for failures, complications and deaths
and indemnity insurance cover to doctors;
Compensation Package for Sterilisation acceptors increased in September, 2007
i.e. in Vasectomy from Rs.800/- to Rs.1500/- and· tubectomy from Rs.800/- to Rs.1000/
Contd...
Other Urban Regulatory Frameworks 501

- in public facilities and a uniform amount of Rs.1500/- in accredited private health

facilities for all categories in all States for vasectomy in order to promote acceptance
of No Scalpel Vasectomy;
Promoting IUD 380A intensively as a spacing method because of its longevity of 10
years;·
Promotion of Fixed day Fixed Place Family Planning Services round the year in
health facilities under NRHM.·
The Prerna and Santushti strategy under which delayed marriage (after the legal
age) among girls, proper spacing in the birth of their children and Public Private
Partnership for providing family planning services are being implemented by
Jansankhya Sthirata Kosh(JSK).
Total Fertility rate has come down from 6.0 in 1951 to 2.6 in 2008. 14 major States
have already reached the replacement level of fertility. 12 States have TFR between
2.1 and 3.0. In the remaining nine States/UTs viz. Uttar Pradesh, Bihar; Madhya
Pradesh; Rajasthan; Chhatisgarh, Jharkhand, Meghalaya, Nagaland and Dadra &
Nagar Haveli, the TFR is above 3.0.
NGOs are supported by the respective State Governments under NRHM to provide
service delivery in Maternal and Child Health, Family Planning, Adolescent
Reproductive Health and Prevention and Management of RTI in addition to advocacy
and awareness generation, in areas which are under served or not served by
Government infrastructure.
India needs to work on several areas to manage its urbanisation. India also needs to
start a political process where the urban issues are debated with evolution of meaningful
solutions. The National Documentation Centre (NDC), an agency acting as an information
resource centre, which provides an access to documentation on all aspects of the subjects
of health, population and family welfare etc. needs to be involved in urban population
management strategies. The following areas are perhaps the most important:

1) Inclusive cities - The poor and lower income groups must be brought into the
mainstream in cities. Regulations intended to manage densities and discourage
migration both limit the supply of land and require many households to consume
more land than they would choose. This drives urban sprawl and pushes up the price
of land and the cost of service delivery for all. High standards for parking, coverage
limits, setbacks, elevators, road widths, reservations for health centres, schools
etc. (often not used) prevent the poor from choosing how much to consume of the
costliest resource (urban land) to put a roof over their heads, and comply with legal
requirements. Informality is now the only path to affordable housing for the bulk of
the population in India’s cities. But informality implies illegality and therefore
vulnerability. While lower income groups pay dearly for shelter and services — they
are bereft of normal property rights protections and their investments are thus far
riskier than those of the well off. They must instead depend on the good will of
502 Law and Policies Pertaining to Urbanisation

bureaucrats and politicians — to safeguard their homes and places of business.

These barriers to healthy urbanisation come not only at a high human cost, but take
a toll on productivity. Chronic informality discourages the very investments in
education, health and housing improvements the lower classes need to improve
their own lot and contribute more to the national economy.
2) Urban governance - Meaningful reforms have to happen that enable true devolution
of power and responsibilities from the states to the local and metropolitan bodies
according to the 74th Amendment. This is because by 2030, India’s largest cities
will be bigger than many countries today. India’s urban governance of cities needs
an over-haul. India’s current urban governance is in sharp contrast to large cities
elsewhere that have empowered mayors with long tenures and clear accountability
for the city’s performance. India also needs to clearly define the relative roles of its
metropolitan and municipal structures for its 20 largest metropolitan areas. With
cities growing beyond municipal boundaries, having fully formed metropolitan
authorities with clearly defined roles will be essential for the successful management
of large cities in India.
3) Funding - Devolution has to be supported by more reforms in urban financing that
will reduce cities’ dependence on the Centre and the states and unleash internal
revenue sources. Consistent with most international examples, there are several
sources of funding that Indian cities could tap into, to a far greater extent than
today: monetising land assets; higher collection of property taxes, user charges that
reflect costs; debt and public-private partnerships (PPPs); and central/state
government funding. However, internal funding alone will not be enough, even in
large cities. A portion has to come from the central and state governments. Here
one can use central schemes such as JNNURM and Rajiv Awas Yojana but eventually
India needs to move towards a systematic formula rather than ad-hoc grants. For
large cities with deep economies, this might mean allowing them to retain 20 per
cent of goods and services tax (GST) revenues. This is consistent with the 13th
Central Finance Commission’s assessment that GST— a consumption-based tax that
creates local incentives for growth and that is therefore well suited for direct
allocation to the third tier of government. For smaller cities, however, a better
option would be to give guaranteed annual grants.
4) Planning - India needs to make urban planning a central, respected function, investing
in skilled people, rigorous fact base and innovative urban form. This can be done
through a “cascaded” planning structure in which large cities have 40-year and 20-
year plans at the metropolitan level that are binding on municipal development
plans. Central to planning in any city is the optimal allocation of space, especially
land use and Floor Area Ratio (FAR) planning. Both should focus on linking public
transportation with zoning for affordable houses for low-income groups. These plans
need to be detailed, comprehensive and enforceable.
5) Capacity building - A real step-up in the capabilities and expertise of urban local
bodies will be critical to devolution and improvement of service delivery. Reforms
Other Urban Regulatory Frameworks 503

will have to address the development of professional managers for urban management
functions, who are in short supply and will be required in large numbers. New
innovative approaches will have to be explored to tap into the expertise available
in the private and social sectors. India needs to build technical and managerial
depth in its city administrations. In the Indian Civil Services, India has a benchmark
for how to build a dedicated cadre for governance. India now needs to create an
equivalent cadre for cities, as well as allow for lateral entry of private-sector
executives.
6) Low-income housing - Affordable housing is a particularly critical concern for low-
income groups — in the absence of a viable model that caters to their needs, India
can meet the challenge through a set of policies and incentives that will bridge the
gap between price and affordability. This will enable a sustainable and economically
viable affordable housing model for both government housing agencies and as well
as private developers. India also needs to encourage rental housing as an option
particularly for the poorest of the poor, who may not be able to afford a home even
with these incentives. With the 74th amendment to India’s constitution and the
Jawaharlal Nehru National Urban Renewal Mission (JNNURM), India took the first
steps toward urban reforms. Going forward, the central government has to play a
catalytic role accompanied by a supporting package of incentives. States should
recognise that starting early on the urban transformation will give them competitive
advantage, attract investment, and create jobs — getting them ahead of the curve.

All said and done, it should not be forgotten that urbanisation is an integral part of
the process of economic growth. As in most countries, India’s towns and cities make
a major contribution to the country’s economy. With less than 1/3 of India’s people,
its urban areas generate over 2/3 of the country’s GDP and account for 90% of
government revenues.
Fast Facts : Urbanisation in India
Most Urbanised States/UT : National Capital Territory of Delhi (97.5 percent),
the Union territory of Chandigarh (97.25
percent), Daman and Diu (75.2 percent) and
Puducherry (68.3 percent)
Number of town cities : 5161 in 2001; 7935 in 2011
Urban Pop. : 27.81% in 2001 to 37.7% in 2011

25.4 Challenges Posed by Increasing Urban Population

Urbanisation in India has expanded rapidly as increasing numbers of people migrate to
towns and cities in search of economic opportunity. Slums now account for 1/4 of all
urban housing. In Mumbai, for instance, more than half the population lives in slums,
many of which are situated near employment centre in the heart of town, unlike in most
other developing countries.
504 Law and Policies Pertaining to Urbanisation

Meeting the needs of India’s soaring urban populations is and will therefore continue to
be a strategic policy matter. Critical issues that need to be addressed are:
♦ Poor local governance;
♦ Weak finances;
♦ Inappropriate planning that leads to high costs of housing and office space; in some
Indian cities these costs are among the highest in the world;
♦ Critical infrastructure shortages and major service deficiencies that include erratic
water and power supply, and woefully inadequate transportation systems;
♦ Rapidly deteriorating environment; and
Challenges of Urban Society – The rapid rate of urbanisation today in India is posing a
range of challenges that has to be tactfully met by urban managers. They are:
Planning
♦ Many urban governments lack a modern planning framework;
♦ The multiplicity of local bodies obstructs efficient planning and land use;
♦ Rigid master plans and restrictive zoning regulations limit the land available for
building, constricting cities’ abilities to grow in accordance with changing needs.
Housing
♦ Building regulations that limit urban density — such as floor space indexes — reduce
the number of houses available, thereby pushing up property prices;
♦ Outdated rent control regulations reduce the number of houses available on rent–
a critical option for the poor;
♦ Poor access to micro finance and mortgage finance limit the ability of low income
groups to buy or improve their homes;
♦ Policy, planning and regulation deficiencies lead to a proliferation of slums;
♦ Weak finances of urban local bodies and service providers leave them unable to
expand the trunk infrastructure that housing developers need to develop new sites.
Service delivery:
♦ Most services are delivered by city governments with unclear lines of accountability;
♦ There is a strong bias towards adding physical infrastructure rather than providing
financially and environmentally sustainable services;
♦ Service providers are unable to recover operations and maintenance costs and
depend on the government for finance; and
♦ Independent regulatory authorities that set tariffs, decide on subsidies, and enforce
service quality are generally absent.
Other Urban Regulatory Frameworks 505

Infrastructure:
♦ Most urban bodies do not generate the revenues needed to renew infrastructure,
nor do they have the creditworthiness to access capital markets for funds;
♦ Urban transport planning needs to be more holistic – there is a focus on moving
vehicles rather than meeting the needs of the large numbers of people who walk or
ride bicycles in India’s towns and cities.
Environment:
♦ The deteriorating urban environment is taking a toll on people’s health and
productivity and diminishing their quality of life.

25.5 A Few Case Studies: Best Practices/Projects

In our previous units we have already read about the policies existing at national level
to tackle urban challenges. Let us now examine some good policies/projects designed at
a local level by different States in India.
There are many States in India that have come up with models or projects that aim at
supporting policy reforms in critical areas such as land use planning and municipal
finance, as well as institutional reforms. Some such projects are as follows:
1) Karnataka Municipal Reform Project: Karnataka is one of India’s most rapidly
urbanising states; its capital city of Bangalore is known as the Silicon Valley of
India. Enormous growth in business opportunities, as well as rising urban populations
and incomes has led to strong demand for better infrastructure and services.
The objective of the Karnataka Municipal Reform Project for India is to help improve
the delivery of urban services through enhancing the quality of urban infrastructure,
and strengthening the institutional and financial frameworks for urban services at
the Urban Local Bodies (ULB) and state levels.
There are four components to the project, the first component being institutional
development; the second component is the municipal investment support; the third
component is the Bangalore development; finally, the fourth component is the
project management.
The changes aimed at include:
i) a reduction in the scope of activities (Institutional Development for land
management and planning) and (municipal investment support); including
modification to three of the related indicators within the results framework;
ii) re-definition of the scope of activities related to greater Bangalore sewerage
related interventions under Bangalore development component;
iii) minor re-allocation of expected loan savings across components aggregating
US$3.97 million, and changes to disbursement percentages and broadened
definitions across some of the disbursement categories; and
iv) revised disbursement projections.
506 Law and Policies Pertaining to Urbanisation

2) The Third Tamil Nadu Urban Development Project (TNUDP III) – The TNUDP III aims
to help to improve civic services in the state. It aims at improving the delivery of
urban services through enhancing the quality of urban infrastructure and
strengthening the institutional and financial framework.

The Project consists of two complementary components:

1) Provide support for management improvements and institutional changes, including
provision of goods, technical assistance, workshops and staff training to support the
implementation and sustainability of urban policy reforms, organisational
performance and urban services delivery.
2) Aim at developing sustainable urban investments such as water supply, waste water
collection, solid waste management, storm water drains, roads and common facilities
such as transportation networks, and sanitation facilities, based on demand driven
investment plans developed by Urban Local Bodies (ULBs).
3) Andhra Pradesh Urban Reform and Municipal Services Project - The objective of the
Andhra Pradesh (AP) Municipal Development Project for India is to help improve
urban services in AP, and the capacity of urban local bodies (ULBs) of AP to sustain
and expand urban services.

The project consists of three technical assistance and one investment components:
1) state level policy and institutional development support aims at improving the
state’s policy and institutional framework to support service delivery and capacity
building by ULBs;
2) municipal capacity enhancement aims at enhancing the financial and technical
capacity and operating systems of all ULBs (currently 126);
3) urban infrastructure investment to finance sustainable, high-priority investments
identified by ULBs to improve urban services or operational efficiency. To be eligible,
ULBs need adequate financial capacity to sustainably finance and operate the
facilities and an adequate and feasible plan to improve their financial and
management capacity; and
4) project management technical assistance aims at ensuring the quality of subproject
preparation, implementation and monitoring.

25.6 Conclusion
Urbanisation is not a side effect of economic growth; it is an integral part of the process.
As in most countries, India’s urban areas make a major contribution to the country’s
economy. Indian cities contribute to about 2/3 of the economic output, host a growing
share of the population and are the main recipients of FDI and the originators of innovation
and technology and over the next two decades are projected to have an increase of
population from 282 million to 590 million people. India’s towns and cities have expanded
rapidly as increasing numbers migrate to towns and cities in search of economic
opportunity.
Other Urban Regulatory Frameworks 507

Hence accompanying India’s rapid economic growth will be a fundamental shift in terms
of a massive urban transformation, possibly the largest national urban transformation
of the 21st century. This would pose unprecedented challenges to India’s growing cities
and towns in providing housing and infrastructure (water, sewerage, transportation,
etc.), and addressing slums. Already, slums now account for about 26% of all urban
population in cities. In Mumbai, more than half the population lives in slums, many of
which are situated near employment centers in the heart of town, unlike in most other
cities in developing countries. This would also entail massive capital investment needs
in urban infrastructure India, as highlighted by various Finance Commissions and expert
bodies. For instance, the Report on Indian Urban Infrastructure and Services by the High
Powered Expert Committee (HPEC) on urban projects an investment requirement of
over US$ 870 billion over the next 20 year period. Similarly a Mckinsey study on Indian
urbanisation projects an investment need of US$ 1.2 trillion over a similar period. Meeting
the needs of India’s soaring urban populations is and will continue to be a strategic
policy matter for various national, state and city governments. Promoting an efficient
urbanisation process in India will require a set of policies that will deal with land policies
and basic needs, connective infrastructure and specific interventions. India also needs
well managed cities with high quality services. Water supply and sanitation, urban
transport and urban drainage are key local services to ensure the quality of living and
sustained growth. Sustained energy supply, and affordable serviced land are services
that are essential for the development of the economy.

25.7 References and Recommended Readings

Government of India and United Nations Development Programme, 2002, Successful
Governance Initiatives and Best Practices: Experiences from Indian States , Planning
Commission, GoI and Human Development Resource Centre, UNDP.
International Institute for Population Sciences (IIPS), 1995, National Family Health Survey
India – 1992-93, National and various State Reports, Mumbai.
International Institute for Population Sciences (IIPS) and ORC Macro, 2000, National
Family Health Survey India - 1998-99, National and various State Reports, Mumbai.
Mahbub ul Haq Human Development Centre, Various Years, Human Development in South
Asia, Oxford University Press, Karachi.
Misra, Rajiv, Rachel Chatterjee, Sujatha Rao, 2003, India Health Report, Oxford University
Press, New Delhi.
Prabhu, K. Seeta, and R. Sudarshan, 2002, Reforming India’s Social Sector: Poverty
Nutrition, Health and Education. Social Science Press, New Delhi.
Sen, Abhijit and Himanshu, 2004, ‘Poverty and Inequality in India’, Economic and Political
Weekly, 39(38).
Sen, Amartya, 1999, ‘Health in Development’, Bulletin of the World Health Organisation,
WHO, Geneva, 77(8).
508 Law and Policies Pertaining to Urbanisation

UNIT 26
URBAN HEALTH AND
SANITATION
Contents
26.1 Introduction 508
26.2 Policies Pertaining to Public Health and Sanitation 509
26.3 Schemes on Health and Sanitation 513
26.4 Priority Areas in Health and Sanitation 519
26.5 Role of Education and Health Services 531
26.6 References and Recommended Readings 533

26.1 Introduction
According to a United Nations, Department of Economic and Social Affairs, Population
Division (2019 report, India is projected to add 416 million urban dwellers by 2050
(Highlights (ST/ESA/SER.A/421). Currently, a sizable proportion of the population in
most Indian cities lives in slum areas. The urban poor often face health threats that
closely resemble the risk faced in rural areas. They can adopt pattern of health seeking
behaviour that are hardly distinguishable from those of rural villages and the health
services to which the urban poor have access can be little better in terms of quality
than those located in rural areas.

Today the urban settings of the wealthy nations are largely associated with opportunity,
accumulation of wealth and better health than their rural counterparts. In the twenty-
first century, demographic changes, globalisation and climate change are having important
health consequences on wealthy nations and especially on low- and middle-income
countries. The increasing concentration of poverty and significant inequalities between
urban neighbourhoods and the physical and social environments in cities are important
determinants of population health. It is important to identify the priority problems and
outline solutions that can generate and sustain healthy urban environments.

As per the statistics compiled by UN, if urbanisation continues at the present rate, then
68% of global population will live in urban areas by 2050. While JNURM is beginning to
tackle urban infrastructure issues, urban health issues need immediate attention,
especially in the context of urban poor. Another interlinked issue is urban sanitation.
Other Urban Regulatory Frameworks 509

Sanitation is defined as safe disposal of human excreta including its safe confinement
treatment disposal and associated hygiene practices. Sanitation also depends on other
elements like environmental sanitation along with the management of drinking water
supply. The urban growth lead to an increase in the pollution levels and exposes population
to serious environmental health hazards. Environmental pollution in urban areas is
associated with excessive morbidity and mortality. Overcrowding and inadequate housing
contribute to pollution related diseases such as respiratory diseases, acute water borne
diseases, tuberculosis, meningitis and various other diseases. The solid waste generation
in cities has increased from 6 million tonnes (mts) in 1947 to 48 mts in 1997 and is
expected to increase to 300 mts by 2047. The average waste collection in Indian cities is,
however, 72 per cent. Till recently medical wastes were also deposited and mixed with
municipal waste collection. Monitoring of the urban environment in selected cities in
recent years by the Central Pollution Control Board (CPCB) has identified 24 critically
polluted areas in the country (10th Five Year Plan).

26.2 Policies Pertaining to Public Health and Sanitation

As per Census 2011, level of urbanization in India has increased from 27.81% in 2001 to
31.16% in 2011 and the proportion of rural population declined from 72.19% to 68.84%.
India has witnessed significant growth over the last two decades, the proportion of poor
below the poverty line has dropped from 45% to 22% between 1994 and 2012. India also
has among the world’s largest urban population with below poverty line incomes and the
world’s largest population living in slums. In 2004–2005, 80.8 million urban dwellers (25.6
per cent) were below the poverty line and the largest concentrations of urban poor
populations were in Maharashtra (14.6 million), Uttar Pradesh (11.7 million) and Madhya
Pradesh (7.4 million), and Tamil Nadu, Karnataka and Andhra Pradesh (each with between
6–6.9 million). This is also likely to be an underestimate, for reasons discussed later.
Until recently, urban health and sanitation was not the main focus of public health
policies, since the majority of the population lived in rural areas. It was often assumed
that the heavy concentration of health facilities and personnel in urban areas, particularly
in the private sector, would automatically take care of the increasing urban population
and its health needs.
♦ During the Fifth Plan (1974-79), policy-makers started to address health alongside
other development programs. The Minimum Needs Programme (MNP) promised to
address all this but became an instrument through which only health infrastructure
in the rural areas was to be expanded and further strengthened. It called for
integration of peripheral staff of vertical programmes but the population control
programmes got further impetus during the Emergency (1975-77) and most of the
basic health workers got sucked into the family planning programmes.
♦ The Chaddha Committee Report (1963), the Kartar Singh Committee Report on
Multipurpose Workers (1974) and the Srivastava Committee Report on Medical
Education and Support Manpower (1975) remained focused on giving
recommendations on how the health cadres at the primary level should be distributed.
510 Law and Policies Pertaining to Urbanisation

With the widespread disillusionment with vertical programmes worldwide and the
need to provide universal health services came the Primary Health Care Declaration
at Alma Ata in 1978, which India was a signatory to.
♦ The Sixth Plan (1980-84) was influenced by two policy documents: the Alma Ata
Declaration and the ICMR/ICSSR report on ‘Health for All by 2000’. The ICMR/ICSSR
Report (1980) was in fact a move towards articulating a national health policy that
was thought of as an important step to realise the Alma Ata Declaration. It was
realised that one had to redefine and rearticulate and get back into track an
integrated and comprehensive health system that policy-makers had wavered from.
It reiterated the need to integrate the development of the health system with the
overall plans of socio-economic and political change. The National Health Policy,
1983 attempted to incorporate all these. Provision of universal, comprehensive
primary health services was its goal.
♦ The Seventh Plan (1985-90) restated that the rural health programmes and the
three- tier health services system need to be strengthened and that the government
had to make up for the deficiencies in personnel, equipment and facilities.
♦ The Eighth Plan (1992-97) distinctly encouraged private initiatives, private hospitals,
clinics and suitable returns from tax incentives. With the beginning of structural
adjustment programmes and cuts in social sectors, excessive importance was given
to vertical programmes such as those for the control of AIDS, tuberculosis, polio
and malaria funded by multilateral agencies with specified objectives and conditions
attached.
♦ Both the Ninth (1997-2002) and the Tenth Five-Year Plans (2002-2007) start with a
dismal picture of the health services infrastructure and go on to say that it is
important to invest more on building good primary-level care and referral
services.
Even courts on various occasions have declared in unequivocal terms that maintenance
of health, preservation of sanitation falls within the purview of Article 21 of the
Constitution as it adversely affects the life of the citizen and it amounts to slow poisoning
and reducing the life of the citizen because of the hazards created, if not checked. The
court have also declared that it is a primary, mandatory and obligatory duty of the
municipal corporations/ councils to remove rubbish, filth, night soil or any noxious or
offensive matter. The Pollution Boards and its officers have a basic duty under the
Environment (Protection) Act, 1986 to stop unauthorised movement and/or disposal of
the waste. They are also empowered to take action against erring industries and persons.
In Virendar Gaur v. State of Haryana and in many other cases, the Supreme Court has
time and again declared that right to life under Article 21 encompasses right to live with
human dignity, quality of life and decent environment. Thus, pollution free environment
and proper sanitary condition in cities and towns, without which life cannot be enjoyed,
is an integral facet of right to life.1

1
Solid Waste Management—An Indian Legal Profile by Prof. Satish. C. Sastri.
Other Urban Regulatory Frameworks 511

It is obvious that effective policies for poverty reduction depend on the availability of
good data on who is poor and the nature of their deprivation. The data are needed not
only for national populations but also for states, rural and urban populations and cities.
Many comparisons of health-related deprivation are made between rural and urban
areas, but far less attention has been given to identifying the range of health-related
deprivation within urban populations.

Estimates as to the proportion of the urban population in India that faces deprivation
can be drawn from three different data sets. The first is based on expenditure on
consumption goods, from which a poverty line is derived. Official statistics suggest that
around 24 per cent of India’s urban population was poor in 2001, with an expenditure on
consumption goods below the poverty line of Rs 454 per month.2 Estimates for 2004–2005,
with some revisions in the methodology for setting the poverty line, suggested 25.7 per
cent.3 But there are worries that the poverty line is set too low in relation to the costs
of non-food needs in many urban areas, especially in successful cities where the costs of
non-food needs are particularly high.

The second is based on housing conditions (e.g. the proportion living or not living in
slums). But this depends on accurate and complete surveys. Official statistics on the
proportion of the population living in slums are known to be inaccurate for many cities
in India because they do not include unaccounted for and unrecognised informal
settlements and people residing in poor quality housing in inner-city areas, on construction
sites, in urban fringe areas and on pavements. For instance, a study in Indore showed
that there were 438 officially recognised slums but a process of mapping found an
additional 101 slums. Official statistics suggest that of Indore’s 1.5 million inhabitants in
2001, 261,000 lived in slums (17.7 per cent of Indore’s population). If a more realistic
estimate of the slum population of the city is considered, including the population in the
additional 101 slums, more than 40 per cent of Indore’s population lives in slums/urban
poor settlements.4 In Delhi, the 2001 census estimated an urban slum population of 1.85
million, which was 18.7 per cent of Delhi’s urban population. But if full account is taken
of unauthorised settlements, including jhuggi jhodpi clusters (squatter settlements),
slum-designated areas (slums recognised by the government, many of which are in the
walled city), unauthorised colonies and jhuggi jhodpi resettlement colonies (squatter
resettlement colonies), these are estimated to have a population of 9.84 million in 2011
and thus represent more than half of Delhi’s total population, which is estimated to be

2
GOI (2001), “Poverty estimates for 1999– 2000”, Planning Commission, New Delhi, accessed 31
December 2010. at http://www. planningcommission.gov.in/ hindi/reports/articles/ncsxna/
index.php?repts=ar_pvrty.htm.
3
Government of India (2009), “Report of the expert group to review the methodology for estimation of
poverty”, Planning Commission, New Delhi.
4
Taneja, S and S Agarwal (2004), Situational Analysis for Guiding USAID/EHP India’s Technical Assistance
Efforts in Indore, Madhya Pradesh, India, Environmental Health Project Activity Report 133, Washington
DC.
512 Law and Policies Pertaining to Urbanisation

19 million in 2011.5 A further 100,000 people are homeless and reside on pavements,
under bridges and by the roadside; many are rickshaw pullers and casual workers.6

Thus, any statistic on slum population for a city or state has to be viewed with caution,
as it may only include settlements that have been officially classified as “slums” or
“notified slums”. As a large proportion of low-income urban clusters are informal or
“illegal”, they are not part of official slum lists and hence are often not part of the
public authorities’ mandate to provide basic services such as drainage, water, sanitation
and health care. According to National Sample Survey 58th Round (2002), 49.4 per cent
of slums were non-notified.

Another reason for the undercount of India’s slum population was that in the 2001 census,
data on slums were only collected for urban centers with 50,000+ inhabitants; the total
slum population in India would be higher if the census had covered all urban centers.
Data from the 2001 census showed that many urban centers in India had more than one-
quarter of their population in slums, including some with more than 40 per cent and a
few with more than one-half.

The third set of estimates on urban deprivation in India is based on a wealth index
constructed from data in the National Family Health Survey 2005–2006. This allows the
urban population to be classified according to their wealth, based on an index that
includes consideration of 33 assets and housing characteristics.7 This allows comparisons
between the poorest quartile of the population calculated using this wealth index and
the rest of the population.

Identifying the India Poor

In May 2011, the India’s cabinet approved a proposal for a survey to identify people
living below the poverty line, which also redefines what constitutes poverty.
On the basis of the new definition of poverty, the rural poor were classified into
“destitute, manual scavengers and primitive tribal groups”. In the survey, urban
poor were defined as those in vulnerable shelters, low-paid jobs and homes
headed by women or children. The survey was conducted alongside a caste census
to help identify those who were in need of state aid.

5
Government of National Capital Territory of Delhi (2006), Economic Survey of Delhi 2005–2006, Planning
Department, page 364; also Bhan, Gautam (2009), “This is no longer the city I once knew; evictions,
the urban poor and the right to the city in Millennial Delhi”, Environment and Urbanization Vol 21, No
1, April, pages 127– 142.
6
Agarwal, S, A Srivastava, B Choudhary and S Kaushik (2007), State of Urban Health in Delhi, Ministry
of Health and Family Welfare, Government of India and Urban Health Resource Centre, Delhi, page 14.
7
These include a range of housing characteristics (including electrification, type of windows, drinking
water source, type of toilet facility, flooring, roofing and exterior walls materials, cooking fuel, house
ownership) and a range of assets (including ownership of a mattress, chair, cot/ bed, table, electric
fan, radio, television, sewing machine, mobile or other phone, computer, fridge, watch or clock,
bicycle or motorcycle).
Other Urban Regulatory Frameworks 513

Census 2011 covered 35 States/Union Territories, 640 districts, 5,924 sub-districts,

7,935 Towns and 6,40,867 Villages. In Census 2001, the corresponding figures were
593 Districts, 5,463 sub-Districts, 5,161 Towns and 6,38,588 Villages. There is an
increase of 47 Districts, 461 Sub Districts, 2774 Towns (242 Statutory and 2532 Census
Towns) and 2279 Villages in Census 2011 as compared to Census 2001. On a comparison
between the census of 2001 and 2011, it was found that -
♦ The growth rate of population for India in the last decade was 17.64%. The
growth rate of population in rural and urban areas was 12.18% and 31.80%
respectively. Bihar (23.90%) exhibited the highest decadal growth rate in rural
population.
♦ India’s population in 1901 was about 238.4 million, which has increased by more
than four times in 110 years to reach a population of 1,210 million in 2011.
Before the Census of 2011, the last poverty survey was conducted in 2002, but this
is the first time that details about caste and religion will be included. The last caste
census in India was in 1931.
There are various estimates on the exact number of poor in India. Officially, 37% of
India’s 1.21bn people live below the poverty line. But one estimate suggests this
figure could be as high as 77%.
Under the new system, in rural areas, families owning fixed-line telephones,
refrigerators and farmers who have a credit limit of 50,000 rupees ($1,112; £688)
were not be counted among India’s poorest. Government staff or those earning
10,000 rupees ($222; £137) a month were also be excluded. Home-owners with three
or more rooms were also not be classified as poor.

26.3 Schemes on Health and Sanitation

There are various policies in India pertaining to Health and Sanitation. Some policies
pertaining to Health are -
1) The National Health Policy, 2017 - The National Health Policy 2017 advocates
commitment to reforming the health sector and achieving universal health coverage,
not least by proposing an increase in the health budget to 2.5% of GDP. The policy
also sets bound targets for disease elimination, reduction of premature and
preventable mortality, systems strengthening, as well as improving health services.
Major highlights of the National Health Policy 2017 are as follows:
♦ Assurance Based Approach- Policy advocates progressively incremental Assurance
based Approach with focus on preventive and promotive healthcare.
♦ Health Card linked to health facilities- Policy recommends linking the health
card to primary care facility for a defined package of services anywhere in the
country.
514 Law and Policies Pertaining to Urbanisation

♦ Patient Centric Approach- Policy recommends the setting up of a separate,

empowered medical tribunal for speedy resolution to address disputes /
complaints regarding standards of care, prices of services, negligence and unfair
practices. Standard Regulatory framework for laboratories and imaging centers,
specialized emerging services, etc.
♦ Micronutrient Deficiency- Focus on reducing micronutrient malnourishment and
systematic approach to address heterogeneity in micronutrient adequacy across
regions.
♦ Quality of Care- Public hospitals and facilities would undergo periodic
measurements and certification of level of quality. Focus on Standard Regulatory
Framework to eliminate risks of inappropriate care by maintaining adequate
standards of diagnosis and treatment.
♦ Make in India Initiative- Policy advocates the need to incentivize local
manufacturing to provide customized indigenous products for Indian population
in the long run.
♦ Application of Digital Health- Policy advocates extensive deployment of digital
tools for improving the efficiency and outcome of the healthcare system and
aims at an integrated health information system which serves the needs of all
stake-holders and improves efficiency, transparency, and citizen experience.
♦ Private Sector engagement for strategic purchase for critical gap filling and for
achievement of health goals.

2) National Rural Health Mission

♦ The National Rural Health Mission (2005-12) seeks to provide effective health
care to rural population throughout the country with special focus on 18 states,
which have weak public health indicators and/or weak infrastructure.
♦ These 18 States are Arunachal Pradesh, Assam, Bihar, Chhattisgarh, Himachal
Pradesh, Jharkhand, Jammu & Kashmir, Manipur, Mizoram, Meghalaya, Madhya
Pradesh, Nagaland, Orissa, Rajasthan, Sikkim, Tripura, Uttaranchal and Uttar
Pradesh.
♦ The Mission is an articulation of the commitment of the Government to rise
public spending on Health from 0.9% of GDP to 2-3% of GDP.
♦ It aims to undertake architectural correction of the health system to enable it
to effectively handle increased allocations as promised under the National
Common Minimum Programme and promote policies that strengthen public
health management and service delivery in the country.
♦ It has as its key components provision of a female health activist in each village;
a village health plan prepared through a local team headed by the Health &
Sanitation Committee of the Panchayat; strengthening of the rural hospital for
Other Urban Regulatory Frameworks 515

effective curative care and made measurable and accountable to the community
through Indian Public Health Standards (IPHS); and integration of vertical Health
& Family Welfare Programmes and Funds for optimal utilisation of funds and
infrastructure and strengthening delivery of primary healthcare.

3) National Urban Health Mission (NUHM)

The National Urban Health Mission (NUHM) was approved by the Cabinet as a sub-
mission of National Health Mission (NHM) on 1st May 2013.
NUHM envisages to meet health care needs of the urban population with the focus
on urban poor, by making available to them essential primary health care services
and reducing their out of pocket expenses for treatment. This will be achieved by
strengthening the existing health care service delivery system, targeting the people
living in slums and converging with various schemes relating to wider determinants
of health like drinking water, sanitation, school education, etc. implemented by the
Ministries of Urban Development, Housing & Urban Poverty Alleviation, Human
Resource Development and Women & Child Development.
NUHM would endeavour to achieve its goal through:-
i) Need based city specific urban health care system to meet the diverse health
care needs of the urban poor and other vulnerable sections.
ii) Institutional mechanism and management systems to meet the health-related
challenges of a rapidly growing urban population.
iii) Partnership with community and local bodies for a more proactive involvement
in planning, implementation, and monitoring of health activities.
iv) Availability of resources for providing essential primary health care to urban
poor.
v) Partnerships with NGOs, for profit and not for profit health service providers
and other stakeholders.
NUHM would cover all State capitals, district headquarters and cities/towns with a
population of more than 50000. It would primarily focus on slum dwellers and other
marginalized groups like rickshaw pullers, street vendors, railway and bus station
coolies, homeless people, street children, construction site workers.
The centre-state funding pattern will be 75:25 for all the States except North-
Eastern states including Sikkim and other special category states of Jammu & Kashmir,
Himachal Pradesh and Uttarakhand, for whom the centre-state funding pattern will
be 90:10.The Programme Implementation Plans (PIPs) sent by the by the states are
apprised and approved by the Ministry.

4) Mission Indradhanush
To strengthen and re-energize the programme and achieve full immunization coverage
for all children and pregnant women at a rapid pace, the Government of India
launched “Mission Indradhanush” in December 2014.
516 Law and Policies Pertaining to Urbanisation

The ultimate goal of Mission Indradhanush is to ensure full immunization with all
available vaccines for children up to two years of age and pregnant women. The
Government has identified 201 high focus districts across 28 states in the country
that have the highest number of partially immunized and unimmunized children.

Earlier the increase in full immunization coverage was 1% per year which has
increased to 6.7% per year through the first two phases of Mission Indradhanush.
Four phases of Mission Indradhanush have been conducted till August 2017 and more
than 2.53 crore children and 68 lakh pregnant women have been vaccinated.

5) Intensified Mission Indradhanush (IMI)

To further intensify the immunization programme, Prime Minister Shri Narendra
Modi launched the Intensified Mission Indradhanush (IMI) on October 8, 2017. Through
this programme, Government of India aims to reach each and every child up to two
years of age and all those pregnant women who have been left uncovered under the
routine immunisation programme/UIP. The focus of special drive was to improve
immunisation coverage in select districts and cities to ensure full immunisation to
more than 90% by December 2018.

Under IMI, four consecutive immunization rounds were conducted for 7 days in 173
districts (121 districts and 17 cities in 16 states and 52 districts in 8 northeastern
states) every month between October 2017 and January 2018. Intensified Mission
Indradhanush has covered low performing areas in the selected districts (high priority
districts) and urban areas. Special attention was given to unserved/low coverage
pockets in sub-centre and urban slums with migratory population. The focus was
also on the urban settlements and cities identified under National Urban Health
Mission (NUHM).

6) Intensified Mission Indradhanush (IMI) 2.0

To boost the routine immunization coverage in the country, Government of India
has introduced Intensified Mission Indradhanush 2.0 to ensure reaching the unreached
with all available vaccines and accelerate the coverage of children and pregnant
women in the identified districts and blocks from December 2019-March 2020.

The IMI 2.0 aims to achieve targets of full immunization coverage in 272 districts in
27 States and at block level (652 blocks) in Uttar Pradesh and Bihar among hard-to-
reach and tribal populations.

With the launch of Intensified Mission Indradhanush 2.0, India has the opportunity
to achieve further reductions in deaths among children under five years of age, and
achieve the Sustainable Development Goal of ending preventable child deaths by
2030.

Several ministries, including the Ministry of Women and Child Development,

Panchayati Raj, Ministry of Urban Development, Ministry of Youth Affairs and others
Other Urban Regulatory Frameworks 517

have come together to make the mission a resounding success and support the
central government in ensuring the benefits of vaccines reach the last mile.
The salient features of IMI 2.0 are:
♦ Conduction of four rounds of immunization activity over 7 working days excluding
the RI days, Sundays and holidays.
♦ Enhanced immunization session with flexible timing, mobile session and
mobilization by other departments.
♦ Enhanced focus on left outs, dropouts, and resistant families and hard to reach
areas.
♦ Focus on urban, underserved population and tribal areas.
♦ Inter-ministerial and inter-departmental coordination.
♦ Enhance political, administrative and financial commitment, through advocacy.
♦ IMI 2.0 drive is being conducted in the selected districts and urban cities between
Dec 2019 – March 2020
The erstwhile Millennium Development Goals (MDGs) enjoined upon the signatory
nations to extend access to improved sanitation to at least half the urban population
by 2015, and 100% access by 2025. This implied extending coverage to households
without improved sanitation, and providing proper sanitation facilities in public
places to make cities open defecation free.

The issues of health and well-being are closely related to that of an adequate water
supply and functional sanitation systems. India is focused on ensuring access to
water and sanitation services to all. Policies pertaining to Sanitation –

7) Swachh Bharat Mission (SBM):

SBM was launched on 2nd October 2014 towards achieving a Clean and Open
Defecation Free India by 2019. The mission has been successful in bringing to the
fore issues in the areas of sanitation and solid waste management.

8) National Policy on Faecal Sludge and Septage Management (FSSM):

The key objective of the urban FSSM Policy is to set the context, priorities, and
direction for, and to facilitate, nationwide implementation of FSSM services in all
ULBs such that safe and sustainable sanitation becomes a reality for all in each and
every household, street, town and city. Only on-site sanitation facilities and areas
served by such facilities would fall under the purview of this FSSM Policy. It does not
seek to cover network or conventional sewerage system (including treatment plants)
of wastewater/sewage management. However it will address synergies between
FSSM and sewerage systems or municipal solid waste (MSW) management, e.g., co-
treatment of faecal sludge and septage at sewage treatment plants or co-treatment
and management of faecal sludge and septage, and MSW.
518 Law and Policies Pertaining to Urbanisation

4) National Urban Sanitation Policy

The specific goals are:
♦ Generating awareness about sanitation and its linkages with public and environmental
health amongst communities and institutions;
♦ Promoting mechanisms to bring about and sustain behavioural changes aimed at
adoption of healthy sanitation practices;
♦ All urban dwellers will have access to and use safe and hygienic sanitation facilities
and arrangements so that no one defecates in the open. In order to achieve this
goal, the following activities shall be undertaken:
— Promoting access to households with safe sanitation facilities (including proper
disposal arrangements);
— Promoting community-planned and managed toilets wherever necessary, for
groups of households who have constraints of space, tenure or economic
constraints in gaining access to individual facilities;
— Adequate availability and 100% upkeep and management of Public Sanitation
facilities in all Urban Areas, to rid them of open defecation and environmental
hazards;
— Integrated City-Wide Sanitation Re-Orienting Institutions and Mainstreaming
Sanitation;
— Mainstream thinking, planning and implementing measures related to sanitation
in all sectors and departmental domains as a cross-cutting issue, especially in
all urban management endeavours;
— Strengthening national, state, city and local institutions (public, private and
community) to accord priority to sanitation provision, including planning,
implementation and O&M management;
— Extending access to proper sanitation facilities for poor communities and other
unserved settlements.
Benchmarking Urban Health and Sanitation
After ratings for hospitals and Initial Public Offerings (IPO), in 2010, the MoUD came
up with the proposal of grading cities on the basis of how well they handle their
public health and sanitation.
It was proposed that the cities will be color graded on the sustainable handling of
their waste, and the comparable data on different cities is available on the public
domain of MoUD on their website.8
Data from the cities were bench marked on their solid waste collection and disposal,
storm-water management, prevalence of open defecation, among other things.
Those cities with a population of over one lakh, by the 2001 census, were be graded
along the parameters of output, process and outcome — indicators laid out by the
National Urban Sanitation Policy of 2008.

8
Rank of Cities on Sanitation 2009-2010 – The table is available at http://urbanindia.nic.in/programme/
uwss/ rank_cities_0910.pdf
Other Urban Regulatory Frameworks 519

The grading shows a city in poor light, A red grade or less than 33 marks, indicates a
public health and sanitation “emergency”. As a city’s sanitation environment improves,
its grading moves up to black, then blue and at the top of the ladder is green, indicating
a healthy and green city.
A good grading is an endorsement that the city is doing well and its systems work, and
it could also work as an indicator for investors evaluating locations to set up businesses.
The Ministry had appointed AC Nielsen Development and Research Services and the
Centre for Environment Planning Technology (CEPT) to undertake the grading of cities.
In the grading process, samples would be taken from five public places and tested.
Expected to be a yearly exercise, an award is also to be given to the city that fares best
in this public health exercise. But data tell a powerful story and apart from being a
competitive exercise, cities can also learn from the insights different cities throw up.

26.4 Priority Areas in Health and Sanitation

India is an under developed country and 50% of the population live in urban areas in an
extremely below the poverty condition. As they are lured by massive industrialisation,
economic and educational opportunities in cities like Chennai, Mumbai, Kolkata and
Delhi are over crowded and the statistics says about one fifth live in slums Most of the
health problems in India are generated from these slums only. Many are exposed to
new types of risks associated with industrial pollution, road accidents, air pollution,
poisonings, threat to child adolescent health etc.

Central council of health was formed as per the constitution to check all health problems
in India. Health survey and Development Committee was the first committee to be
formed in India which laid foundations for several activities in all five year plans to
attend to all health problems attaching the millions in India.

The Ministry of Health and Family Welfare has two Departments i.e., Department of
Health & Family Welfare and Department of Health Research. Each of these Departments
is headed by the Secretary to the Government of India.

On August 7, 2014 Department of AIDS Control was merged with Department of Health &
Family Welfare and is now known as National AIDS Control Organization (NACO). As on
December 8, 2014,Department of AYUSH has been made Ministry of Ayurveda, Yoga and
Naturopathy, Unani, Siddha and Homeopathy (AYUSH) with focused attention on
development of education and research in Ayurveda, Yoga & naturopathy, Unani, Siddha
and Homoeopathy systems.

Directorate General of Health Services (DGHS) is attached office of the Department of

Health & Family Welfare and has subordinate offices spread all over the country. The
DGHS renders technical advice on all Medical and Public Health matters and is involved
in the implementation of various Health Services.
520 Law and Policies Pertaining to Urbanisation

The ministry of health and family welfare is handled by Secretary of the GoI. He is
directed by the cabinet minister of state or by his deputy. The ministry is concerned with
♦ maintenance of international health relations with other countries of the world and
coordination among them
♦ adoption of family welfare measures concerning population stabilisation and family
planning.
The Directorate General of health services as the technical wing to the ministry of
health and family welfare and its activities cover the whole spectrum of medical care
and public health apart from general administration. Other activities include
establishment of drug standards, prevention of food adulteration, control of drugs and
poison, coordination with state of health with authorities, implementation and monitoring
of various health programmes and schemes etc.

At the state level we have the Directorate of Health Services to administer public
health, medical services and medical education. Due to increasing responsibilities and
abundant health problems some states have established more than one Directorate and
separated medical care facilities and medical education from the public health. To
boost the family welfare activities some states have set up separate Directorate of
family welfare or state family welfare Bureau.

At the District level we have the District health office that is in charge of all activities
concerning medical, public health and family welfare and district health administration.
To lay more importance to family welfare programmes, a separate family welfare officer
has been appointed.
In urban areas we have local self governing bodies having three tier administrations.
♦ Medical officer in charge
♦ Zonal officer in charge
♦ The chief executive in charge
a) Child/ Adolescent Health and Welfare
Urban malaria, tuberculosis and pneumonia, leprosy, meningitis, preventable infections
in children such as measles, whooping cough and polio, diarrhoea diseases and intestinal
worm infections are some of the most common health problems apart from higher
morbidity and mortality due to accidents.

Among the major public health programmes, the Maternal and Child Health Services
constitute an integral part of the family welfare programmes and occupy an important
place in the socio-economic development planning. It also plays a crucial role in human
resource development and in improving the quality of life of the people. The Government
has sponsored immunisation schemes for infants and children against nutritional anaemia
among mothers and children, and prophylaxis against blindness due to vitamin ‘A’
deficiency are also in operation. Programme for oral rehydration therapy is another
Other Urban Regulatory Frameworks 521

important child survival scheme. Diarrhoea disease is a major health problem in India
especially among children below five years of age.

To liberate the children from common communicable diseases, the Expanded Programme
of Immunisation (EPI) was started by the Government of India in 1978. The objectives of
the programme are to reduce morbidity and mortality due to diphtheria, pertussis and
tetanus, poliomyelitis, tuberculosis and typhoid fever by making vaccination services
available to all eligible children and pregnant women.

Universal Immunisation Programme (UIP) is an important step towards achieving the

goal of Health for All by the Year 2000. The programme was dedicated to the memory of
the former Prime Minister, Mrs. Indira Gandhi. Under the UIP, it was proposed to cover all
eligible infants and pregnant mothers by the end of 1990. A “Technology Mission on
Immunisation” has been launched covering all aspects commencing from research and
development to actual delivery of services to the affected population.

Urban Malaria Scheme was initiated in November 1971. The main objective of the scheme
is to control malaria transmission by eliminating aquatic stages of vector mosquitoes
by weekly application of larvicides in breeding sources. The scheme has at present
been sanctioned for 133 towns distributed over 17 states and two Union Territories.

Overcrowding, poor housing, choked drains, high density of insects and rodents, lack of
garbage disposal facilities, poor personal hygiene and hygienic conditions are hall marks
of urban slums in India. Unplanned and rapid urbanisation put a strain on the already
dwindling civic amenities. Under such conditions gastroenteritis and other infectious
diseases are rampant. Children affected by serious diarrhoea diseases are likely to spend
20 per cent of their first two years of life suffering from serious diarrhoea with a median
number of 4.9 episodes per child per year. Studies from urban slums of Ludhiana show
that children under two years of age had 3.8 episodes of diarrhoea per year.

b) Maternal Health
Maternal health is a rather wide term. Often, the term is confused with only the period
of time, when the women gives birth to the child. However maternal health care is a
concept that encompasses family planning, preconception, prenatal, and postnatal
care.

In the Indian scenario, all the above mentioned phases are not very well defined. This
stems from the lack of education and awareness among women. Crisis also varies with
location like urban or rural, with income of the family and even with castes like scheduled
tribes.

Family planning in India has been a matter of debate since time immemorial, considering
the exploding number of people. Government has come up with various nationwide
programmes to curtail the increasing number. Despite having one of the oldest family
planning programmes in the world, India has a fertility rate of 2.9 and a crude birth rate
of 23/1,000 persons. Thus statistically, the number of births per female is a rather high
522 Law and Policies Pertaining to Urbanisation

number. Such high rates of birth and fertility indicates that on an average woman give
birth to at least two children during their reproductive age. While that may sound
perfectly normal, however in the rural scenario women may give birth to as many as ten
children irrespective of the fact whether they can sustain them or not.

Thus often they do not get enough time to recover from childbirth. Factors like
haemorrhage (both ante and post-partum), toxaemia (Hypertension during pregnancy),
anaemia, obstructed labour, puerperal sepsis (infections after delivery) and unsafe
abortion cause a high maternal mortality rate.

Maternal death is defined as death of women while pregnant or within 42 days of

termination of pregnancy from any cause related to or aggravated by pregnancy or its
management. The maternal mortality ratio is maternal death per 100,000 live births in
one year. WHO estimates show that out of the 529,000 maternal deaths globally each
year, 136,000(25.7%) are contributed by India. This is the highest burden for any single
country.
In urban areas, services offered for maternal health care sees patterns of inequality.
Urban marginalisation takes place, in which only the poor are excluded. Private health
care services are beyond the budget of marginalised women. While the marginalised
may go for birth and check-ups in government run hospitals; however, they never measure
the survival rate of these women. The Indian government stated that maternal health
in the country had considerably improved because 10 million women had given birth in
healthy facilities in 2009 and in 2010. Under its flagship National Rural Health Mission
and Janani Suraksha Yojana (JSY), or Safe Motherhood Scheme, the Indian government
uses cash incentives to encourage women to give birth in health facilities. The government
does not, however, measure the numbers of women who survive the delivery and the
post delivery period. Any data or record is yet to be maintained to measure a much more
accurate rate of success.
As a natural process, females do gain considerable amount of weight during pregnancy
and this carries on even after child birth. But many of them ignore this change and
remain unaware of the complications which arise due to them. The condition, sometimes,
becomes worse and women become obese leading to hormonal imbalance and increased
hypertension. Further, many now face the crisis of not been able to conceive on time
after marriage. Many of such women lie in the above 30 age group, who have devoted
much of their time in career building.
Our society is caught in the crossroads; emerging from the traditional methods of child
birth, government schemes and women’s rights. Caught in this confusion, many families
know what is the right thing to do, but they are blinded by lack of awareness and lack of
information.

c) Water Supply

Water supply and sanitation in India continue to be inadequate, despite long-standing

efforts by the various levels of government and communities at improving coverage.
Other Urban Regulatory Frameworks 523

The level of investment in water and sanitation, albeit low by international standards,
has increased during the 2000. Access has also increased significantly. For example, in
1980, rural sanitation coverage was estimated at 1% and reached 21% in 2008. Also, the
share of Indians with access to improved sources of water has increased significantly
from 72% in 1990 to 88% in 2008. At the same time, local government institutions in
charge of operating and maintaining the infrastructure are seen as weak and lack the
financial resources to carry out their functions. In addition, no major city is known to
have a continuous water supply and an estimated 72% of Indians still lack access to
improved sanitation facilities.
A number of innovative approaches to improve water supply and sanitation have been
tested in India, in particular in the early 2000. These include demand-driven approaches
in rural water supply since 1999, community led total sanitation, a public-private
partnerships to improve the continuity of urban water supply (as experimented and
implemented in Karnataka), and the use of micro-credit to women in order to improve
access to water.
Water supply and sanitation is a State responsibility under the Indian Constitution. States
may give the responsibility to the Panchayati Raj Institutions (PRI) in rural areas or
municipalities in urban areas, called Urban Local Bodies (ULB). At present, states generally
plan, design and execute water supply schemes (and often operate them) through their
State Departments (of Public Health Engineering or Rural Development Engineering) or
State Water Boards.
Highly centralised decision-making and approvals at the state level, which are
characteristic of the Indian civil service, affect the management of water supply and
sanitation services. For example, according to the World Bank, in the state of Punjab the
process of approving designs is centralised with even minor technical approvals reaching
the office of chief engineers. A majority of decisions are made in a very centralised
manner at the headquarters. In 1993 the Indian constitution and relevant state legislations
were amended in order to decentralise certain responsibilities, including water supply
and sanitation, to municipalities. Since the assignment of responsibilities to municipalities
is a state responsibility, different states have followed different approaches. According
to a Planning Commission report of 2003 there is a trend to decentralise capital investment
to engineering departments at the district level and operation and maintenance to
district and gram panchayat levels.
Policy and regulation - The responsibility for water supply and sanitation at the central
and state level is shared by various Ministries. At the central level, The Ministry of Rural
Development is responsible for rural water supply through its Department of Drinking
Water Supply (DDWS) and the Ministry of Housing and Urban Poverty Alleviation is
responsible for urban water supply. However, except for the National Capital Territory of
Delhi and other Union Territories, the central Ministries only have an advisory capacity
and a very limited role in funding. Sector policy thus is a prerogative of state governments.
Service provision in Urban areas - Institutional arrangements for water supply and
sanitation in Indian cities vary greatly. Typically, a state-level agency is in charge of
524 Law and Policies Pertaining to Urbanisation

planning and investment, while the local government ULBs is in charge of operation and
maintenance. Some of the largest cities have created municipal water and sanitation
utilities that are legally and financially separated from the local government. However,
these utilities remain weak in terms of financial capacity. In spite of decentralisation,
ULBs remain dependent on capital subsidies from state governments. Tariffs are also set
by state governments, which often even subsidise operating costs. Furthermore, when
no separate utility exists there is no separation of accounts for different activities
within a municipality. Some states and cities have non-typical institutional arrangements.
For example, in Rajasthan the sector is more centralised and the state government is
also in charge of operation and maintenance, while in Mumbai the sector is more
decentralised and local government is also in charge of planning and investment.

Private sector participation - The private sector plays a limited, albeit recently increasing
role in operating and maintaining urban water systems on behalf of ULBs. For example,
the Jamshedpur Utilities & Services Company (Jusco), a subsidiary of Tata Steel, has a
lease contract for Jamshedpur (Jharkhand), a management contract in Haldia(West
Bengal), another contract in Mysore (Karnataka) and since 2007 a contract for the
reduction of non- revenue water in parts of Bhopal (MP). French water company Veolia
won a management contract in three cities in Karnataka in 2005. In 2002, a consortium
including Thames Water won a pilot contract covering 40,000 households to reduce non-
revenue water in parts of Bangalore, funded by the Japan Bank for International
Cooperation. The contract was scaled up in 2004. The Cypriot company Hydro-Comp,
together with two Indian companies, won a 10-year concession contract for the city of
Latur (Maharashtra) in 2007 and an operator-consultant contract in Madurai (Tamil Nadu).
Furthermore, the private Indian infrastructure development company SPML is engaged
in Build-Operate-Transfer (BOT) projects, such as a bulk water supply project for Bhiwandi
(Maharashtra).

Some Best Practices

1) Achieving continuous water supply with the help of a private operator in Karnataka
In the cities of Hubli, Belgaum and Gulbarga in the state of Karnataka, the private
operator Veolia increased water supply from once every 2–15 days for 1– 2 hours, to
24 hours per day for 180,000 people (12% of the population of the 3 cities) within 2
years (2006–2008). This was achieved by carefully selecting and ring-fencing
demonstration zones (one in each city), renovating the distribution network, installing
meters, introducing a well-functioning commercial system, and effective grass-roots
social intermediation by an NGO, all without increasing the amount of bulk water
supplied. The project, known by its acronym as KUWASIP (Karnataka Urban Water
Sector Improvement Project), was supported by a US$39.5 million loan from the
World Bank. It constitutes a milestone for India, where no large city so far has achieved
continuous water supply. The project is expected to be scaled-up to cover the entire
area of the three cities.
Contd...
Other Urban Regulatory Frameworks 525

2) Micro-credit for water connections in Tamil Nadu

In Tiruchirappalli in Tamil Nadu, the NGO Gramalaya, established in 1987, and women
self-help groups promote access to water supply and sanitation by the poor through
micro-credit. Among the benefits are that women can spend more time with their
children, earn additional income, and sell surplus water to neighbours. This money
contributes to her repayment of the Water Credit loan. The initiative is supported by
the US-based non-profit Water Partners International.

3) The Jamshedpur Utilities and Services Company

The Jamshedpur Utilities and Services Company (JUSCO) provides water and sanitation
services in Jamshedpur, a major industrial center in East India that is home to Tata
Steel. Until 2004, a division of Tata Steel provided water to the city’s residents.
However, service quality was poor with intermittent supply, high water losses and no
metering. To improve this situation and to establish good practices that could be
replicated in other Indian cities, JUSCO was set up as a wholly owned subsidiary of
Tata Steel in 2004.
Efficiency and service quality improved substantially over the following years. The
level on non-revenue water decreased from an estimated 36% in 2005 to 10% in 2009;
one quarter of residents received continuous water supply (although the average
supply remained at only 7 hours per day) in 2009; the share of metered connections
increased from 2% in 2007 to 26% in 2009; the number of customers increased; and the
company recovered its operating costs plus a portion of capital costs. Identifying and
legalising illegal connections was an important element in the reduction of non-
revenue water. The utility prides itself today of the good drinking water quality
provided and encourages its customers to drink from the tap. The utility also operates
a wastewater treatment plant that meets discharge standards. The private utility
pays salaries that are higher than civil service salaries and conducts extensive training
programmes for its staff. It has also installed a modern system to track and resolve
customer complaints. Furthermore, it conducts independent annual customer
satisfaction surveys. JUSCO’s vision is to be the preferred provider of water supply
and other urban services throughout India. Together with Ranhill Malaysia it won a
25-year concession contract for providing the water supply in Haldia City, West Bengal.

d) Solid Waste Management

Drainage system is poor in Chennai, Kolkata and Mumbai which cause high incidence of
infectious disease and epidemics. High densities of dwellings and lack of internal roads
cause poor accessibility for emergency and lifesaving services. New squatter settlements
come up on the periphery often on inhabitable lands because of their low values and
cause environmental hazards.

Municipal Solid Waste - Garbage is generally referred to “Waste” and is also termed as
rubbish, trash, junk, unwanted or undesired material. Municipal solid waste consists of
526 Law and Policies Pertaining to Urbanisation

household waste, construction and demolition debris, sanitation residue and waste from
streets. This garbage is generated mainly from residential and commercial complexes.
Main Sources of Municipal Waste –
♦ House hold waste
♦ Commercials
♦ Street sweeping
♦ Hotels and restaurants
♦ Clinics and dispensaries
♦ Construction and demolition
♦ Horticulture
♦ Sludge
In India the biodegradable portion dominates the bulk of Municipal Solid Waste. Generally
the biodegradable portion is mainly due to food and yard waste. With rising urbanisation
and change in lifestyle and food habits, the amount of municipal solid waste has been
increasing rapidly and its composition changing. There are different categories of waste
generated, each take their own time to degenerate.

The term municipal solid waste refers to solid waste from houses, streets and public
places, shops, offices and hospitals. Management of these types of waste is most often
the responsibility of Municipal or other Governmental authorities. Except in the
metropolitan cities, SWM is the responsibility of a health officer who is assisted by the
engineering department in the transportation work. The activity is mostly labour
intensive, and 2-3 workers are provided per 1000 residents served. The municipal agencies
spend 5-25% of their budget on SWM. A typical waste management system in a low- or
middle-income country like India includes the following elements:
♦ Waste generation and storage;
♦ Segregation, reuse and recycling at the household level;
♦ Primary waste collection and transport to a transfer station or community bin;
♦ Street sweeping and cleansing of public places;
♦ Management of the transfer station or community bin;
♦ Secondary collection and transport to the waste disposal site;
♦ Waste disposal in landfills;
But in most of the Indian cities open dumping is the Common Practices which is adversely
affecting on environment and Public health. An open dumping is defined as a land
disposal site at which solid wastes are disposed of in a manner that does not protect the
environment, are susceptible to open burning, and are exposed to the elements, vectors
and scavengers. Open dumping can include solid waste disposal facilities or practices
that pose a reasonable probability of adverse effects on health or the environment.
Other Urban Regulatory Frameworks 527

♦ The health risks associated with illegal dumping are significant. Areas used for
open dumping may be easily accessible to people, especially children, who are
vulnerable to the physical (protruding nails or sharp edges) and chemical (harmful
fluids or dust) hazards posed by wastes.
♦ Rodents, insects and other vermin attracted to open dump sites may also pose
health risks. Dump sites with scrap tires provide an ideal breeding ground for
mosquitoes, which can multiply 100 times faster than normal in the warm stagnant
water standing in scrap tire causing several illnesses.
♦ Poisoning and chemical burns resulting from contact with small amounts of hazardous,
chemical waste mixed with general waste during collection and transportation.
♦ Burns and other injuries can occur resulting from occupational accidents and methane
gas exposure at waste disposal sites.
♦ Environment pollution and air pollution is caused by such dumping. Dust generated
from on-site vehicle movements, and placement of waste and materials. Water
pollution is another big challenge. Runoff from open dump sites containing chemicals
may contaminate wells and surface water used as sources of drinking water open
dumping can also impact proper drainage of runoff, making areas more susceptible
to flooding when wastes block ravines, creeks, culverts and drainage basins and
also contamination of groundwater resources and surface water from leachate
emissions.
♦ Permanent or temporary loss of productive land and soil contamination.
Legal Framework for Solid Waste in India – The MoEF&CC notified the Solid Waste
Management Rules (SWM), 2016 which replaces the previous Municipal Solid Wastes
(Management and Handling) Rules, 2000. The jurisdiction of the rules have been extended
beyond Municipal area to cover outgrowths in urban agglomerations, census towns,
notified industrial townships, areas under the control of Indian Railways, airports,
airbase, Port and harbour, defence establishments, special economic zones, State
and Central government organizations, places of pilgrims, religious & historical
importance . These Rules prescribe duty for waste generators and several ministries and
departments. Some of the salient features of the Rules are as follows:

♦ Duties of Secretary, State Urban Development Department, the Commissioner

Municipal Administration, Director of Local Bodies, Local authorities and Village
Panchayets Detailed duties and responsibilities have been assigned to the Secretary,
state Urban Development Department, the Commissioner Municipal Administration,
Director of Local Bodies, Local authorities and Village Panchayets. They are
responsible for preparation of state policy and solid waste management strategy in
consultation with stakeholders including representative of waste pickers, self-help
group and similar groups working in the field of waste management.
528 Law and Policies Pertaining to Urbanisation

♦ Duties of Ministry of Urban Development

Being the nodal Ministry on the subject Solid Waste Management, more responsibilities
have been assigned to MoUD. State Urban Development Department should: a. prepare
a state policy on solid waste management; b. ensure identification and allocation of
suitable land for setting up processing and disposal facilities for solid wastes within one
year and incorporate them in the master plan; c. undertake training and capacity building
of local bodies and other stakeholders.

e) Health Care Delivery

In India, more than nine million people live in slums of which 12,50,000 are in Bombay,
11,00,000 in Calcutta, 9,00,000 in Madras and 7,00,000 are in Delhi. It is no wonder that
slum dwellers should be the victims of air-borne and water-borne infections, and should
suffer from nutritional deficiencies and also from undiagnosed mental illness. The
disorganisation in various aspects of life breed apathy and psychology of defeat which is
manifested in fatalism, crime or lack of enthusiasm about preventive aspects of health,
although offered free of charge.

There is constant deprivation, particularly of children among urban poor. Deteriorated

houses crowded together, open sewer, uncollected garbage, poor sanitation, flies,
starling water and poor lighting are common. People face threat of eviction if they are
squatting on someone else’s land. Joblessness and alcoholism make men angry or hopelessly
drunk and lead to abandoned wives and children. Women must go to work to survive
without a male breadwinner or to help him make both ends meet. For some of
them, domestic service and prostitution are virtually the only options. Older children,
some no more than 10 years old, take care of their younger siblings while the adults are
away.

Consequently, children remain undernourished and underweight with their growth stunted
from insufficient food. Diarrhoea, gastro–enteritis and respiratory ailments are common
illnesses to which many succumb during their first year of life.

Urban areas continued to develop being the seats of power, money and intellect. They
also became the first places to experiment with ideas. As a result, various agencies of
health representing municipal, provincial and national levels developed simultaneously
with voluntary, private and philanthropic institutions. However, curative aspect got
precedence over preventive and promotional aspects. Health care system continues to
veer around doctors, drugs and patients. Piped water supply and modern sanitation also
developed but in selected urban localities. However, the water supply is almost always
intermittent, and in most of the cities / towns drainage often gets clogged for one
reason or another.

It is not uncommon to see medical colleges and hospitals belonging to various medical
systems such as modern, ayurveda and homeopathy in one Indian city. India provides an
excellent example of medical pluralism. People follow home remedies, spiritual remedies
and treatment from various medical systems simultaneously or one after another.
Other Urban Regulatory Frameworks 529

Metropolitan urban areas provide medical facilities which are available in developing
countries such as cardiac surgery, treatment of all kinds of cancers, or in brief, for the
diseases which are associated with affluence. The major diseases identified in South–
East Asia Region under WHO are malaria, filarial and other mosquito–borne diseases,
diarrhoea diseases, leprosy, tuberculosis, sexually transmitted diseases, poliomyelitis
and other children diseases, tetanus, nasopharyngeal and cervical cancers, visual
impairment and blindness, etc.

The organised sectors in urban areas such as employees of government and public
undertakings bargain for medical benefits like Employees State Insurance Scheme and
Government Health Schemes. In some cases, medical expenses are reimbursable if treated
at recognised hospitals. At the same time, there is a lot of overlap and even the private
medical practitioners seem to thrive well simultaneously. However, the unorganised
sector such as domestic workers, self-employed, porters, cart-pullers, load-carriers and
urban poor mostly living in slums do not get these benefits. They are also deprived of
piped water and modern sanitation, or in any case, the facilities are woefully inadequate.

Urban poor whose hallmark in expenditure is cheapness get adulterated food and drugs.
On an average, milk, milk-products, edible oils, wheat flour, spices and even tea leaves
are adulterated to the tune of 50 per cent.

Mental health has yet to receive due attention in India. While westernised urban elite
require the services of psychiatrists in increasing number, for others,9 family continues
to provide psychic treatment. If crime rate, suicide, divorce, riots and indiscipline are
considered as parameters of mental health, urban area need urgent attention.

It is often said that a large proportion of population suffers from protein calorie
malnutrition. However, the range of nutrition in which people can function efficiently
without getting nutritional deficiencies is wide and what are commonly given as
recommended quantities for intake of nutrients are much higher than what are required.

Urban poor, unfortunately use bottle feeding and baby feeds under the influence of
commercial advertising on radio, television and through other popular media like films.

The revolution in drugs coincided with freedom from colonial rule. The drug industry has
developed out of proportion in comparison with basic amenities like potable water and
sanitation.

Pharmaceutical industry measures developed out of proportion of country in terms of

intakes of per capita consumption of drugs. In India, drugs are only consumed among 20
per cent urban people. The per capita consumption is perhaps the lowest in the world.
However, this code does not represent the correct picture in view of the fact that about
75 per cent population in rural areas and urban poor has yet to have access to drugs.
Major share of these drugs are taken away by vitamins tonics and antibiotics. It is
estimated that out of the total production 25 per cent was taken away by vitamins and
tonics, and 20 per cent by antibiotics.
530 Law and Policies Pertaining to Urbanisation

Primary health care is available to the whole population, with at least the following:
♦ Safe water in the home or within 15 minutes walking distance, and adequate sanitary
facilities, in the home or immediate vicinity;
♦ Immunisation against diphtheria, tetanus, whooping cough, measles, poliomyelitis,
and tuberculosis;
♦ Local health care, including availability of at least 20 essential drugs, within an
hour’s walk or travel; and
♦ Trained personnel for attending pregnancy and child-birth, and caring for children
up to at least one year of age.
National Filarial Control programme was taken up in urban areas from 1955 in order to
contain the diseases. Anti-larval and antiparasitic measures are being taken in 199 towns
distributed in 13 states and four Union Territories.

Tuberculosis is a major public health problem in the country. The National Tuberculosis
Programme was launched in 1962. A total of about 46,000 beds are functioning in the
country for treatment of seriously sick and emergent TB patients.

Leprosy Control Programme has been in operation since 1955 but it was only after 1980
that it received a high priority and it was redesigned as National Leprosy Eradication
Programme (NLEP) in 1983 with the goal of arresting the disease in all known leprosy
patients by the year 2000.

Kala-azar which was almost on the verge of eradication, reappeared in Bihar in 1970s
and in West Bengal during 1977. Later it spread to more states. The Kala–azar unit of
National Malaria Eradication Programme (NMEP) is monitoring the Kala-azar situation
along with the incidence of Japanese Encephalitis in the country.

National AIDS Control Programme has managed to control the spread of AIDS. Up to April
1989, as many as 2,55,589 risk persons were screened. Of these, 941 have been HIV
positive. Amongst these, as many as 29 are the full blown cases of AIDS which include 11
foreigners. The Government of India constituted a task force in the year 1985 under
Indian Council of Medical Research and established two surveillance centers, viz., National
Institute of Virology, Pune and Christian Medical College, Vellore to screen high risk
people for AIDS. An AIDS cell has been established in the Directorate General of Health
Service to coordinate all activities pertaining to AIDS control. At present, 40 surveillance
centers and four referral centers are available in the country.

Apart from the above national health programmes, there are programmes like, National
Programme for Control of Blindness, National Mental Health Programme, Sexually–
Transmitted Diseases Programmes and National Goiter Control Programme.

Failure of Urban Health Care System - Health care system in India in the last 45 years
has focused on increasing coverage in the rural areas. There has been little or no
development of organised health care services for the vast urban areas. The 3,600 odd
Other Urban Regulatory Frameworks 531

cities and towns of India with some 40 million people living in slums have to depend
largely on private practitioners (mostly quacks) for their health care needs. Out of the
3,000 plus urban local bodies in India only about 100 have been some semblance to a
health care service while the rest have only a sanitary inspector or even a lower
functionary to look after the health care system.

From the foregoing discussion it would be obvious to infer the prevalence of malnutrition
in urban areas particularly in the urban slums would he quite high. Although urbanisation
is one of the indicators of development, very fast growth of urbanisation in developing
countries has created problems of proliferation of slums. Slums have become the
unavoidable and evil symbols of industrial and urban growth. The rate of urban growth
cannot match housing, educational and health service facilities including drinking water
and sanitation.

26.5 Role of Education and Health Services

The analysis shows that wealthiest 20% of the population received about 25% of the
actual government health spending while the poorest 20% received only 15%. The poverty
of health is exacerbated not only by wealth but also by other socio-economic measures,
such as sex, race, ethnic group, language, educational level, occupation and residence.
Lack of access to formal land market forces people to inhabit unhealthy environments
which create serious implications on their health which they further have end up spending
higher percentage of their income on health care. Physical inability, social discrimination
by education, caste, sex and economic stratification increases the gap between demand
and inadequate supply of services. Besides the physical and social factors, lack of access
to money renders many underprivileged unable to use health services and have less
access to the facilities in the public or private sector. They hardly seek heath care when
they are ill. The poor have to depend on loans and sale of assets to pay for hospitalisation.
Cost is a greater barrier than the physical access to health providers. There is no provision
in the government programme for the unorganised sector to get access to medical
benefits while the organised sector employees have provisions for medical benefits.
As in the case of health services, there are evidence of discrimination between the rich
and the poor/disadvantaged children in their access to quality education. The access
problem is further compounded along the gender, caste and physical and mental disability
lines. There is a big difference between the proportion of children accessing education
in million plus cities compared to smaller cities. The two critical problems pointed out
by the author in this field are access and the quality of education. Quality is defined in
terms of poor teaching standard and facilities, teacher absenteeism, insensitive curriculum
and content, poor motivation of teachers. This is compounded with lack of physical
access and infrastructure.
The analysis also shows that smaller million-plus cities have more schools per capita
population when compared to four mega polis. Contrary to health services, education
infrastructure is poorer in cities with larger population and there is a huge gap in achieving
universal access to education in all cities, impacting the disadvantaged children the
532 Law and Policies Pertaining to Urbanisation

most and million plus cities, which are hub of economic activities, need to improve
access of girl children to education. The proportion of children from marginalised
communities in mega cities is very low compared to smaller towns.
The chapter draws the following inferences and way forward:
♦ Health access is poorer in cities in central and northern regions of the country,
indicating poor health infrastructure, services and quality of providers.
♦ Health need for women (especially among SCs/STs and other marginalised groups)
and adolescents are not prioritised, and services to these groups are almost non-
existent. Delhi needs to improve on access of its services to women.
♦ Larger a city is, the better is health environment and the lesser prone is it to
communicable diseases likes pneumonia and diarrhoea. Similarly, cities from southern
states of India have healthier population, while the least healthy are from cities in
central India.
♦ Health access is poorer in cities from central and northern regions of the country,
indicating poor health infrastructure, systems and quality of providers.
♦ Health need for women (especially among SCs/STs and other marginalised groups)
and adolescents are not prioritised, and services to these groups are almost non-
existent. Delhi needs to improve on access of its services to women.
♦ Costs of health services (direct cost, indirect cost and opportunity cost) continue as
the single largest barrier to access for urban poor. The urban poor are out of coverage
of any social security net.
♦ Education infrastructure is poorer in cities with larger population base and higher
urbanisation, thus increasing the possibility of marginalising children of urban poor
from education.
♦ There is still a huge gap in achieving universal access to education in all cities,
impacting the disadvantaged children the most.
♦ Million plus cities, which are hub of economic activities, need to improve access of
girl children to education.
♦ A holistic and integrated approach in response to the specific needs of each area
need to be adopted along with adequate resource back-up.
♦ Urban health should be taken up in mission mode, much on lines of the NRHM, to
facilitate programmatic focus, resource commitment and accountability for
effectively addressing the health needs of the urban population.
♦ The states should incorporate initiatives for urban health needs in their Programme
Implementation Plan.
♦ Systematic strengthening of the health department of the Municipal Corporation/
Municipality.
♦ Increasing role of the corporate, private sectors and NGOs for health services to the
poor.
Other Urban Regulatory Frameworks 533

♦ Development of a social security system that is pro-poor and is inclusive of groups

like migrant population, socially marginalised groups and also adolescents.
♦ Effective monitoring and surveillance system for improving the student-to-classroom
and student-to-teacher ratio in the cities.
♦ Vigorous community mobilisation campaigns need to be initiated in urban slums
urging the poor households to send their children to schools.
♦ Innovative approaches to increase school enrolment at primary level and retention
rate in schools, particularly for girls.
♦ Convergence of health and education with other basic services for achieving synergy.

26.6 References and Recommended Readings

Agarwal, S and K Sangar (2005), “Need for dedicated focus on urban health within national
rural health mission”, Indian Journal of Public Health Vol 49, No 3, pages 141–151.
Agarwal, S, S Kaushik and A Srivasatava (2006), State of Urban Health in Uttar Pradesh,
Ministry of Health and Family Welfare, Government of India and Urban Health Resource
Centre, Delhi, 79 pages.
Agarwal, S, A Srivastava, B Choudhary and S Kaushik (2007), State of Urban Health in
Delhi, Ministry of Health and Family Welfare, Government of India and Urban Health
Resource Centre, Delhi.
Bhan, Gautam (2009), “This is no longer the city I once knew; evictions, the urban poor
and the right to the city in Millennial Delhi”, Environment and Urbanization Vol 21, No
1, April, pages 127–142.
Bapat, M (2009), Poverty Lines and Lives of the Poor; Underestimation of Urban Poverty,
The Case of India, Poverty Reduction in Urban Areas Series, Working Paper 20, IIED,
London, 53 pages.
Government of India (2001), “Poverty estimates for 1999–2000”, Planning Commission,
New Delhi, accessible at http://www.planningcommission.gov.in/hindi/reports/ articles/
ncsxna/index.php?repts=ar_pvrty.htm.
Government of India (2002), National Sample Survey 58th Round (2002), Ministry of
Statistics and Programme Implementation, New Delhi.
Government of India (2009), “Report of the expert group to review the methodology for
estimation of poverty”, Planning Commission, New Delhi, 32 pages.
Government of National Capital Territory of Delhi (2006), Economic Survey of Delhi 2005–
2006, Planning Department, New Delhi.
Gupta, K, F Arnold and H Lhungdim (2009), Health and Living Conditions in Eight Indian
Cities; National Family Health Survey (NFHS-3), India, 2005–2006, International Institute
for Population Sciences, Calverton, Maryland, 113 pages.
534 Law and Policies Pertaining to Urbanisation

UNIT 27
URBAN POVERTY
MANAGEMENT
Contents
27.1 Introduction 534
27.2 Policies, Schemes and Programmes 535
27.3 Urban versus Rural Poverty 540
27.4 Income Growth, Distribution or Decentralisation 542
27.5 Conclusion 542
27.6 References and Recommended Readings 544

27.1 Introduction
As elsewhere in the world, the increasing concentration of population in slums in urban
areas in India is seen as an indication of increasing urban poverty. According to a United
Nations Revision of World Urbanization Prospects 2018, 68% of the world population
projected to live in urban areas by 2050. The structural reforms instituted in the country
since 1991 have expected to link India with the global economy, increase the inflow of
foreign capital, facilitate indigenous investment and boost the pace of urbanisation.
Close to a half of the world’s population that lives in povertycan be found in South Asia.
Recent data on the level and trend of poverty in India show that although there has been
a decline in rural poverty at the national level, the urban poverty level has increased.
In 1999-2000, about one-quarter of the population in rural areas (27 per cent) and urban
areas (24 per cent) were living below the poverty line. According to the Planning
Commission’s estimates for 2004-05, 26 per cent of the population in urban areas fell
below the poverty line (Planning Commission, 2007). It has also been observed that
poverty in urban areas is qualitatively very different from rural poverty and that it is
multidimensional.
Urban poverty presents some issues that are distinct from those addressed in the typical
analysis of poverty, such as commoditisation, environmental hazard and social
fragmentation (Baker and Schuler, 2004; Moser, Gatehouse and Garcia, 1996). According
to the Government of India, the definition of poverty is linked to the expenditure required
by an average household to meet a specified minimum nutrition in terms of calories and
urban poverty in particular is denoted by an intake of 2100 calories per capita per day.
Other Urban Regulatory Frameworks 535

Poverty is the worst side effect of pollution. But poverty in itself creates environmental
problems. At the same time that policies need to be adopted to reduce poverty, care
must be taken to stop environmental degradation and achieve sustainable development.
Measures of net domestic product do not capture the loss of depletion of natural
environmental resources such as nation’s stock of water, soil, air, non-renewable resources
and wild lands. With a given economic structure and policy environment, rapid growth
is better than slow growth in eradicating poverty. But the economic structure and the
policy for environment do not remain constant. Even with respectable rate of growth,
the total number in poverty can increase. And it has done in so in many structure and
the absence of appropriate policies by government. Growth does not help poor unless it
recesses the poor, nor does government help unless the poor are the beneficiaries of
public policies.1

27.2 Policies, Scheme and Programmes

Eradication of poverty has continued to be the target of most of the policies framed in
India. However, a large part of this discussion involves the rural poor and often it is
misunderstood that urban poverty is not as prevalent as its rural counterpart. Removal
of poverty became a distinct objective since the Fifth Five Year Plan (1974-79) in India.
However, no distinction was made between urban and rural poverty. It was only in the
Seventh Plan (1985-90) onwards that issues related to urban poverty were discussed. It
lay down that poverty could be reduced only by generating employment, skill formation
and improvement of the slum dwellers.

The interest in addressing urban poverty peaked when the Planning Commission allocated
a separate section to urban poverty in the Ninth Five Year Plan (1997-2002), putting an
unprecedented focus on urban development and urban poverty alleviation. Structural
adjustment programmes were introduced in the country post-independence by taking
loans from the IMF and the World Bank. There were two parts to this adjustment plan.

The first consisted of short-term stabilisation policies- and the second part consisted of
long term economic reforms, which included streamlining the public sector and
privatisation of social programmes, etc. However, all of the above measures have been
harsh policies and the impact has been the worst on the vulnerable sections of society
such as the urban poor.

The reform policies have brought about changes in the domestic economy, ownership
structures, the industrial development scene, financial and capital markets, employment
patterns, wage structures, inflation, prices, consumption patterns and migration trends.
These have then resulted in affecting urbanisation as a whole, which is evident from the
living conditions of a majority of the people in the cities.

Some Policies - Policy makers need to understand the phenomenon of urbanisation in

relation to economic growth and migration to address issues arising out of the growth in

1
Williamson, Inequality, poverty and History, p-97.
536 Law and Policies Pertaining to Urbanisation

cities. Urban population and economic output tend to grow together. There is a proven
relationship between urban growth and planned industrialisation. There is also a
relationship between urban growth and the economic output of India’s states. India
currently has mainly rural population, but its population in urban areas is growing faster
than in rural areas. It is predicted that nearly 50% of India’s population will be urban by
the year 2030.

In India, urban poverty is defined in terms of minimum calorie intake, at 2100 calories
per capita per day. This is a convenient measure for identifying urban poor for the
purpose of implementing Urban Poverty Alleviation Initiatives (UPAIs). The Planning
Commission’s revised methodology of 1997 results in an average poverty line for India of
Rs. 353 per capita per month for 1996-97. This equals approximately Rs. 21,180 per
household per annum. On this basis, Planning Commission data indicates that the urban
poor were estimated to be 7.5 crores, comprising 38% of the total urban population in
1988. This number rose to 7.63 crores in 1993-94, i.e. 32% of the total urban population.

The number of Government sponsored Urban Poverty Alleviation Initiatives (UPAIs) being
introduced year after year has increased, indicating that urban poverty has seen a
gradual rise in importance for the policy-maker. The Center’s UPAIs can be categorised
into three waves: Housing, Welfare and Credit & Employment.

Housing was the first wave; it started in the 1950s and still continues to be a priority.
Welfare programmes constitute the second wave that started with the Urban Community
Development Programme in 1958 and grew in the 1960s and 1970s. Credit and Employment
programmes started in 1977 with the extension of the Differential Rate of Interest scheme
to the urban poor and became increasingly popular in the 1990s. An important feature of
these waves is their simultaneous existence. The first wave did not stop before the
second began, and all 3 waves continue today. Starting with the 20-Point Programme in
1986, new schemes became holistic and often contained components from all three
waves.

The interest in addressing urban poverty peaked when the Planning Commission allocated
a separate section to urban poverty in the 9th Five-Year Plan (1997-2002), putting
unprecedented focus on urban development and urban poverty alleviation. Urban poverty
was until then considered an extension of rural poverty or part of general urban
development issues. In fact Central government UPAIs first addressed urban poverty as
a result of unchecked rural poverty.

Experts emphasize the importance of pursuing an “empowerment” approach vs. a

“delivery” approach that treats beneficiaries as mere recipients and not as subjects of
change. The implementation methodology of a programme can mitigate more than just
economic poverty by involving the community in a genuine manner and addressing the
issue of low self-esteem. As programmes are implemented and beneficiaries gain, the
poor begin to integrate with mainstream economic activity. They gain acceptance as
legitimate citizens and do not remain “objects of charity”. Successful efforts to raise
the self-esteem of people can allow them to arrange for their own daily requirements
Other Urban Regulatory Frameworks 537

like water, sanitation facilities, housing, job or food. Only very recently have Indian
UPAIs begun to address empowerment. Usually empowerment is limited to programmes
for groups of women and Neighbourhood Development Committees in some schemes.
Most UPAIs continue to focus on providing visible primary goods, healthcare and
education. They fail to address sociological, anthropological and political perspectives
of poverty. Additionally, empowerment is not part of the success criteria set for evaluating
the few programmes that do have some design focus on the issue.

Most UPAIs do not pay adequate attention to the complexity of urban market transactions
in these societies. An example of this problem is the relocation of slum dwellers away
from the economic centers that provide them income and access to informal markets.
This compensates for the formal markets from which they are excluded. UPAIs are identical
across the country, showing that the urban condition is understood to be the same
everywhere. Since there are many differences in climatic conditions, culture, resources,
goods and services, prices and nature of transactions, it is futile to have uniform
programmes implemented throughout the country.

Programmes and Schemes

♦ Deendayal Antyodaya Yojana- National Urban Livelihoods Mission (Day-NULM)
Ministry of Housing and Urban Affairs is implementing a Centrally sponsored scheme
Deendayal Antyodaya Yojana-National Urban Livelihoods Mission (DAY-NULM) for reducing
the poverty and vulnerability of urban poor households since September, 2013. The
Mission covers all the statutory towns in the country, to be decided by the States as per
local need and capability. DAY-NULM has seven components as follows:

a) Social Mobilization and Institutional Development (SM&ID) which envisages

mobilisation of urban poor women, differently-abled men and men in vulnerable
occupations into thrift and credit-based Self-Help Groups (SHGs) and their
federations/ collectives.

b) Capacity Building and Training (CB&T) to enable engagement of dedicated expert

manpower for implementation of the Mission at State and city levels as well as for
capacity building of community institutions and government functionaries.

c) Employment through Skill Training and Placement (EST&P) for skill development of
urban poor in market-oriented courses to enable them to earn sustainable livelihoods.

d) Self-Employment Programme (SEP) provides interest subvention on loans to

individuals/groups of urban poor for setting up self-employment ventures/ micro-
enterprises.

e) Support to Urban Street Vendors (SUSV) to support pro-vendor planning, development

of vendors’ market, credit enablement, socio-economic survey of street vendors,
skill development and micro-enterprises development and convergence with social
assistance under various schemes of the Government.
538 Law and Policies Pertaining to Urbanisation

f) Shelter for Urban Homeless (SUH) supports provision of 24X7 permanent shelters for
the urban homeless equipped with essential services. Innovative & Special Projects
(I&SP) to promote pioneering efforts, aimed at catalysing sustainable approaches to
urban livelihoods through Public, Private and Community Partnership (PPCP).

♦ Pradhan Mantri Awas Yojana (Urban) – PMAY(U) - Housing For All (HFA)
PMAY (U) is a Mission to provide housing for all by 2022 and is being implemented from
June, 2015. It provides central assistance to Urban Local Bodies (ULBs) and other
implementing agencies through States/UTs for in-situ Rehabilitation of existing slum
dwellers using land as a resource with private participation; Credit Linked Subsidy;
Affordable Housing in Partnership and Subsidy for beneficiary-led individual house
construction/enhancement.

Under the PMAY(U), the total investment involved is Rs 3,56,397 Crores.. Out of the
approved total central assistance of Rs 1,00,275 crore, Rs 33,455 crores have already
been released to States/UTs as on 10.12.2018. Interest subsidy of Rs 6,943.95 crore on
housing loans has been credited directly to 3,14,703 beneficiaries under CLSS(Credit
Linked Subsidy Scheme).

♦ Pradhan Mantri Shram Yogi Maan-dhan (PM-SYM)

Pradhan Mantri Shram Yogi Maan-dhan (PM-SYM) is a pension scheme for unorganised
workers to ensure old age protection for Unorganised Workers.
Features of PM-SYM: It is a voluntary and contributory pension scheme, under which
the subscriber would receive the following benefits:
i) Minimum Assured Pension: Each subscriber under the PM-SYM, shall receive minimum
assured pension of Rs 3000/- per month after attaining the age of 60 years.
ii) Family Pension: During the receipt of pension, if the subscriber dies, the spouse of
the beneficiary shall be entitled to receive 50% of the pension received by the
beneficiary as family pension. Family pension is applicable only to spouse.
iii) If a beneficiary has given regular contribution and died due to any cause (before age
of 60 years), his/her spouse will be entitled to join and continue the scheme
subsequently by payment of regular contribution or exit the scheme as per provisions
of exit and withdrawal.

♦ Pradhan Mantri Rozgar Protsahan Yojana (PMRPY)

PMRPY is the flagship scheme of the Central Government for employment generation
and has crossed the milestone of one crore beneficiaries as on January 14,2019.

PMRPY was announced on August 07, 2016 and is being implemented by Ministry of Labour
and Employment through the Employees’ Provident Fund Organization (EPFO). Under
the scheme, Government is paying full employers’ contribution of 12% (towards Employees’
Provident Fund and Employees’ Pension Scheme both), for a period of 3 years in respect
Other Urban Regulatory Frameworks 539

of new employees who have been registered with the EPFO on or after 1st April 2016,
with salary up to Rs. 15,000 per month.

♦ Prime Minister’s Employment Generation Programme (PMEGP)

Prime Minister’s Employment Generation Programme (PMEGP) is a major credit-linked
subsidy programme, aimed at generating self-employment opportunities through
establishment of micro-enterprises in the non-farm sector by helping traditional artisans
and unemployed youth.

The scheme is implemented by Khadi and Village Industries Commission (KVIC) functioning
as the nodal agency at the national level. At the state level, the scheme is implemented
through State KVIC Directorates, State Khadi and Village Industries Boards (KVIBs), District
Industries Centres (DICs) and banks. In such cases KVIC routes government subsidy through
designated banks for eventual disbursal to the beneficiaries / entrepreneurs directly
into their bank accounts.

Any individual above 18 years of age is eligible. For setting up of projects costing above
Rs.10 lakh in the manufacturing sector and above Rs. 5 lakh in the business /service
sector, the beneficiaries should possess at least VIII standard pass educational qualification.
The maximum cost of projects is Rs. 25 lakh in the manufacturing sector and Rs. 10 lakh
in the service sector. Benefit can be availed under PMEGP for setting up of new units
only.

♦ The Scheme of Urban Wage Employment (SUWE)

The Scheme of Urban Wage Employment (SUWE) provides wage opportunities to the
urban poor by utilising their labour for construction of socially and economically useful
public assets in the jurisdiction of Urban Local Bodies. A material-labour ratio of 60:40
is to be maintained under the Scheme for various public works aggregating at the
district level. The minimum wages prevalent in each urban ‘area are to be paid to the
unskilled labour’. This scheme is applicable to all urban areas with a population below
one lakh.

♦ Urban Basic Services for the Poor (UBSP)

The Urban Basic Service (UBS) Programme in India was initiated during the VII Five Year
Plan period for urban poverty alleviation. Based on the experience of implementing the
UBS Programme and the commendations of the National Commission on Urbanisation,
the Government revised it as Urban Basic Services for the Poor (UBSP) (1991) and integrated
it with other urban poverty alleviation programme, namely, Environmental Improvement
of Urban Slums (EIUS), Nehru Rozgar Yojana (NRY) and Low Cost Sanitation (LCS).

The objective of UBSP is to create participatory community based structures through

which communities participate in identifying normative/ felt needs, prioritise them
and play a major role in planning, implementing, maintaining services and monitoring
progress.
540 Law and Policies Pertaining to Urbanisation

One of the important features is to provide social services and physical amenities through
convergence of various ongoing schemes of Ministry of Urban Affairs and Employment
and various specialist departments like Health, Family Welfare, Women and Child
Development, Education, Welfare Labour, Small Scale Industry, Non- conventional Energy
Resources and Science and Technology. The urban poor residing in low income
neighbourhood are the target groups for provision of social services under the Scheme
and physical amenities to be provided under the Environmental Improvement of Urban
Slums (EIUS) Scheme.

Within the UBSP programme, NGOs are involved as Field Training Institute for city level
training. At city level, NGOs conduct collaborative activities including community
mobilisation, basic education, women’s income generating and thrift societies and
community nutrition etc.

♦ Environmental Improvement of Urban Slums

The scheme of Environmental Improvement of Urban Slums (EIUS) was formulated as
a response to the growing problem of slums during the Fifth Five Year Plan. The scheme
was made an internal part of the Minimum Needs Programme (MNP) in 1974 and was
transferred to the State Sector. The scheme aims at ameliorating the living conditions
of urban slums dwellers and envisages provision of drinking water, drainage, community
baths, community latrines, widening and paving of existing lanes, street lighting and
other community facilities. The improvements are meant to be carried out in notified
slums which are not likely to be cleared within the next 10-15 years.

The total outlay on this scheme during the Seventh Plan was Rs. 269.55 crores based on
a per capita expenditure of Rs. 300 per slum dweller. The target for coverage during the
Seventh Five Year Plan period was 9 million slum dwellers against which 9.98 million
slum dwellers i.e. more than the target had been covered. Moreover, the scheme is now
to be implemented in convergence with the programme of Urban Basic for the Poor.

♦ Prime Minister’s Integrated Urban Eradication Programme (PMI UDEP)

Recognising the seriousness and complexity of urban poverty problems, especially in the
small towns where the situation is more grave due to lack of resources for planning their
environment and development, the Prime Minister had announced on 15th August, 1994
an integrated scheme for eradication of poverty known as Prime Minister’s Integrated
Urban Poverty Eradication Programme (PMI UPEP), which seeks to address the problems
of urban poverty with a multi-pronged and on term strategy. The new strategy is to put
the community structures in the centre with direct participation and control by the very
groups who are envisaged to benefit from this programme. The programme launched in
November 1995 is applicable to all Class II Urban Agglomerations (345 Nos.) with a
population ranging between 50,000 and one lakh as per 1991 Census, subject to the
condition that election to urban local bodies have been held there. However, in order
to ensure that the urban poor could avail of the benefits under this new Programme
irrespective of the fact that elections to urban local bodies have not been held for one
Other Urban Regulatory Frameworks 541

or the other reason, it was decided with the approval of the Prime Minister to allow
implementation of the Programme in such towns as well, as a onetime exception (1995-
1996). Also keeping in view the peculiar problem of backward and hilly States, it has
been decided to extend the PMI UPEP to the district towns in North Eastern States,
Sikkim, J & K, Himachal Pradesh and Garhwal and Kumaon Regions of Uttar Pradesh
subject to the condition that (i) the district town has urban population not exceeding
one lakh and (ii) neither the district town nor any other Class II town under it is already
covered being a Class II Urban Agglomerations.

The foremost objective of the new programme is to attack several root causes of urban
poverty simultaneously, in an integrated manner with an appropriate and suitable plan
strategy for covering the inputs available in other sectoral programmes of Central
Governments, Ministries/Departments as well as Non-Governmental Organisations by
envisaging participatory implementation of the programme with the aim to eradicate
urban poverty from the targeted areas by the turn of the century. The specific objectives
under the new programme are (i) effective achievement of social sector goals, (ii)
community empowerment, (iii) convergence through sustainable support system, (iv)
improvement of hygiene and sanitation, (v) employment generation and shelter
upgradation, and (vi) environmental improvement. The programme will be implemented
on whole town/project basis extending the coverage to all the targeted groups for
having visible impact and facilitating overall development of the towns to be covered.
While the target group of the programme is urban poor, especially women beneficiaries
and beneficiaries belonging to Scheduled Castes and Scheduled Tribes will constitute
special target groups among the urban poor.

27.3 Urban versus Rural Poverty

Since independence, Indian policy-makers focused on rural development in response to
Gandhi’s call that “India lives in its villages”. This focus was also justified by the fact
that agriculture is subject to high risks from dependence on nature. As a result, urban
poverty was side-lined because the urban poor were seen as people who had greater
access to opportunities in dynamic urban systems and were therefore exposed to less
serious uncertainties. The choice made was to address the graver ill first.
According to the National Commission on Urbanisation, the share of municipal expenditure
of the overall government expenditure (sum of center, state and local) was only 8% in
1960-61 and fell to 4.5% in 1980-81. Over the same period, the urban population rose from
16% to almost 24%. As urban poverty grows, policymakers must understand that its cause
is not simply unchecked rural poverty, but other causes as well.
As the population in urban areas increased faster than its infrastructure facilities, attempts
were made to stall the migrant population in rural areas through the launch of many
rural poverty alleviation programmes. Another approach to curb rural-urban migration
was to create suitable conditions for the migrant population to settle in small and
medium towns by developing infrastructure amenities in these areas. The main approach
was to create employment opportunities for the educated unemployed in towns with
542 Law and Policies Pertaining to Urbanisation

less than 5 lakh population, that have the potential of being regional growth centers,
through programmes like the Integrated Development of Small and Medium Towns (IDSMT).

27.4 Income Growth, Distribution or Decentralisation

Public policy instruments can be divided into two parts: (i) indirect instruments, i.e.,
those which use resources to accelerate growth and thereby impact on the incomes of
the poor i.e., the trickle down or Kuznet’s theorem); and (ii) direct instruments, i.e.,
those rely on public provision of shelter, services and subsidies and other form of transfers.
The primary distinction between the two is that the former is keyed to enhancing income
and hence consumption, while the latter aims to provide direction consumption involving
redistribution between different groups. The paper points out that the initial decades of
development planning in India focused on “income growth” as a policy to reducing
poverty, but on the ground that this policy was not making the desired impact, direct
provisioning of services came into being as a policy instrument from the Seventh Five
Year Plan, with programmes such as the EIUS. The scope of poverty-related programmes
continued to expand to include employment, basic services etc. The Constitution (seventy-
fourth) Amendment, 1992 followed by the Jawaharlal Nehru National Urban Renewal
Mission — the two landmark Central government initiatives — looks at and conceptualises
policies for urban poverty in a different light altogether. These two initiative rest on
the postulate that decentralisation and governance are central to urban poverty
reduction, a postulate that signals perhaps the most extraordinary shift that has occurred
in India in designing policies for poverty reduction. The experience of implementing the
erstwhile JNNURM shows that decentralisation as envisaged has not reached out to the
ULBs; urban poverty alleviation activities continue to be in the domain of the higher
tiers of government. The SFCs too have not used the leverage of its mandate to incentivise
a defacto transfer of urban poverty functions to the ULBs. Nor is the intergovernmental
fiscal system designed to factor in the extent and depth of urban poverty. Most ULBs
function without any autonomy in terms of designing urban poverty alleviation
programmes and activities or in term of determining their tax policies.

27.5 Conclusion
Many of the good things that happened in India, have happened in cities. Many social and
medieval issues have been effectively broken in the cities. Cities provide an opportunity
to remodel India based on good principles. Cities are central to inclusive growth of an
economy. They improve the economic condition by unleashing the investments and
offering many opportunities to its citizens. Though urbanisation is associated significantly
with economic growth, it has also been linked with larger numbers of urban poor and
urban poverty in less developed countries like India. However, economic growth is quite
impressive in some cases, it has not created adequate civic amenities and employment
opportunities for the poor migrants in urban areas or cities.

The increasing pressure on the agricultural land and slow social and economic
development is forcing rural poor and the unskilled to urban areas in search of employment
Other Urban Regulatory Frameworks 543

or livelihood. McKinsey Global Institute reported that around 340 million people already
lived in urban India in 2008, representing nearly 30 per cent of the total population. It
also stated that nearly 590 million people will live in cities by 2030.

Many factors including the city planning, irregularities in land markets, issues of
implementation, regulatory and institutional, all have aggravated the urban poverty.
According to Asian Development Bank 2008, 16 major Asian economies including India
are below the Asian poverty line standard.

There is a need to recognise the severity of the problem and focus attention on reducing
urban poverty. With the growing urban population, the cost of not paying attention to
urban poverty will be enormous. The urban poverty in the coming years would depend
on how successfully poverty reduction policies are implemented. The aim should be to
integrate the urban poor into the city urban development process by giving them access
to employment, developing their productive assets and providing them basic services
and infrastructure thereby improving their quality of life.

Some suggestions were made to the committee constituted by the Planning Commission
to review the existing methodology for official poverty estimation in India. In brief, the
suggestion was to accept the official All-India urban poverty estimate of 25.7% for 2004-
05, derive the All-India urban poverty line that corresponds to this using the multiple
(MRP) rather than uniform (URP) reference period distribution, and to recalculate from
this modified poverty line new state-wise urban and rural poverty lines that reflect
actual spatial variations in cost of living during 2004-05. This suggestion is based on six
considerations:
1) First, that in light of unnecessary past controversies on the matter, it is essential to
clarify that poverty in India is measured purely on the consumption dimension and
that all other dimensions, including calorie norms on which present poverty lines
were originally constructed, are incidental and only of historical significance.
2) Second, that once it is agreed that what is being measured is consumption poverty,
a basic requirement for valid spatial or inter-temporal comparison of this is that
poverty lines used across space and time should represent equivalent purchasing
power (PPP) at whatever reference consumption level is taken to be the cut-off for
basic minimum needs. In particular, once this reference cut-off is chosen, this should
apply equally and without discrimination to all locations, rural and urban, with the
only location specific adjustment being for differences in cost of living.
3) Third, in order to maintain continuity of presently accepted notions of the minimum
standard of living required to avoid absolute poverty, it is desirable that the reference
cut-off be anchored to some aspect of present practice. There are two possible
references, the present All-India urban and rural poverty lines, of which only one
can be chosen since the other must be determined by actual cost of living differences.
4) Fourth, official rural poverty estimates are widely perceived to be too low and no
longer conforming to acceptable basic needs. Since official urban poverty estimates
544 Law and Policies Pertaining to Urbanisation

are less controversial, our choice of reference consumption cut-off is the MRP
equivalent of the present official All-India urban poverty line, which leaves measured
All-India urban poverty incidence unchanged from its current official estimate.
5) Fifth, the relatively minor matter of choosing the MRP cut-off that gives the same
urban poverty rate as official, rather than taking the present official urban poverty
line directly, is because NSSO now uses the MRP rather than URP in most of its
surveys. It is necessary to have poverty lines that correspond to MRP distributions.
6) Sixth, although the new poverty lines are not based on any particular norm of basic
needs, and are outcome of a purely technical exercise to calculate cost of living
indices relevant around the present All-India urban poverty line, this choice can be
defended normatively. In particular, albeit modest norms of nutrition and of paid-
out education and health costs are adequately met at the All-India level and in
most, although not all, States.

27.6 References and Recommended Readings

Engendering Health and Human Rights - The IFHHRO Conference 2005: A Brief Report.
Anagol Malati and Sundaram S.K.G., Problems of Financing Informal Sector Enterprises,
Himalaya Publishing House, Mumbai. (1995).
Radhakrishna and Ray Shovan, Poverty in India : Dimensions and Character, India
Development Report, Edited by Kirit Prakash and Radhakrishna, Indira Gandhi Institute
of Development Research, Oxford University Press, (2004-05).
Vyas V. S. and Bhargava Pradeep, Public Intervention for Poverty Alleviation in India :
Poverty Reduction in Developing Countries, Edited by Vyas and Bhargava, Institute of
Development Studies, Rawat Publications, Jaipur. (1999).
 COURSE 4:
URBAN LEGAL AND POLICY
FRAMEWORKS
 UNIT 28
GREEN ZONES, LANDSCAPING
AND GREEN BUILDINGS
Contents
28.1 Introduction 547
28.2 Sustainable Construction 549
28.3 Green Buildings and Sustainable Designs 555
28.4 International Framework and Assessment Tools 560
28.5 Sustainable Buildings and Construction for India: Policies, 564
Practices and Performance
28.6 Examples of Green Buildings in India 569
28.7 Conclusion 577

28.1 Introduction
The Earth’s ecosystems are now at a critical stage: they are not only being severely
damaged but human activity is currently leading to irreversible losses of critical (i.e.
life- supporting) ecosystem functions. Building and construction works have the largest
single share in global resource use and pollution emission. In developed countries the
built environment is responsible for around 25-40% of total energy use, 30% of raw material
use, 30-40% of global greenhouse gas emissions and for 30 to 40% of solid waste generation.

People generally spend almost 90% of their lives inside buildings. In the United States,
the annual cost of building-related sickness is estimated to be at $58 billion.1 Consequently,
healthy and comfortable indoor environments contribute significantly to human health
and well-being and offer a large potential for reducing ‘external’ costs to societies
through lowering diseases. In Northern Europe, people spend over 90% of their time
inside and in the winter months, this can rise to almost 100%. If they are not inside,
people are usually travelling from one building to another, using civil infrastructure
facilities such as roads, bridges and railways. This should not be terribly surprising: apart
from a few months (or sometimes days) in the summer, much of the temperate zone
could not support human life were it not for the technology we have developed which
allows us to survive in this hostile environment. For most people in the developed

1
Based on statistics of R and D studies conducted by Isover, Saint Gobain Insulation.
548 Urban Legal and Policy Frameworks

world, most of the time, the urban environment is their environment. In everyday
experience, the wider environment of trees, rivers and the rest of the biosphere has
little impact on city dwellers. Environmentalists are therefore usually portrayed as
somewhat unbalanced, giving too much importance to nebulous ideals and trying to
spoil everyone else’s fun.

The quality of the urban environment has a direct impact on the inhabitants of cities
and towns it also has an effect on the people and environment outside the city limits.
Construction of buildings and infrastructure require vast quantities of raw materials,
the energy requirements of an urban lifestyle require the extraction and consumption of
precious non-renewable resources and the enormous amount of waste generated has to
be dealt with out of town.

City life provides a large number of people with all their physical requirements, while
isolating them from the consequences of their behaviour. Nothing turns people into
vegetarians quite like a visit to an abattoir, and this principle applies equally to
degradation of the environment. Take for example the fate of food packaging. At no
point in the supply chain from production to disposal does anyone take any responsibility
for the effect of their activities. There is no immediate reason why they should, as these
effects take place somewhere else. They are, in economic terms, external costs and as
such have no effect on profit, which is the reason for the existence of the supply chain.
There is therefore no pressure for change.

The same principle holds true for many aspects of the urban environment. Buildings, for
example, are made by one party, sold to another and demolished by a third. The economic
structure of the situation encourages each party to act for immediate, short-term gain.
Any consideration of longer-term consequences would cost money for the individual
concerned. However, avoiding such consideration has wider costs for us all.

The infrastructure required to support the urban environment includes communications

links, supplies of power, food and water, sewage and waste processing systems and a
myriad of lesser support functions, all vital to the continued functioning of the city. Each
of these has, to a greater or lesser extent, a detrimental impact on the quality of the
wider environment and, in some cases, that of the urban environment too. Reservoirs
drown valleys and sewage sludge contaminates the seas and fields, landfill sites stink
and pollute groundwater with toxic leachate. Roads are required to bring food and other
goods into the cities but the traffic reduces air quality, leading to health effects and a
reduced quality of life.

The physical structure of a city causes detrimental environmental effects in a variety of

ways. The materials used to make buildings must be extracted and processed, then
transported to the city. Covering vast areas with impermeable tarmac and concrete
causes storm runoff which flushes surface pollutants and untreated waste into rivers and
the sea. Careless design of buildings unnecessarily wastes energy and water and reduces
the quality of life of the inhabitants through higher bills, poor indoor environment and
lack of facilities.
Infrastructure and Resource Management 549

There is a common underlying presumption among environmental commentators that

urbanisation and the industrial society are the worst things that have ever happened to
the world. There is often an implication that we should be making every effort to return
to a pastoral lifestyle which was supposed to have existed at some undefined point in
history prior to the industrial revolution. However, there are a number of problems with
this way of thinking. Firstly, although environmental degradation was undoubtedly less
severe during this golden age, so was the size of the population, life expectancy and
standard of living. Biodiversity was greater but so was infant mortality, poverty, disease
and hunger.

Beyond individual buildings, poor patterns of building development often lead to

congestion and inefficient use of land, resulting in greater energy consumption and
travel time, loss of productivity, polluted runoff to surface water and wastewater
treatment systems, loss of agricultural lands, fragmented habitats, and fiscal stress to
local communities.

There is a growing perception that life in the world’s cities is growing steadily and
inexorably worse. Disciples of this view hold that decisive action must be taken now to
slow this decline and that only a radical change of lifestyle for all of us could ever hope
to reverse it. If this is so, then it is a fundamental problem for us all. In the developed
world, the huge majority of people live in an urban environment. In the developing
world, the proportion of urban dwellers is smaller but still growing at an exponential
rate as a result of population growth and migration towards the cities.

28.2 Sustainable Construction

Environmental degradation, like the human population that causes it, did not
spontaneously begin at some point in recent history. For the developed countries of
northern Europe and Asia, a convenient starting point for the history of the environment
would be the end of the last ice age, around 10,000 years ago. For many millions of years
before this the area was buried under kilometres of ice. With the retreat of the ice
sheet, the area was colonised by hardy plants and arctic animal species and as the
climate continued to improve, biodiversity increased as a wider variety of organisms
was able to thrive. Humans moved into the area as it developed the capacity to support
them and within two or three millennia had established fixed settlements. At around
this point, large areas of forests began to be cleared and species started to be
extinguished. This process has been continuing ever since.

The industrial revolution did undoubtedly have a dramatic accelerating effect on this
process, coupled with the beginning of reliable measurements and records. However,
the process has been inextricably linked with human development in general; as population
increases, so does pollution. The fact that quality of life has also increased at a
comparable rate is often overlooked.

The UK Government has recently taken the first step toward defining quality of life
indicators, which include social, economic and environmental issues in an attempt to
550 Urban Legal and Policy Frameworks

give an overall indication of progress toward (or away from) sustainable development.
In the supposed “golden age”, environmental measures would have been well represented
but performance to economic and social indicators would have been extremely poor.
Today that situation is reversed but the overall effect is still an improvement. This is
particularly so if you consider per capita impact: the population of Europe in 1994 was
around 509 million, a 30% increase since 1950; and this is among the lowest rates of
increase in the world.

At the moment, the per capita impact on the environment of an urban lifestyle is around
ten times that of a more dispersed, rural lifestyle. However, it is hard to imagine the
current population of the developed world dispersed throughout the countryside, living
a supposed low-impact life. Firstly, we would not know how and secondly, there isn’t
enough room. It appears more likely that the only way to support the existing population
is to continue development of the urban model to let each area do what it does best:
live in the towns and use the countryside to support the towns with food, water and
other requirements.

The answer to the problems of the Urban Environment is not to turn the clock back but
to keep going forward. But surely if we are to do this, today’s problems will only get
worse. What about the traffic gridlock? What about air quality? And waste, sewage,
resource depletion, etc. Surely if we keep going on our present course we are headed for
disaster.

This would be fair comment if we continue to make decisions today using the knowledge
and experience of 50 years ago (as has happened in some cases, such as the roads
programme) but today we are aware of the problems that have been caused by past
mistakes and we can learn from them. For each of the problems identified above there
is a sustainable solution. In many cases there is considerable inertia slowing movement
from the old methods to the new but we do have the answers now and we are capable
of solving the problems we face. The now famous new Report to the Club of Rome,
Factor Four, sets out in simple detail how it is possible, with existing technology, to
reduce energy consumption by 75% or more. In the context of the environmental damage
caused by energy consumption in the developed world, it seems incredible that we have
not already embraced this approach. There is no need to build further power stations,
no need for dirty technologies like coal and nuclear power at all. It is only the combination
of a lack of awareness and a flawed economic system that allows this situation to
continue.

Each one of us is paying at least four times as much as we should to heat our homes,
travel to work and do all the other energy-intensive things we like to do. And of course,
these costs are passed on to us in everything we buy which also has to be processed and
transported.

The urban environment can be viewed on several different levels, from the basic
infrastructure up to the overall effects of urban living. Many aspects of city life generate
a direct impact on the wider environment and on the inhabitants of the cities. However,
Infrastructure and Resource Management 551

many of the major concerns, such as air quality and traffic congestion arise from the
complex interaction of a multitude of simple factors. The study of complexity and
emergent behaviour is a relatively young discipline, which is reflected in the limited
success we have enjoyed so far in addressing these problems.

Complex systems like cities have so many interacting influences that the application of
any measure intended to modify one aspect will have secondary effects throughout the
system. For example, the introduction of Greenways (dedicated bus lanes) in Edinburgh
has succeeded in increasing the speed and popularity of bus journeys through the city. It
has also altered the dynamics of traffic flow and parking through the city to the extent
that shopkeepers in some areas claim they are being forced out of business. This was not
the intention of the measure but it still falls to the politicians charged with running the
city to decide whether the overall outcome is to the greater good. In fact, in India the
Ministry of Road Transport & Highways has framed Green Highways (Plantation,
Transplantation, Beautification & Maintenance) Policy-2015. With this policy the objective
is to reduce the impacts of air pollution and dust as trees and shrubs along the Highways
act as natural sink for air pollutants and arrest soil erosion at the embankment slopes.

Many of these effects are so intertwined and act on each other in such unexpected ways
that it is often difficult to praise them apart so that they can be addressed individually.
The complexity of the situation can make tackling the problems seem a daunting, even
impossible task. However, there is already a small but growing movement which aims to
improve every aspect of urban life, in terms of its effects on both consumers and producers,
city dwellers and the environment. Whichever aspect of the current situation you choose,
you will find a group of self-motivated individuals trying to improve it.
Take some of the examples used so far. Water supply is a problem for many cities but we
already have low flush WC facilities, even composting toilets which require no water.
Sewage treatment similarly displays all the signs of a problem solved by Victorian
engineering, which is now too big for that solution. But if you follow up the “supply
chain” of sewage, you find the European Parliament setting minimum environmental
standards, which are imposed on the Environment Agencies, which enforce them on the
water authorities. This problem is not getting worse, despite growth in the number of
“suppliers”.
Road transport has a reputation for causing air pollution, congestion and a little
frustration, while reducing the quality of life of all concerned. The question is whether
it is reasonable. As a working generalisation, people live out of town because they
choose to (often because of the air pollution caused by cars). If they could not do this,
they would either have to live in town (reducing their perceived quality of life) or work
outside town (reducing their income). Presumably most commuters who have thought
about it consider that the price they pay to commute, in terms of reduced free time,
health, quality of life and so forth, are outweighed by the increase in job satisfaction,
income and other factors. The exponential increase in the growth of commuter traffic
that has taken place over the past few decades would seem to lend weight to this
interpretation.
552 Urban Legal and Policy Frameworks

However, with each additional car on the road during the rush hour, the price increases
but the rewards do not. Thus, the plight of commuters grows ever worse and the situation
begins to climb the political agenda. Commuter traffic has come to represent the worst
aspects of city life. It is often portrayed in the press as an insoluble problem, set to grow
ever worse. There are a number of solutions, with a wide range of political palatability,
such as road pricing, parking charges, investment in public transport and even tele-
working. As the situation worsens, the most acceptable solutions will appear preferable
and be adopted.

Similarly, when building the structures that form our cities, circumstances encourage
behaviour that maximises short-term gain at the expense of long-term prosperity. The
current economic climate encourages builders to complete each development as cheaply
as possible. There are certain rules and standards which must be observed but to win a
contract and then complete it profitably, the only other considerations are economic.
This is not an unreasonable situation, market economy appears to be the least bad way
of fulfilling requirements of livelihood. However, such a situation is causing considerable
problems for the wider environment; so much so that it is beginning to threaten our
quality of life.

The solution to this problem, as to the other examples, lies in a combination of education
and economics. We have developed the urban environment and improved the standard
of living in the developed world at the expense of the wider environment. However, we
are now starting to realise that this cannot go on. Having already opened our eyes to the
problem, we need to establish what can be done about it. For each of the examples
above and for many others, there already exist solutions. What is required now is the
will to implement them.

To a large extent, these solutions will be implemented when the costs become so great
that the sustainable solution becomes the cheapest solution. But this requires that the
full costs of all our actions are reflected in the simple, financial price we pay. This is
where the economic aspect of the solution comes in. Schemes have already been suggested
for road pricing and parking charges in major cities. These are the first attempts to
incorporate some of the additional costs of commuting into the price paid by the
commuter. These costs include a reduction in air quality, health effects, danger and
reduced quality of life for city dwellers. The small charges proposed are unlikely to
come close to accounting for these costs but they are a step in the right direction. Most
importantly, once this precedent has been set and people become used to paying for
environmental benefits, it will be an easier matter to increase the price so that they are
paying the real cost.

Market economics has proved itself in recent times to be the most effective and efficient
form of government. In terms of sustainability, the only fault in the system is that
incomplete information is fed into it, so that inappropriate actions result. If we are to
sustain our developed way of life, we must learn to identify the full costs of our actions
and begin to take appropriate steps to incorporate them into the existing economic
Infrastructure and Resource Management 553

system. The longer we delay this course of action, the larger our overdraft becomes and
the more we will have to repay in the end. However, the first signs are already appearing
to indicate that we are waking up to the reality of our predicament.

Sustainable movements such as Factor Four and Factor Ten, show that we already have
the capability to maintain our quality of life using a sustainable level of resources. What
is now required is not a radical change of lifestyle but a gradual acceptance that we
know how to live sustainably and the sooner we begin to move in this direction, the
easier it will be. Besides, full cost accounting still includes the original economic factors,
so any move toward sustainability will, by definition, also be an increase in prosperity.
Saving the world is not just the right thing to do, it’s the selfish thing to do.

Factor Four and Factor Ten

Factor four is a simple yet radical concept and was introduced in 1998, in a book
of the same name written by L. Hunter Lovins and Amory Lovins of the Rocky
Mountain Institute, and Ernst von Weizsäcker, founder of the Wuppertal Institute
for Climate, Environment and Energy. This is illustrated with 50 examples of
technologies that could be called upon to deliver the necessary improvement in
resource efficiency, including ultra-fuel-efficient cars, low-energy homes.
It is suggested in the book the Factor Four Practices hold the key to sustainable
development. It refers to a hypothetical fourfold increase in ‘resource productivity’,
brought about by simultaneously doubling wealth and halving resource consumption.
Its origins date back to 1972, when a report by the Club of Rome called ‘Limits to
Growth’ issued a stark warning that economic growth was using up resources at a
rate that could not be sustained for much longer.
Often mentioned in the same breath as Factor 4 is ‘Factor 10’, whose proponents
argue that in the long term, resource use in developed countries needs to be slashed
tenfold if we are to approach sustainability. The reasoning behind this is that globally,
consumption needs to be halved, but that the greatest reduction should be borne
by those countries that are currently the most profligate in their use of resources.
Factor Ten refers to the possibility of creating products and services that have a
massively lower resource intensity than the conventional alternative.
It evolved from the concept of factor four. Factor Ten goes further as a response to
the United Nations Environment Programme call for a tenfold reduction in resource
consumption in the industrialised countries as a necessary long-term target if
adequate resources are to be released for the needs of the developed countries.

While standard building practices are guided by short term economic considerations,
sustainable construction is based on best practices which emphasize long term
affordability, quality and efficiency. At each stage of the life cycle of the building, it
increases comfort and quality of life, while decreasing negative environmental impacts
554 Urban Legal and Policy Frameworks

and increasing the economic sustainability of the project. A building designed and
constructed in a sustainable way minimizes the use of water, raw materials, energy, and
land, over the whole life cycle of the building.

Although new technologies are constantly being developed to complement current

practices in creating greener structures, the common objective is that green buildings
are designed to reduce the overall impact of the built environment on human health and
the natural environment by:
♦ Efficiently using energy, water and other resources
♦ Protecting occupant health and improving employee productivity
♦ Reducing waste, pollution and environmental degradation
A similar concept is natural building, which is usually on a smaller scale and tends to
focus on the use of natural materials that are available locally. Other related issues
include sustainable design and green architecture.

Sustainability may be defined as meeting the needs of present generations without

compromising the ability of future generations to meet their needs. Green building does
not specifically address the issue of the retrofitting existing homes.

What is Sustainable Construction?

Sustainable construction refers to cities and buildings that respond to the emotional and
psychological needs of people by providing stimulating environments, raising awareness
of important values, inspiring the human spirit, and bonding societies, communities and
neighbourhoods. Sustainability in construction projects is generally achieved by:
♦ Defining clear goals sympathetic to sustainability issues.
♦ Concentrated effort at the design stage to achieve these goals.
♦ Focusing on decisions like site selection, building layout, design etc.
♦ Choosing the right materials which are recyclable after their useful lives.
♦ Choosing the right methods of construction in terms of energy and resource efficiency.
♦ Creating an efficient and integrated building envelope harnessing the gifts of
nature.
♦ Integrating HVFAC and electrical systems.

One of the main demerits of Sustainable Construction is the increase in construction

costs. Professionals in the construction sector tend to estimate the cost of constructing
a green building to be 17% higher than the cost of building a conventional structure. This
is attributed as the major obstacle to the construction of environmentally-friendly
buildings. However, this is highly compensated by savings and advantages all over the
use phase.
Infrastructure and Resource Management 555

The ownership of sustainable buildings results in clear benefits for investors, ranging
from drastically lower operating costs to improved marketability, longer useful life-
spans, significantly increased occupant productivity and well-being as well as more
stable cash- flows which in turn have economically quantifiable benefits. As a result,
increasing economic return, sustaining the natural environment and protecting social
values are not incompatible; at least not within property and construction markets.

28.3 Green Buildings and Sustainable Designs

Sustainable is a buzz word, however, defining sustainability in buildings is a complex
concept. There have been various popular definitions of sustainable buildings. USGBC
(United States Green Building Council), one of the pioneers in propagating green buildings
across the globe “The term ‘green building’ is synonymous with ‘high performance
building’, ‘sustainable design and construction’ as well as other terms that refer to a
holistic approach to design and construction.”

With the world witnessing a major environmental crisis, the concept of Sustainable
Design has come to the forefront particularly in the last two decades. The concept of
Sustainable Design is related to Green Building Design, and involves the use of techniques
that are in conformity with nature, rather than against it. It involves a dynamic change
in the way we design our modern structures and systems to ensure the sustainability of
the resources and the eco-system.

It is now being increasingly realised across the world that the benefits of sustainable
design are not limited to the environment alone, rather, they can have a significant
effect on your bottom-line as well. Well-designed sustainable design systems go a long
way in reducing operational costs by avoiding resource wastage. Besides, adopting the
sustainably approach creates improved goodwill within the consumers and the corporate
world at large. The benefits of sustainable designs include:
♦ Environmental: Structures built on the sustainable design model place minimal
impact on the environment. This is accomplished through the prudent use of resources
and by deploying systems for recycling and renewable energy sources such as solar
power and wind energy.
♦ Financial: Sustainability principles integrated early within the design, offer improved
life cycle costs as compared to conventional buildings due to reduced maintenance
and replacement. Additional cost savings are obtained through the use of recycling
systems and renewable energy sources.
♦ Social The availability of improved air quality and natural light helps boost employee
morale and productivity. Reduced strain on resources increases the availability of
those resources within the specific eco-systems and geographical regions.

Green building (also known as green construction or sustainable building) refers to a

structure and using process that is environmentally responsible and resource-efficient
throughout a building’s life-cycle: from siting to design, construction, operation,
556 Urban Legal and Policy Frameworks

maintenance, renovation and demolition. This practice expands and complements the
classical building design concerns of economy, utility, durability and comfort.

“Green building design strives to balance environmental responsibility, resource efficiency,

occupant comfort and well-being, and community sensitivity”.2 The Energy and Resources
Institute (TERI), a not-for profit organisation working in the field of sustainable
development defines it as, “A Green building is designed, constructed and operated to
minimise the total environmental impacts while enhancing user comfort and
productivity”.
Some of the key attributes of Sustainable buildings are as under:
♦ Consideration of sustainability aspects in all phases of building design and planning
♦ Consideration of sustainability aspects during construction and production of building
materials
♦ Use of healthy and environmentally friendly building materials and products
♦ Use of efficient systems
♦ Use of constructions and systems which are easy to maintain and service
♦ Safeguarding of high functionality, flexibility and adaptability
♦ Safeguarding of health and comfort of users, occupiers and visitors
♦ High aesthetic and urban design quality; high public acceptance
♦ Appropriate location with good access to public transportation services and networks
In a nutshell, sustainable buildings use less energy and water, generate less greenhouse
gases, use materials more efficiently, and produce less waste than the conventional
buildings over their entire life cycle.
A 2009 report by the U.S. General Services Administration found 12 sustainably designed
buildings cost less to operate and have excellent energy performance. In addition,
occupants were more satisfied with the overall building than those in typical commercial
buildings.
The Indian Green Building Council provides the following definition - “A green building
is one which uses less water, optimises energy efficiency, conserves natural resources,
generates less waste and provides healthier spaces for occupants, as compared to a
conventional building.”
The concept of Green Building is essentially based on the premise that economic
development and urbanisation need not go against the flow of nature. Green Building
principles reflect through the complete building life cycle and are aimed at reducing
impact upon the environment. The essential element of a green building is to make the
most efficient use of resources such as energy, water and material, and to ensure that
the building maintenance activities do not burden the environment.

2
LEED-NC Version 2.1 Reference Guide.
Infrastructure and Resource Management 557

Organisations around the world now increasingly realise that the additional investments
in making their structures ‘green’ is not only good for the environment but also provide
long- term tangible benefits in the form of lower operation costs and higher productivity.
A Sustainable Design that offers operational returns on investment is a significant and
integral concept to designing green buildings.
The concept of Green Building offers the following key advantages:
♦ Environment Friendly
♦ Energy Efficient
♦ Water Conservation
♦ Fire Safety
♦ Excellent Indoor Air Quality
What makes a building green?
A green building, also known as a sustainable building, is a structure that is designed,
built, renovated, operated, or reused in an ecological and resource-efficient manner.
Green buildings are designed to meet certain objectives such as protecting occupant
health; improving employee productivity; using energy, water and other resources more
efficiently; and reducing the overall impact to the environment.

A green building may cost more up front, but saves through lower operating costs over
the life of the building. The green building approach applies a project life cycle cost
analysis for determining the appropriate up-front expenditure. This analytical method
calculates costs over the useful life of the asset.
These and other cost savings can only be fully realised when they are incorporated at
the project’s conceptual design phase with the assistance of an integrated team of
professionals. The integrated systems approach ensures that the building is designed as
one system rather than a collection of stand-alone systems.
Some benefits, such as improving occupant health, comfort, productivity, reducing
pollution and landfill waste are not easily quantified. Consequently, they are not
adequately considered in cost analysis. For this reason, builders/architects should consider
setting aside a small portion of the building budget to cover differential costs associated
with less tangible green building benefits or to cover the cost of researching and analysing
green building options.
Even with a tight budget, many green building measures can be incorporated with minimal
or zero increased up-front costs and they can yield enormous savings. Below are
illustrations of green building practices.
1) Siting
♦ Selection of site is very important. A site must be so selected that is well suited
to take advantage of mass transit.
558 Urban Legal and Policy Frameworks

♦ Protecting and retaining existing landscaping and natural features. Selection of

plants that have low water and pesticide needs, and generate minimum plant
trimmings. Using compost and mulches so that it saves water and time.
♦ Recycled content paving materials, furnishings and mulches help close the
recycling loop.
2) Energy Efficiency
♦ Passive design strategies can dramatically affect building energy performance.
These measures include building shape and orientation, passive solar design,
and the use of natural lighting.
♦ Developing strategies to provide natural lighting. Studies have shown that it
has a positive impact on productivity and general well-being.
♦ Installing high-efficiency lighting systems with advanced lighting controls.
Including motion sensors tied to dimmable lighting controls. Task lighting reduces
general overhead light levels.
♦ Using a properly sized and energy-efficient heat/cooling system in conjunction
with a thermally efficient building shell. Steps such as to maximise light colours
for roofing and wall finish materials; installation of high R-value wall and ceiling
insulation; and usage minimal glass on east and west exposures are effective.
♦ Minimising the electric loads from lighting, equipment and appliances.
♦ One should consider alternative energy sources such as photovoltaics and
fuel cells that are now available in new products and applications. Renewable
energy sources provide a great symbol of emerging technologies for the future.
♦ Computer modelling is an extremely useful tool in optimising design of electrical
and mechanical systems and the building shell.
3) Materials Efficiency
♦ Steps that should be followed include selection of sustainable construction and
products by evaluating several characteristics such as reused and recycled
content, zero or low off gassing of harmful air emissions, zero or low toxicity,
sustainably harvested materials, high recyclability, durability, longevity, and
local production. Such products promote resource conservation and efficiency.
♦ Use dimensional planning and other material efficiency strategies. These
strategies reduce the amount of building materials needed and cut construction
costs. For example, design rooms on 4-foot multiples to conform to standard-
sized wallboard and plywood sheets.
♦ Reuse and recycle construction and demolition materials. For example, using
inert demolition materials as a base course for a parking lot keeps materials out
of landfills and costs less.
♦ Require plans for managing materials through deconstruction, demolition and
construction.
Infrastructure and Resource Management 559

♦ Design with adequate space to facilitate recycling collection and to incorporate

a solid waste management programme that prevents waste generation.
4) Water Efficiency
♦ Design for dual plumbing to use recycled water for toilet flushing or a grey
water system that recovers rainwater or other nonportable water for site
irrigation.
♦ Minimise wastewater by using ultra low-flush toilets, low-flow shower heads,
and other water conserving fixtures.
♦ Use recirculating systems for centralised hot water distribution.
♦ Install point-of-use hot water heating systems for more distant locations.
♦ Use a water budget approach that schedules irrigation using the California
Irrigation Management Information System data for landscaping.
♦ Meter the landscape separately from buildings. Use micro-irrigation (which
excludes sprinklers and high-pressure sprayers) to supply water in non-turf areas.
♦ Use state-of-the-art irrigation controllers and self-closing nozzles on hoses.
5) Occupant Health and Safety
♦ Recent studies reveal that buildings with good overall environmental quality
can reduce the rate of respiratory disease, allergy, asthma, sick building
symptoms, and enhance work performance.
♦ Choose construction materials and interior finish products with zero or low
emissions to improve indoor air quality. Many building materials and cleaning/
maintenance products emit toxic gases, such as volatile organic compounds
(VOC) and formaldehyde. These gases can have a detrimental impact on
occupants’ health and productivity.
♦ Provide adequate ventilation and a high-efficiency, in-duct filtration system.
Heating and cooling systems that ensure adequate ventilation and proper
filtration can have a dramatic and positive impact on indoor air quality.
♦ Prevent indoor microbial contamination through selection of materials resistant
to microbial growth, provide effective drainage from the roof and surrounding
landscape, install adequate ventilation in bathrooms, allow proper drainage of
air-conditioning coils and design other building systems to control humidity.
6) Building Operation and Maintenance
♦ Green building measures cannot achieve their goals unless they work as intended.
Building commissioning includes testing and adjusting the mechanical, electrical,
and plumbing systems to ensure that all equipment meets design criteria. It
also includes instructing the staff on the operation and maintenance of
equipment.
560 Urban Legal and Policy Frameworks

♦ Over time, building performance can be assured through measurement,

adjustment, and upgrading. Proper maintenance ensures that a building continues
to perform as designed and commissioned.
7) Steps to Ensure Success
♦ Establishing a vision that embraces sustainable principles and an integrated
design approach.
♦ Development of a clear statement of the project’s vision, goals, design criteria,
and priorities.
♦ Developing a project budget that covers green building measures and allocating
contingencies for additional research and analysis of specific options.
♦ Seeking advice of a design professional with green building experience.
♦ Developing a project schedule that allows for systems testing and commissioning.
♦ Developing contract plans and specifications to ensure that the building design
is at a suitable level of building performance.
♦ Creating effective incentives and oversight.

28.4 International Framework and Assessment Tools

A number of organisations have developed standards, codes and rating systems that let
government regulators, building professionals and consumers embrace green building
with confidence. In some cases, codes are written so local governments can adopt them
as bylaws to reduce the local environmental impact of buildings.

Green building codes and standards, such as the International Code Council’s draft
International Green Construction Code, are sets of rules created by standards development
organisations that establish minimum requirements for elements of green building such
as materials or heating and cooling. It is pertinent to mention that The International
Code Council is a non-profit association that provides a wide range of building safety
solutions. The Council develops model codes and standards with respect to constructing
safe, sustainable, affordable and resilient structures.

Green building rating systems such as BREEAM (United Kingdom), LEED (United States
and Canada), and CASBEE (Japan) help consumers determine a structure’s level of
environmental performance. They award credits for optional building features that
support green design in categories such as location and maintenance of building site,
conservation of water, energy, and building materials, and occupant comfort and health.
The number of credits generally determines the level of achievement.
Some of the major building environmental assessment framework include:
1) IPCC - The Intergovernmental Panel on Climate Change (IPCC) is the leading
international body for the assessment of climate change established by UNEP (United
Infrastructure and Resource Management 561

Nations Environmental Programme) and WMO (World Meteorological Organisation).

It is an intergovernmental body. It is open to all member countries of the United
Nations (UN) and WMO as the UN General Assembly endorsed the action by WMO and
UNEP in jointly establishing the IPCC.
Currently 194 countries are members of the IPCC. Governments participate in the
review process and the plenary Sessions, where main decisions about the IPCC work
programme are taken and reports are accepted, adopted and approved. The IPCC
Bureau Members, including the Chair, are also elected during the plenary Sessions.
Because of its scientific and intergovernmental nature, the IPCC embodies a unique
opportunity to provide rigorous and balanced scientific information to decision
makers. By endorsing the IPCC reports, governments acknowledge the authority of
their scientific content. The work of the organisation is therefore policy-relevant
and yet policy- neutral, never policy-prescriptive. The aim is to provide a clear
scientific view on the current state of knowledge in climate change and its potential
environmental and socio-economic impacts.
The IPCC is a scientific body. It reviews and assesses the most recent scientific,
technical and socio-economic information produced worldwide relevant to the
understanding of climate change. It does not conduct any research nor does it
monitor climate related data or parameters. Thousands of scientists from all over
the world contribute to the work of the IPCC on a voluntary basis. Review is an
essential part of the IPCC process, to ensure an objective and complete assessment
of current information.
The IPCC’s Fifth Assessment Report on Climate Change was released in three
instalments over the course of 2013 and 2014. This is the fifth IPCC report in a series
to assess scientific, technical and socio-economic information concerning climate
change, its potential effects and options for adaptation and mitigation. The Synthesis
Report provides an overview of the state of knowledge concerning the science of
climate change, emphasizing new results.
2) GHG Indicator- The Greenhouse Gas Indicator or GHG indicator is an indicator set
by the UNEP Guidelines for calculating greenhouse gas 3missions for businesses and
non- commercial organisations. It is aimed towards helping organisations in estimating
and reporting their GHG emissions, and further stimulate action on climate change.
The Guidelines provide a method for converting information on fuel and energy use
readily obtainable by companies to estimated GHG emissions. The Guidelines provide
a step- by-step approach based on easy to use worksheets. The Indicator can be
applied at different levels of a company regardless of size or location, as well as
government agencies, NGOs, and other entities interested in estimating their GHG
emissions.
3) Sustainable Buildings and Climate Initiative, UNEP - Enables national and local
authorities to review current policy settings affecting the support for sustainable
buildings practices (if any), and to identify interventions/changes that will generate
substantial support to sustainable building practices.
562 Urban Legal and Policy Frameworks

4) Agenda 21 - Agenda 21 is a programme run by the United Nations (UN) related to

sustainable development. It is a comprehensive blueprint of action to be taken
globally, nationally and locally by organisations of the UN, governments, and major
groups in every area in which humans’ impact on the environment.
5) FIDIC’s PSM - The International Federation of Consulting Engineers (FIDIC) Project
Sustainability Management Guidelines were created in order to assist project
engineers and other stakeholders in setting sustainable development goals for their
projects that are recognised and accepted by as being in the interests of society as
a whole. The process is also intended to allow the alignment of project goals with
local conditions and priorities and to assist those involved in managing projects to
measure and verify their progress.
The Project Sustainability Management Guidelines are structured with themes and
sub-themes under the three main sustainability headings of Social, Environmental
and Economic. For each individual sub-theme, a core project indicator is defined
along with guidance as to the relevance of that issue in the context of an individual
project.
The Sustainability Reporting Framework provides guidance for organisations to use
as the basis for disclosure about their sustainability performance, and also provides
stakeholders a universally applicable, comparable framework in which to understand
disclosed information. The Reporting Framework contains the core product of the
Sustainability Reporting Guidelines, as well as protocols and sector supplements.
The Guidelines are used as the basis for all reporting. They are the foundation upon
which all other reporting guidance is based, and outline core content for reporting
that is broadly relevant to all organisations regardless of size, sector, or location.
The Guidelines contain principles and guidance as well as standard disclosures –
including indicators– to outline a disclosure framework that organisations can
voluntarily, flexibly, and incrementally, adopt.
Protocols underpin each indicator in the Guidelines and include definitions for key
terms in the indicator, compilation methodologies, intended scope of the indicator,
and other technical references. sector supplements respond to the limits of a one
size-fits-all approach. sector supplements complement the use of the core Guidelines
by capturing the unique set of sustainability issues faced by different sectors such as
mining, automotive, banking, public agencies and others.
6) IPD Environment Code - The IPD Environment Code was launched in February 2008.
The Code is intended as a good practice global standard for measuring the
environmental performance of corporate buildings. Its aim is to accurately measure
and manage the environmental impacts of corporate buildings and enable property
executives to generate high quality, comparable performance information about
their buildings anywhere in the world. The Code covers a wide range of building
types (from offices to airports) and aims to inform and support the following:
♦ Creating an environmental strategy
Infrastructure and Resource Management 563

♦ Providing inputs to real estate strategy

♦ Communicating a commitment to environmental improvement
♦ Creating performance targets
♦ Environmental improvement plans
♦ Performance assessment and measurement
♦ Life cycle assessments
♦ Acquisition and disposal of buildings
♦ Supplier management
♦ Information systems and data population
♦ Compliance with regulations
♦ Team and personal objectives
IPD estimates that it will take approximately three years to gather significant data
to develop a robust set of baseline data that can be used across a typical corporate
estate.
7) ISO 21931:2006, Sustainability in building construction — Framework for methods of
assessment for environmental performance of construction works — Part 1: Buildings
– The framework is intended to provide a general framework for improving the
quality and comparability of methods for assessing the environmental performance
of buildings. It identifies and describes issues to be considered when using methods
for the assessment of environmental performance for new or existing building
properties in the design, construction, operation, refurbishment and deconstruction
stages. It is not an assessment system in itself but is intended be used in conjunction
with, and following the principles set out in, the ISO 14000 series of standards.
Apart from the major building environmental assessment framework, most countries
follow their own particular assessment tools. These tools normally include assessment
protocols, rating systems and guidance for green building design, operation and
management. Here is a comprehensive list of different assessment tools followed in
various countries:
♦ Australia: Nabers and Green Star
♦ Brazil: AQUA and LEED Brasil
♦ Canada: LEED Canada / Green Globes / Built Green Canada
♦ China: GBAS
♦ Finland: Promise
♦ France: HQE
♦ Germany: DGNB / CEPHEUS
♦ Hong Kong: HKBEAM
564 Urban Legal and Policy Frameworks

♦ India: Indian Green Building Council (IGBC)

♦ Indonesia: Green Building Council Indonesia (GBCI) / Greenship
♦ Italy: Protocollo Itaca / Green Building Council Italia
♦ Japan: CASBEE
♦ Korea: KGBC
♦ Malaysia: GBI Malaysia
♦ Mexico: LEED Mexico
♦ Netherlands: BREEAM Netherlands
♦ New Zealand: Green Star NZ
♦ Philippines: BERDE / Philippine e Green Building Council
♦ Portugal: Lider A
♦ Republic of China (Taiwan): Green Building Label
♦ Singapore: Green Mark
♦ South Africa: Green Star SA
♦ Spain: VERDE
♦ Switzerland: Minergie
♦ United States: LEED / Living Building Challenge / Green Globes / Build it Green/
NAHB NGBS / International Green Construction Code (IGCC) / ENERGY STAR
♦ United Kingdom: BREEAM
♦ United Arab Emirates: Estidama
♦ IAPGSA Pakistan Institute of Architecture Pakistan Green Sustainable Architecture
♦ Jordan: EDAMA
♦ Czech Republic: SBToolCZ
♦ Qatar: Qatar Sustainability Assessment System (QSAS)

28.5 Sustainable Buildings and Construction for India:

Policies, Practices and Performance
India has rich traditions and history in holistic strategies for buildings and construction.
Despite this the sustainable buildings agenda currently receives limited attention in
India. While there are some local initiatives promoting sustainable buildings which include
research, pilot or advocacy projects, there is no coordinated approach to address the
wider sustainable buildings agenda in India.
UNEP’s Sustainable Buildings and Construction Initiative (SBCI) in association with TERI
and Marrakech Task Force are working together to establish knowledge on base-line
emissions from buildings in India, highlight priority issues and opportunities for sustainable
Infrastructure and Resource Management 565

buildings and identify a network of experts that can contribute to the aims of Sustainable
United Nations (SUN) and SBCI. The intent of this roundtable is to get a consensus and
useful inputs from the various stakeholders and participants of this roundtable on the
above mentioned issues.

Existing Building Scenario in India - India, the seventh largest country in the world, is
a leading economy and home to over one billion people living in various climatic zones.
The country’s economy has been growing at a fast pace ever since the process of economic
reforms started in 1991. Construction plays a very important role in its economy
contributing on an average 6.5%.3 of the GDP.

Commercial and residential sectors continue to be a major market for the construction
industry. The sectors consume a lot of energy throughout the life cycle of buildings thus
becoming a major contributor to greenhouse gas emissions.

Given the spiralling urban growth, the number of buildings, energy consumption and the
resultant carbon emissions is on a rise in the country. As per the 17th Electrical Power
Survey (EPS) of the Central Electricity Authority, the electricity demand is likely to
increase by 39.7% in 2011-12 as compared to 2006-07, by another 43.7% in 2016-17 as
compared to 2011-12 and by yet another 37.5% in 2021-22 as compared to 2016-17. With
a near consistent 8% rise in annual energy consumption in the residential and commercial
sectors, building energy consumption has seen an increase from 14% in the 1970s to
nearly 33% in 2004-05. The energy consumption has increased more than three times
since 2000. The residential and commercial sectors have registered maximum growth.
Electricity use in both residential and commercial sectors is primarily for lighting, space
conditioning, refrigeration, appliances and water heating.

The rural residential sector continues to rely heavily on traditional non-commercial

fuels such as fuel wood and dung. As per 2011 Census of India, out of 13.75 million slum
households in India, 90.8% use electricity/solar energy for lighting, 8.4% use kerosene or
some other oil, and 0.53% have no access to lighting at all. It is estimated that on an
average in a typical commercial building in India, around 60% of the total electricity is
consumed for lighting, 32% for space conditioning, and less than 8% for refrigeration.
Whereas, in a typical residential building, around 28% of the total electricity is consumed
for lighting, 45% for space conditioning, 13% for refrigeration, 4% for televisions and 10%
for other appliances in urban sector.4

The average electricity consumption for space conditioning and lighting in India is around
80 kWh/m2/annum and 160 kWh/m2/annum for residential and commercial buildings
respectively. Under a Business As Usual (BAU) scenario and based on a 10% annual increase
in new built-up area, the projected annual increase in electricity demand in commercial
and residential buildings would be 5.4 billion kWh.
3
Jones Lang Lasalle Meghraj, Accelerating Transformation :Investments in Indian Real estate, Knowledge
Centre-White paper series volume, 2:2, 1 JLLM, 2007.
4
All Statistics are based on CMIE, 2001, Economic Intelligence Service Report 2001, Centre for monitoring
Indian economy, Mumbai, India.
566 Urban Legal and Policy Frameworks

Energy consumption in Indian buildings is expected to increase substantially due to

economic growth, construction growth and human development. The demand for energy
to run appliances such as TVs, air conditioning and heating units, refrigerators and
mobile phone chargers will increase substantially as living standards rise in India.

Further, the growth in the commercial sector and the shift from rural to urban living will
continue to take place. This will result in a substantial increase in resultant emissions
from the buildings sector alone and need concerted efforts to bring down the energy
consumption by buildings through various measures.

In India there exists two types of certifications/assessments:

1) LEED INDIA along with other IGBC rating systems administered by the Indian Green
Building Council.
2) Green Rating for Integrated Habitat Assessment, or GRIHA conceived by The Energy
Resources Institute and developed jointly with the Ministry of New and Renewable
Energy, Government of India.

An important development in the Indian building industry has been the development of
the ECBC (Energy Conservation of Building Code) brought out by the Ministry of Power,
India. This standard provides guidelines for construction of energy efficient buildings in
India and is similar to the ASHRAE standard 90.1. There are talks of making the ECBC
standard mandatory for all buildings within the next 5 years.

Policy Initiatives at the National level - India has a number of policy initiatives to
mainstream energy efficiency and green buildings as control and regulatory instruments,
including appliance standards, mandatory labelling and certification, energy efficiency
obligations, and utility DSM(Demand side management) programmes; economic and
market- based instruments; fiscal instruments and incentives; support, information and
voluntary action.

Some of these are briefly explained in the following section:

1) Energy Conservation Building Code, 2007 - The Energy Conservation Act, 2001 provides
for the establishment of state energy conservation agencies to plan and execute
programmes. The Act led to the formation of Bureau of Energy Efficiency (BEE) that
formulated the Energy Conservation Building Code (ECBC). It targets building energy
efficiency and was introduced in the year 2007. This is the nation’s first building
energy code and aims to have a major impact on energy-efficiency in buildings. It
is a voluntary code for all buildings with a connected load of 500 kW and should most
likely become a mandatory code. It covers minimum requirements for building
envelope performance as well as for mechanical systems and equipment, including
heating, ventilation and air conditioning (HVAC) system, interior and exterior lighting
system, service hot water, electrical power and motors in order to achieve energy
efficiency in different climatic zones of India.
Infrastructure and Resource Management 567

2) National Urban Housing and Habitat Policy, 2007 - This policy aims to bridge the gap
between the supply and demand of housing and infrastructure in the country. This
policy intends to promote sustainable development of habitat in the country with a
view to ensure equitable supply of land shelter and services at affordable prices to
all sections of society. The core focus of this policy is to provide affordable housing
for all, with a specific focus on the lower income group (LIG) and the economically
weaker section (EWS)

3) Integrated Energy Policy - The Integrated Energy Policy provides a broad, overarching
framework for guiding the policies governing the production and use of different
forms of energy from various sources. The energy policy in India focuses on ‘energy
for all’ and intends to build an environmentally-friendly sustainable energy supply
policy.

4) Environmental Impact Assessment (EIA) and Clearance - This is a mandatory

requirement for all buildings with a built up area above 20,000 sq. m. and such
projects have to be apprised by the MoEF’s Environmental Appraisal Committees
(EACs) and the State Environmental Appraisal Committees (SEACs).

5) The Ministry of New and Renewable Energy has initiated several programmes focusing
on the utilisation of renewable energy sources in buildings.

6) Sustainable Habitat Mission (SHM) - The SHM under the National Action Plan on
Climate Change was launched by the honourable Prime Minister, Mr. Manmohan
Singh on June 30, 2008. It encompasses a broad and extensive range of measures
and focuses on eight missions, which will be pursued as key components of the
strategy for sustainable development. These include missions on solar energy,
enhanced energy efficiency, sustainable habitat, conserving water, sustaining the
Himalayan ecosystem, creating a “Green India”, sustainable agriculture and, finally,
establishing a strategic knowledge platform for climate change. For the habitat
mission, the strategies proposed aim at promoting efficiency in residential and
commercial sector through various measures such as, change in building bye laws,
capacity building, research and development in new technologies, education and
awareness, etc., management of municipal solid wastes, and promotion of urban
public transport.

7) Energy labelling of appliances BEE has several programmes to set labels and energy
efficient standards for refrigerators, air conditioners, motors and other appliances.
Labelled products have been in the market since 2006. In a move to manage energy
demands, BEE has made star rating for energy efficiency mandatory for a host of
electrical appliances from September 20, 2008. The implementation of this mandate
is yet to be seen.

8) Energy Conservation Act, 2001 - Considering the vast potential of energy savings
and benefits of energy efficiency, the Government of India enacted the Energy
568 Urban Legal and Policy Frameworks

Conservation Act, 2001. The Act provides for the legal framework, institutional
arrangement and a regulatory mechanism at the Central and State level to embark
upon energy efficiency drive in the country. Five major provisions of EC Act relate
to Designated Consumers (DC), standard and labelling of appliances, Energy
Conservation Building Codes, Creation of Institutional set up (BEE) and establishment
of Energy Conservation Fund. The EC Act was amended in 2010 and one of the
amendments of the Act was to include commercial buildings having a connected
load of 100 kW or contract demand of 120 kVA and above under the purview of ECBC
under EC Act.

9) GRIHA mandatory for central government projects - According to an official circular

released by the Ministry of New and Renewable Energy on 17th September 2009, all
new buildings of central government / public sector undertakings shall comply with
the mandatory guidelines and benchmarks of at least a GRIHA (National Rating
System endorsed by the Ministry of New and Renewable) 3 star rating. In view of
this, Ministry of New and Renewable Energy along with The Energy and Resources
Institute, Central Public Works Department and other organizations are arranging
various awareness generation and capacity building programmes for of architects,
engineers, urban planners and other professionals of the building industry.

Policy Initiatives at Local/City level - A city has a final set of building guidelines in
the form of building bye laws which are finally implemented at town and city level
by the respective Development Authorities and Municipal Corporations/Municipalities.
These byelaws however, currently have not been able to integrate the ECBC provisions
and other sustainability parameters.

Rating systems - Building rating systems are a popular tool to bring momentum in achieving
energy efficiency and sustainability in buildings. The country has currently two rating
systems namely, LEED and GRIHA.

a) Leadership in Energy and Environmental Design (LEED) : The Leadership in Energy

and Environmental Design (LEED) Green Building Rating System, developed and
managed by the USGBC, is the most widely used rating system in North America.
Buildings are given ratings of platinum, gold, silver, or “certified”, based on green
building attributes. LEED is evolving rapidly; in the United States, at least nine
types of specific programmes exist, including those for new commercial construction
and major renovation projects, existing building operation and maintenance,
commercial interiors, homes, schools, neighbourhoods and retail.

USGBC is also developing LEED for Healthcare, and LEED for Labs. The Indian Green
Building Council (IGBC) founded by the collaboration between the Confederation of
Indian Industry (CII) and the private manufacturer Godrej, has taken steps to promote
the green building concept in India. Currently, IGBC is facilitating the LEED rating of
the U.S. Green Building Council in India. LEED-India was launched in 2001 and rates
Infrastructure and Resource Management 569

buildings on environmental performance and energy efficiency during the design,

construction and operation stages.

b) Green Rating for Integrated Habitat Assessment (GRIHA): The Ministry of New and
Renewable Energy have adopted a national rating system- GRIHA which was
developed by The Energy and Resources Institute (TERI). It is an indigenously
developed rating system completely tuned to the climatic variations, architectural
practices, existing practices of construction and attempting to revive the passive
architecture. The GRIHA rating system takes into account the provisions of the
National Building Code 2005, the Energy Conservation Building Code 2007 announced
by BEE and other IS codes. This was developed specifically aimed at non-air
conditioned or partially air-conditioned buildings.

GRIHA has been developed to rate commercial, institutional and residential buildings
in India emphasizing national environmental concerns, regional climatic conditions
and indigenous solutions. GRIHA stresses passive solar techniques for optimising
visual and thermal comfort indoors and encourages the use of refrigeration-based
and energy- demanding air conditioning systems only in cases of extreme thermal
discomfort.

There has been an upcoming trend especially in the commercial sector to look at
sustainability aspects and of lately a number of such projects have gone in for
either of the above prevalent building assessment system (rating system). As an
indication, there are some 375 registered green building projects in India with LEED
amounting to 260 million sq. ft. and 28 registered green building projects for GRIHA
amounting to 1.3 million sq. ft.

28.6 Examples of Green Buildings in India

Accepted definitions of green buildings describe them as structures that ensure efficient
use of materials, water, energy and other resources without depletion of nature and
minimal generation of non-degradable waste. The concept of green buildings was
prevalent in India from the time of our ancestors who revered the five elements of
nature. Today, India can boast of Leadership in Energy and Environmental Design (LEED)-
certified green buildings ranging from residential complexes, exhibition centers, hospitals
and educational institutions to laboratories, IT parks, airports, government buildings
and corporate offices.

Let us now examine a few illustrations. The following is a list of some green buildings in
India based on the LEED India ratings :

1) Hon’ble Supreme Court of India Annexe Building, New Delhi – The new annexe building
complex has been designed as GRIHA (Green Rating for integrated Habitat Assessment)
compliant rated energy efficient building complex. Its rooftop solar power grid
570 Urban Legal and Policy Frameworks

connected system has solar power capacity of 1400 kWp (kilowatt peak). The grid is
capable of managing 40 per cent of the peak consumption.

2) Indira Paryavaran Bhawan, New Delhi – The New building housing the Ministry of
Environment, Forests and Climate Change (MoEF&CC) is targeted as the first large-
scale building in the country to achieve the Net Zero and Energy Positive tag and
also the first government building to do so. This building aims to be self-reliant in
every aspect of its overall functioning as a sustainable structure. The building is
having a goal of not just being energy-efficient but also energy-positive. A solar
photovoltaic system of 930 kWp is installed on the rooftop and on cantilevers
protruding out from the building.

3) Delhi High Court New Bock, New Delhi - The new block of Delhi High Court is an
amalgamation of high-end technology as well as eco-friendly system. The authorities
at the High Court call it ‘Green Building’. The principles of green building design
have been employed. Upper 2 floors have 4 to 6m Cantilever pergolas which form
the key visual elements that break the harsh Delhi Sunlight and create a cooler
shaded microclimate around the outer envelope. Hermetically sealed double glazed
windows have been used all around to enable the users to enjoy the surrounding
tree line without either adding to the heat gain or the uncomfortable glare that the
Infrastructure and Resource Management 571

absence of a secondary transitory volume around the building creates. Water

management is done scientifically using sensor operated urinals, low flow faucets,
and a dual flushing system wherein grey and black water is treated in the Sewage
treatment plant installed in the basements and the recycled water is used for flushing,
water-based cooling towers, housekeeping, and horticulture.

4) Headquarters Building for Unique Identification Authority of India (UIDAI), New Delhi
– UIDAI Headquarters is 5 star GRIHA rated building. While constructing this building
air pollution control measures such as site barricading, coverage of dusty material,
wheel washing and water sprinkling were implemented. Top soil was preserved and
re-applied in landscape and a part of it was donated to nursery for appropriate use.
100% storm water is being recharged into the ground through rain water recharge
system. 75% of the habitable spaces are day lit and meet the daylight factors
prescribed by the National Building Code of India. 100 kWp solar PV panels have
been installed on site.
572 Urban Legal and Policy Frameworks

5) Suzlon Energy Limited, Pune - The building of Suzlon Energy Limited in Pune is also
known as “One Earth”. It can house 2,300 people and was constructed at a lower
cost compared to other eco-friendly buildings of the same size. The building is rated
‘Platinum’ by LEED and certified as an eco-friendly building by the Green Building
Council. Built to perfection on an area of 41,000 square meters (10.13 acres), One
Earth can be counted as among the largest green building projects in India and is
living proof that our world can be replenished with a little green effort, every day.

6) Biodiversity Conservation India Ltd (BCIL), Bangalore - As a green builder who strives
for the conservation of diversity in vegetation, forests, culture and urban lifestyles,
BCIL has created some of the most energy-efficient residential homes India has ever
set eyes upon. The company’s TZed homes in Whitefield, Bangalore has been certified
as the first residential apartment in the world to be rated ‘Platinum’ under LEED.
TZed, which means “Towards Zero Energy Development” is a 2,49,000 sq.ft. green
project spread across 5.5 acres and is designed to reduce lighting and energy by
nearly 70 per cent. No home at BCIL TZed Homes uses incandescent lamps, halogens
and fluorescent tube lights.
Infrastructure and Resource Management 573

7) Olympia Technology Park, Chennai - The world’s largest LEED ‘Gold’ rated green
building is right here in India. Built on an area of 1.8 million sq. ft., this futuristic
masterpiece features three mighty towers on 8.4 acre greenery. It is constructed
with energy saving technology, autoclaved blocks containing 30 per cent fly ash,
wooden door-frames made from compressed sawdust and low VOC (Volatile Organic
Compounds) paints. Olympia’s green construction is compatible with the needs of
an IT company and also ensures efficient space.

8) ITC Green Centre, Gurgaon - Renowned as one of the early adopters of the green
building movement in India, the ITC Green Centre is still considered a benchmark
for green buildings. It was the first ‘Platinum’ rated building in India and has
endeavoured to adopt green practices that go beyond recycled waste and day-lit
offices. Within a built-in area of 180,000 sq.ft., the building features alternative
transportation facilities, storm water management system, solar thermal technology,
reflective high-albedo roof paint, minimal exterior lighting, separate smoking rooms
with exhaust system and zero-water discharge. More than 10% of the building materials
are refurbished from other sites and 40% are from within 500 miles of the project
site.
574 Urban Legal and Policy Frameworks

9) The Druk White Lotus School, Ladakh - In this desert landscape of severe climatic
conditions, 3,500 meters above sea level, was born a modest school that is adjudged
as an outstanding example of sustainable, green, cost effective building development.
This multi-award winning structure is the recipient of the Best Asian Building, Best
Education Building and Best Green Building awards. It combines the best of traditional
Ladakhi architecture with 21st century engineering excellence and is built with
traditional materials such as locally excavated stone, mud bricks, timber and grass.
Not just modern construction materials but also traditional materials like traditional
mud brick masonry is used internally to provide increased thermal performance and
durability.

10) La Cuisine Solaire, Auroville - One of the most innovative green buildings in the
country is the solar kitchen at Auroville that best demonstrates the use of solar
energy to produce steam. This 1700 sq. m. kitchen is named thus because of the
huge 15 diameter solar bowl that has been fixed at the top of the structure to
harvest solar energy. On a clear day, this green structure can generate enough
steam at a temperature of 150°C that can be used to cook meals for 1000 people,
three times a day. This building puts to use appropriate technologies and passive
solar concepts to achieve energy-efficiency.
Infrastructure and Resource Management 575

11) Doon School, Dehradun - Authorities can rightfully claim that this establishment is
one of India’s first green school campuses that opted for recycling measures and
successfully achieved cent per cent self-sufficiency in energy, water and organic
fertiliser. Several old building blocks that were part of the 69 acre school were
redesigned and solar thermal systems, waste management processes as well as
biomass gasification systems were introduced as part of its green initiatives. Doon
school drastically reduced the need for artificial heating/cooling air conditioning
through solar thermal systems and cross-ventilation.

12) Raintree Hotels, Chennai - Here is an eco-sensitive hotel for the eco-savvy traveller.
The entire chain of Raintree business hotels across Chennai city are the first eco-
sensitive hotels in South India. Everything about this hospitality range is green:
right from the rubber wood, bamboo and medium-density fibre used for construction
down to the Portland Pozzolana cement containing 15 to 20 per cent fly ash. The
George Fisher concealed cistern installed at the hotel controls the water used in
toilet flushes and the sewage treatment plant recycles water for use in air
conditioners.
576 Urban Legal and Policy Frameworks

13) Rajiv Gandhi International Airport, Hyderabad - India’s first Greenfield airport is
undeniably among the top 10 green buildings in India and the first airport in Asia to
be awarded the LEED ‘Silver’ rating certification by US Green Building Council.
Featuring 100,005 sq. m. of glass encased terminal, this green building ensures
optimal use of natural light and minimal wastage of electricity or energy
consumption. Yet another of its green features includes the recycling of treated
wastewater for landscaping, air conditioning and flushing requirements. This
greenfield airport has been built at a cost of Rs 2,478 crore.

14) Nokia, Gurgaon - Among India’s most sustainable buildings is the corporate office of
Nokia in Gurgaon which has been granted accreditation as one of the world’s leading
green buildings by the U.S. Green Building Council (USGBC). This is the first time
that a commercial interior fit-out project in India is being awarded the Green
Building Award and prestigious LEED ‘Gold’ rating. What makes this green office
stand out from the rest is its smart lighting and ventilation systems, high-efficiency
chillers, high-performance double glazing, heat recovery wheel, green guard certified
furniture and online CO2 monitoring system. The first Nokia facility to receive LEED
Gold Certification was the China campus in Beijing.
Infrastructure and Resource Management 577

28.7 Conclusion
India’s Green Building Code is still evolving. Material and design improvisations continue
to be made in the way buildings are constructed in our country. However, the laws that
bind the Green Building Code in India are more voluntary than specific.

While the void that has been created in the absence of this specificity is filled by
accreditations offered by various organisations, a detailed national code is much awaited.

The recent acclivity witnessed in energy costs, has had an increasing number of countries,
states and cities adopting policies and implementing laws that encourage or require new
construction and existing buildings to be energy-efficient. Many of these make it
mandatory to meet the terms set down by their green building councils; a few others
offer incentives to commercial builders, including tax benefits and real quick permits.

The National Building Code (NBC), designed by the Bureau of Indian Standards (BIS) is
limited to offering basic and general guidelines for efficient energy usage. No limits
have been set on performance and consumption. The fact that the NBC was amended in
2005 after 18 years, is reflective of its limitations. ECBC lists out features that affect the
energy performance of buildings, without addressing issues of water consumption and
resources reuse.

Voluntary laws - While it is true that the green building laws and codes established in
India are voluntary in the absence of an explicit nationalised green building code, there
are several accredited certification systems that have been instrumental in introducing
green building regulations and development modules in the country. However, with as
many as 57 countries the world over, following the green building indicators established
by the US Green Building Council, LEED is the benchmark recognised and accepted by
most developers, builders, architects and users for core and shell buildings and for fully
furnished buildings. LEED-India in fact sets down standards that have been customised
according to Indian conditions in terms of the design, construction and operation of
buildings that seek high, yet environment-friendly performance.

LEED-India - LEED in India has also been at the receiving end of some fault finding. It has
been criticised for including concepts that are specifically western, especially in terms
of air-conditioning usage and temperature control. This in turn has resulted in several
changes being incorporated in the LEED India rating system, which is constantly being
amended to address the Indian environment and climate conditions and sustainability
issues for buildings.

Site development, water resource utilisation, energy, materials selection and indoor
environment are the key areas that have been focused upon while amending the system.

IGBC is attempting to indigenise LEED according to the environmental conditions prevalent

in India. Together with IGBC Green Homes rating, which is perhaps the first rating
programme exclusively created for Indian homes, and other systems such as TERI GRIHA
578 Urban Legal and Policy Frameworks

and Eco Housing, it offers developers and home owners, the support they require to
upgrade the performance of their residential complexes.
The basic prerequisites for green buildings are:
♦ Climate-based layouts and designs to minimise energy consumption
♦ Waste water treatment and recycling with zero discharge to outside
♦ Fly ash blocks can be used for walls and slabs. This will maximise use of recycled
material.
♦ Maximise natural lighting and ensure optimum indoor air quality
Green building movement, though in its nascent stage in India, has already put the
country ahead of some powerful economies. For new construction, we have already left
behind Australia, one of the prominent countries with vast green building mass, and we
are close behind the USA. This has been made possible by some very prestigious
commercial projects developed by Indian Construction Industry.
Infrastructure and Resource Management 579

UNIT 29
URBAN TRANSPORTATION
SYSTEM
Contents
29.1 Introduction 579
29.2 Policy Initiatives 581
29.3 Factors Influencing Urban Transportation Efficiency Management 585
System
29.4 Impacts of Urban Transportation System 586
29.5 Mass Rapid Transit System (MRTS) 588
29.6 Conclusion 593
29.7 References and Recommended Readings 594

29.1 Introduction
A well-known and co-ordinated system of transport plays an important role in the sustained
economic growth of a country. The present transport system of India comprises several
modes of transport including rail, road, coastal shipping, air transport, etc. Transportation
in India has recorded a substantial growth over the years both in spread of network and
in output of the system. Urban traffic management system is an important component
which can properly control and guide the distribution of traffic flows on roads, and can
help improve the urban environment. Even the urban transportation infrastructure in
different cities is at the same level, the capacity of urban road systems may vary greatly
with different traffic management systems.

Traffic management system becomes a key factor in determining the level of

transportation efficiency and the relationship between transportation demand and supply.
The Ministry of Shipping, Road Transport and Highways is responsible for the formation
and implementation of policies and programmes for the development of various modes
of transport save the railways and the civil aviation. The Railways in India provide the
principal mode of transportation for freight and passengers. It brings together people
from the farthest corners of the country and makes possible the conduct of business,
sightseeing, pilgrimage and education. India has one of the largest road networks in the
world, aggregating to about 33 lakh kilometres at present. Shipping plays an important
580 Urban Legal and Policy Frameworks

role in the transport sector of India’s economy. Approximately, 95% of the country’s
trade by volume and 68% by value is moved through Maritime Transport 90 per cent of
the country’s trade by volume (70 per cent in terms of value) is moved by sea. India has
one of the largest merchant shipping fleet among the developing countries and ranks
17th in the world with shipping tonnage being 12.69 million G.T. as on December 31, 2018.
The coastline of India is dotted with 12 Major Ports and about 200 Non-major Ports. The
Major Ports are under the purview of the central while the Non- major Ports come
under the jurisdiction of the respective State Governments. The Ministry of Civil Aviation
is responsible for the formulation of national policies and programmes for
development and regulation of civil aviation and for devising and implementing schemes
for orderly growth and expansion of civil air transport. India has a coastline of about
7517 km which spread on the western and eastern shelves of the mainland and also along
the Islands.

Cities play a vital role in promoting economic growth and prosperity. The development
of cities largely depends upon their physical, social and institutional infrastructure. In
this context, the importance of intra urban transportation is paramount. Indian cities
cannot afford to cater only to private cars and two-wheelers and there has to be a
general recognition that policy should be designed in such a way that it reduces the need
to travel by personalised modes and boosts public transport system. This requires both
an increase in quantity as well as quality of public transport and effective use of demand
as well as supply-side management measures.

The establishment of State Transport Undertakings (STUs) in India in the 1960s and 1970s
did an enormous service in linking towns and villages across the country, particularly in
the western and southern parts of the country. The importance of STUs lies in the fact
that, unlike most other developing countries, one can connect to almost every village in
India. Urban areas in India, which include a wide range of megacities, cities and towns,
are not all that fortunate in terms of intra city transportation. As far as the public
transport system in Indian cities is concerned, dedicated city bus services are known to
operate in 17 cities only and rail transit exists only in 4 out of 35 cities with population
in excess of one million. Transport demand in most Indian cities has increased substantially,
due to increases in population as a result of both natural increase and migration from
rural areas and smaller towns. Availability of motorised transport increases in household
income, and increases in commercial and industrial activities have further added to
transport demand. In many cases, demand has outstripped road capacity. Greater
congestion and delays are widespread in Indian cities and indicate the seriousness of
transport problems. A high level of pollution is another undesirable feature of overloaded
streets. The transport crisis also takes a human toll. Statistics indicate that traffic
accidents are a primary cause of accidental deaths in Indian cities. The main reasons for
these problems are the prevailing imbalance in model split, inadequate transport
infrastructure, and its suboptimal use. Public transport systems have not been able to
keep pace with the rapid and substantial increases in demand over the past few decades.
Bus services, in particular have deteriorated, and their relative output has been further
Infrastructure and Resource Management 581

reduced as passengers have turned to personalised modes and intermediate public

transport. According to statistics provided by the Ministry of Road Transport and Highways,
Government of India, the annual rate of growth of motor vehicle population in India has
been about 10 per cent during the last decade. The basic problem is not the number of
vehicles in the country but their concentration in a few selected cities, particularly in
metropolitan cities. It is alarming to note that 32 per cent of these vehicles are plying
in metropolitan cities alone, which constitute about 11 per cent of the total population.
During the year 2000, more than 6.2 million vehicles were plying in megacities (Mumbai,
Delhi, Kolkata and Chennai) alone, which constitute more than 12.7 per cent of all motor
vehicles in the country. Interestingly, Delhi, which contains 1.4 per cent of the Indian
population, accounts for nearly 7 per cent of all motor vehicles in India.

29.2 Policy Initiatives

Transport being essentially a derived activity, its conceptualisation and articulation
depends upon a variety of social and economic issues and long-term goals. India has
however twice attempted to evolve a transport policy: the first in 1966 when the dreams
of independence were still alive and the second in 1980 under the shadow of spiking oil
prices. In a typically oriental fashion, on both occasions, the policies were accepted in
toto by the government and subsequently subjected to studied neglect. These changes
have exacerbated the demand for transport – a demand that many Indian cities have not
been able to meet. The main reason for this is the prevailing imbalance in model split
besides inadequate transport infrastructure and its sub-optimal use. Given the current
urban transport scenario in India, transport policy should aim at improving the economic
efficiency of cities and well-being of urban inhabitants. Adequate transport policy should
assist in alleviating endemic traffic congestion which causes significant disruption to
business and commercial activities. Furthermore, a policy should aim to reduce social
costs of accidents and pollution.

Urban transportation is the single most important component instrumental in shaping

urban development and urban living. While urban areas may be viewed as engines of
growth, urban transport is, figuratively and literally, the wheel of that engine. The test
of urban governance depends upon the quality of life the city or town offers. Since
transport is one of the prime determinants of quality of life, it is for the government to
articulate the need for mobility and facilitate it through an appropriate mechanism. In
fact, the efficiency of cities greatly depends on the development of transport systems,
as urban transport is a catalyst for overall development. However, the cities in India
suffer from absence of a cogent urban transport policy. Urban transportation problems
in India are manifest in the form of congestion, delay, accidents, energy wastage and
pollution. All these have very heavy economic, social and environmental costs. The
need of the hour is therefore a sound urban transport policy. The major thrust of such
an urban transport policy should include integrated planning, an optimum share between
public and private modes, the choice of relevant technology for public transport systems,
optimal use and management of available resources, restructuring of monetary and
fiscal policy to encourage and promote public transport, and establishment of institutional
582 Urban Legal and Policy Frameworks

arrangements, at all levels of governance, particularly at the city level, for planning,
development, operation, management and coordination of urban transport systems.
Much of the confusion in these matters is due to lack of professional expertise. There is
no transport undertaking in India, which employs qualified transport planners, and the
transport planners employed in municipalities and municipal corporations are placed at
a hierarchical level where they have little or no influence.
Although policy measures that involve restraining the use of private cars and two-
wheelers are likely to be unpopular, a gradualist approach of progressively introducing
restraints on road use, while at the same time improving public transport, is more likely
to lead to greater acceptance. It is believed that improved public transport and more
efficient management of demand would help to combat the trend away from public
transport vehicles towards greater use of personalised modes. The central government
should assist local governments for effective implementation of such measures. In fact,
there is a pressing need to strengthen institutions in the transport sector. Central
government should provide training and technical assistance to local governments to
prepare and implement sound policies and programmes. Furthermore, an urban transport
policy should encourage the need for developing ‘green’ modes like bicycling, walking,
through a provision of pedestrian paths and cycle tracks especially in new development
areas of larger cities and small and medium towns which should be integrated with the
transport network. The application of Transport System Management (TSM) strategy
such as one-way systems, improvement of signals, traffic engineering improvement
measures for road network, intersections, bus priority lanes and suitable policies and
development of intermediate passenger transport as a short-term measure should be
introduced in all cities especially in metropolitan cities so that the existing road capacity
and road user safety is increased. Road infrastructure improvement measures like new
road alignments, a hierarchy of roads, a provision of service roads, by-passes, ring
roads, bus bays, wide medians, intersection improvements, construction and repair of
footpaths and roads, removal of encroachments, good surface drainage etc. should also
be introduced at least in metropolitan cities. These can be considered as short- and
medium-term measures. Very old vehicles in the city should be phased out and leadfree
fuel for all vehicles should be introduced as soon as possible.
Besides short- and medium-term measures, there is a need to have long-term measures
as well, involving technology upgrades and introduction of a high speed, high capacity
public transport system particularly along high-density traffic corridors. Use of electric
traction should be encouraged as far as possible. One should note that capital-intensive
projects should be considered if and only if it is absolutely necessary. In many cases,
instead of building underground railways or elevated highways, the government would
have done better to have increased the capacity of existing bus services through bus
priority measures, such as exclusive bus ways and better road access. In some cases, of
course, capital-intensive investments, such as elevated highways or rapid rail systems,
may be the best approach. However, there should be careful appraisal of all capital-
intensive projects before implementing them. In addition, there should be a determined
effort to develop alternative pollution free fuels in the long run. Caution should be
exercised in building flyovers.
Infrastructure and Resource Management 583

In a nutshell, transport strategy should support the following objectives:

♦ Provide and promote sustainable high-quality links for people, goods, and services
to, from and within the city to benefit economic growth, and the urban fabric and
environmental quality of city;
♦ Improve the efficiency, effectiveness, and reliability of city’s transport systems;
♦ Integrate transport, spatial and economic development policies, to ensure sustainable
access for people and goods;
♦ Planning development in a manner which reduces the need to travel by personalised
modes and increases use of the public transport system;
♦ Reduction of consumption of scarce energy resources and pollution for ensuring a
healthy living environment;
♦ Improvement of public transport system and its efficiency;
♦ Improve travel choices and quality;
♦ Promote transport services and patterns of movement that will contribute to
improvements in air quality, reduction in greenhouse gas emissions, and enable
visual amenity;
♦ Optimisation of existing transport infrastructure and give precedence to low cost
and affordable technology, at least as a short-term measure, especially the bus
transport system;
♦ Promote the health of the people by encouraging more walking and cycling; and
♦ Ensure that the development of the transport system contributes to the protection
and enhancement of the natural environment.
One of the objectives of National Urban Transport Policy (NUTP) is building capacity
(institutional and manpower) to plan for sustainable urban transport. India is poised for
rapid economic growth. This future growth will largely come from the secondary and
tertiary sectors of the economy, i.e., the industrial and service sectors. Since economic
activities in these sectors primarily take place in urban areas, the state of our towns and
cities is crucial to India’s future growth. The National Mission on Sustainable Habitat in
the NAPCC outlines the measures to reduce emissions from the transport sector. The
mission proposes ‘better urban planning and modal shift to public transportation’ in
order to move towards low carbon transport systems. Under the ambit of NUTP, Sustainable
Urban Transport Project (SUTP) was launched in 2010. The project aimed to promote
environmentally sustainable urban transport in India (for example public transport and
non-motorized transport modes) and also encourage the use of environmentally
sustainable transport modes through demonstration projects in selected cities.

Further, India’s urban population is currently around 30% of its total population.
Experience across the world has been that as economies grow, rapid urbanisation takes
this proportion to over 60% before it begins to stabilise. As such, it is projected that
India’s urban population would grow to about 473 million in 2021 and 820 million by 2051,
584 Urban Legal and Policy Frameworks

as against only 285 million in 2001. Hence, cities must not only meet the mobility needs
of the current population but also provide for the needs of those yet to join the urban
population.

In this context, the Government of India has launched the Atal Mission for Rejuvenation
and Urban Transformation (AMRUT) and Smart Cities Mission to drive economic growth
and foster inclusive urban development.

The Government launched the National Electric Mobility Mission Plan (NEMMP) 2020 in
year 2013. This is a National Mission document providing the vision and the roadmap for
the faster adoption of electric vehicles and their manufacturing in the country. This plan
has been designed to enhance national fuel security, to provide affordable and
environmentally friendly transportation and to enable the Indian automotive industry
to achieve global manufacturing leadership. The Mission has been launched with an aim
to address the issue of rising vehicular pollution, and increasing concerns over the
energy security of the country. The plan aims to promote electric vehicle technologies
in India and achieve a target of penetration of electric vehicles to the extent of atleast14-
16 percent of the total vehicle fleet in India by 2020.

For urban areas to be able to support the required level of economic activity, they must
provide for the easy and sustainable flow of goods and people. Unfortunately, however,
such flow of goods and people has been facing several problems. Most prominent among
them have been the following:

The cost of travel, especially for the poor, has increased considerably. This is largely
because the use of cheaper non-motorised modes like cycling and walking have become
extremely risky, since these modes have to share the same right of way with motorised
modes. Further, with population growth, cities have tended to sprawl and increased
travel distances have made non-motorised modes impossible to use.

This has made access to livelihoods, particularly for the poor, far more difficult. This
again has tended to impact the poor more severely as many of those killed or injured
tend to be cyclists, pedestrians or pavement dwellers. Increased use of personal vehicles
has led to increased air pollution. Unless the above problems are remedied, poor mobility
can become a major dampener to economic growth and cause the quality of life to
deteriorate. A policy is, therefore, needed on the approach to dealing with this rapidly
growing problem as also offer a clear direction and a framework for future action.

Need for a National Policy

Although the responsibility for management of urban areas (and thus urban transport)
rests with the State governments, a Central policy is considered necessary as:
♦ Several key agencies that would play an important role in urban transport planning
work under the Central government, with no accountability to the State government.
♦ Several Acts and Rules, which have important implications in dealing with urban
transport issues, are administered by the Central Government.
Infrastructure and Resource Management 585

♦ A need exists to guide State level action plans within an overall framework.
♦ The launching of the National Urban Road Mission (NURM) has provided a timely
platform for providing significant financial support from the Central Government
for investments in urban transport infrastructure. As such, this offers an opportunity
for a meaningful national policy that would guide central financial assistance towards
improving urban mobility.
♦ A need exists to build capacity for urban transports planning and also develop it as
a professional practice.
♦ A need exists to take up coordinated capacity building, research and information
dissemination to raise the overall level of awareness and skills.

29.3 Factors Influencing Urban Transportation Efficiency

Management System
To study the factors of transportation efficiency is the first step in evaluating urban
transportation efficiency and proposing corresponding counter measures. The impact
factors of urban transportation efficiency are mainly divided into four aspects, which
are urban land-use pattern, transportation structure, transportation infrastructure and
traffic management system.

1) Urban land-use pattern

Urban land-use pattern means the characteristics and intensity of land-use activities.
Transportation demand is derived from the producing and living activities of the human
being. Therefore, under a certain economic level and land-use pattern, the generation/
attraction intensity and special distribution of transportation demand have basically
been determined. Urban transportation efficiency varies with different land- use patterns
greatly. Therefore, in order to improve urban transportation efficiency, it is an essential
measure to build a suitable urban land-use pattern, which can decentralise urban
functions, balance the distribution of transportation demand, cut down on total traffic
volume and relieve traffic congestions in cities.

2) The structure of urban transportation systems

Under a certain land-use pattern, the total capacity of the urban transportation system
is basically determined by the composition of different transport modes in the system.
Whether the structure of urban transportation system is harmonised with the land-use
pattern, will directly impact the balance between transportation demand and supply.
Given the total amount of transportation demand and a certain level of transportation
infrastructure in a city, a good transportation structure will most effectively utilise the
infrastructure and will help fully realise the functions of urban transportation systems.

3) Urban transportation infrastructure

Urban transportation infrastructure mainly includes roads, parking lots, vehicles and
transportation terminals. It is the direct carrier of urban transportation demands and
586 Urban Legal and Policy Frameworks

the basic input of the capacity of transportation supply. From the viewpoint of the
relationship among transportation efficiency, input and output, the operational efficiency
of transportation infrastructure is the key factor which will directly influence the urban
transportation capacity provided by the system.

4) Urban traffic management system

Urban traffic management system is an important component which can properly control
and guide the distribution of traffic flows on roads, and can help improve the urban
environment. Even the urban transportation infrastructure in different cities is at the
same level, the capacity of urban road systems may vary greatly with different traffic
management systems.

Therefore, given a certain land-use pattern and transportation structure in a city, traffic
management system then becomes the key factor to determine the level of transportation
efficiency and the relationship between transportation demand and supply.

29.4 Impacts of Urban Transportation System

If we look at impact, though mobility and accessibility have increased tremendously in
the urban areas, there are severe problems such as delay, congestion, accidents, air and
noise pollution, energy wastage, etc. Public transport systems have not been able to
keep pace with the rapid and substantial increases in demand over the past few decades.
Bus services in particular have deteriorated, and their relative output has been further
reduced as passengers have turned to personalised modes and intermediate public
transport (such as three-wheelers and taxis), adding to traffic congestion which has had
its impact on quality as well. It is often thought to be in egalitarian to provide special
services such as air-conditioned buses, express buses, and premium or guaranteed seats
in return for higher fares. In other words, variety is usually curbed. Experience shows
that the public welcomes a wide choice of transport, but despite the clear need for
greater variety in public transport, there is a tendency in established monolithic
corporations to offer very limited choice. The city cannot afford to cater only to the
private cars and two-wheelers and there has to be a general recognition that without
public transport cities would be even less viable. Much needs to be done if public
transport is to play a significant role in the life of a city. Measures need to be taken
in the short-run to enhance the quality of public transport service and to impose
constraints on the use of private vehicles in cities. In the long-run, there needs to be
effective land use planning and the introduction of new transit systems to keep the city
moving. It must not be forgotten that cities are the major contributors to economic
growth and movement in and between cities is crucial for improved quality of life.

Transport systems in most of the Indian cities are under the pressure of economic growth
on the one hand and under-investment on the other. Resolving this is therefore the
highest priority of urban authorities. An integrated transport strategy, which should be
socially, economically, and environmentally acceptable, has to be evolved and
implemented. Urban transport plans should especially emphasize public transport systems.
Infrastructure and Resource Management 587

As far as public transport systems in Indian cities are concerned, dedicated city bus
services are known to operate in 17 cities only and the rail transit exists only in three
cities (i.e., Mumbai, Chennai and Kolkata) out of 35 cities with populations in excess of
one million. Very few urban bus transport systems in India have been able to keep pace
with the very rapid and substantial increases in travel demand of the past few years. Bus
services have deteriorated over the years, and their efficiency and quality have further
been reduced. As a result, passengers have turned to personalised modes. Considering
the financial health of various levels of governments (central, state and local
governments) and investment requirements to improve the rail-based mass transport
systems, it is evident that bus transport will have to play a more important role in
providing the passenger transport services not only in mega cities but also in most of the
metropolitan and class I cities in India. Bus transport is favourable over its other
counterparts not only for reasons of energy efficiency but also from an environmental
point of view. There is a need to maximise its potential by encouraging promotional
measures. Government regulation and control have exacerbated the poor operational
and financial performance of the monopolies. As costs rise, for example, transport systems
come under financial pressure to increase fares, but politicians are under contrary
pressure to keep fares at existing levels. Once again, however, politicians will be inclined
to yield to pressure from those whose services are threatened and to insist on maintaining
money-losing operations.

a) Environmental impact of Urban Transport

Transport sector is the major contributor to air pollution in urban India. Emissions from
motor vehicles pollute the air, which, in turn, affects the health of people who are living
in the city. The problem of air pollution in Indian cities can be gauged from the fact that
more than 2% of the people in the prime of their life (15 to 45 years) die prematurely
in Delhi every year due to breathing and heart-related disorders caused by polluted air.
The three mega cities (Mumbai, Kolkata and Delhi) of India accounted for 40% of such
deaths. There is a direct relationship between transport system and air pollution in a
city. Vehicular emissions depend on vehicle-km, vehicle speed, age of vehicle, and of
course emission rate of different vehicle categories. One can see that the emission rate,
defined as quantity of pollutants emitted per vehicle-km, pertaining to carbon monoxide
(CO) and hydrocarbons (HC) is very high for personalised modes (e.g., cars and two-
wheelers) and Para transit modes (e.g., three wheelers) in comparison to buses, trucks,
and LCVs. With the deteriorating level of mass transport services and the increasing use
of personalised motor vehicles, vehicular emission is assuming serious dimensions in
most Indian cities. Traditionally, industries have been blamed for causing air pollution.
However, this dubious distinction has now gone to automobiles. For example, in Delhi,
the average annual emission of SPM is 543 micrograms per cubic meter while the WHO
standard is 75. In the case of Kolkata and Mumbai, the corresponding figures are 394 and
226 respectively. If no action is taken, the air quality of large cities in India is likely to
deteriorate by a factor of 3 in the next 10 to 15 years.
588 Urban Legal and Policy Frameworks

b) Energy consumption in the transport sector

In general, energy consumed in the urban transport sector is petroleum products, mainly
gasoline and High-Speed Diesel (HSD). As per Ministry of Petroleum and Natural gas, 70%
of the diesel sales and 99% of petrol sales in India were consumed in the transport sector
in 2012/13. The energy consumption in urban transport largely depends on the model
split as well as the speed of the vehicle. On average, energy consumption per pass-km is
the least by bus and the highest by car among different modes of road-based passenger
transport. One can see that buses, which carry around 50% of motorised urban passenger
traffic, consume far less energy as compared to cars, jeeps and two-wheelers, which
carry around 40% of this traffic. On average, a car consumes nearly six times more
energy than an average bus, while two-wheelers consume about 2.5 times and three-
wheelers 4.7 times more energy. In terms of fuel cost per pass-km, a two-wheeler is 6.8
times, a three-wheeler 7.0 times, and a car is 11.8 times costlier than a bus. Furthermore,
a car occupies over 38 times more road space in comparison to a bus to provide the same
level of passenger mobility (in terms of pass –kms). The corresponding figures for two-
and three-wheelers are 54 and 15 respectively. This shows that bus transportation is not
only favourable in terms of environmental consideration but also in terms of energy
efficiency and best possible use of scarce road space.

29.5 Mass Rapid Transit System (MRTS)

In the field of urban transport, Mass Rapid Transit System (MRTS) is an innovation around
the globe that can broadly be classified into ‘rail system’ and a ‘bus system’. The rail
based MRTS is capital intensive and includes systems like metro, monorail, Light Rapid
Transit (LRT) etc.
Bus System - The bus based system includes Bus Rapid Transit System, commonly known
as BRTS. Bus Rapid Transit System (BRTS), Modern Bus Services (by Government funding
or PPP based models) and their supporting infrastructure such as multilevel or under-
ground parking etc.
The BRTS is not a technology but an organised way of operating buses on dedicated
corridors with high tech information system. Selection of a particular type of system
depends upon many characteristics of the city. The present study has documented
BRTS of four cities, namely, Jaipur, Ahmedabad, Pimpri-Chinchwad and Visakhapatnam.
Amongst these, Ahmedabad BRTS has been implemented and operating successfully.
Another option is to operate modern and intelligent transport systems enabled buses. As
mentioned earlier, the Government of India has funded 15,260 such buses in 61 JNNURM
cities as a part of the economic stimulus package.
The operational performance is largely contingent upon financial performance which
itself is subject to management efficiency and fare structure. It is expected that the
system should initially recover at least its operating cost from its fare box, which is
known as a breakeven point. In other words, a good financial performance improves the
operational performance of a mass transport system to a greater extent.
Infrastructure and Resource Management 589

A transport system having good operational performance attracts people and ridership
increases as well. An increase in ridership means that the commuters, who were travelling
by other modes of transport (especially personal vehicles) earlier, have switched over to
the public mass transport system.
This process not only improves the financial performance of the system but reduces the
congestion on roads which occurs due to the operation of personal vehicles. Moreover,
if congestion is reduced, air pollution, noise pollution, wastage of fuel, wastage of time,
rate of accidents etc. are also reduced. Thus, the mobility of people increases, which
finally affect the economic growth of the country.
Railway System
The Metro Rail System has proved to be the most efficient in terms of energy consumption,
space occupancy and numbers transported. Metro rail advantages are;
♦ Hi-capacity carriers – very high volumes of peak hour peak direction trips
♦ Eco-friendly – causes no air pollution, much lesser sound pollution
♦ Low energy consumption – 20% per passenger km in comparison to road-based systems
♦ Greater traffic capacity – carries as much traffic as 7 lanes of bus traffic or 24 lanes
of car traffic (either way)
♦ Very low ground space occupation – 2 meters width only for elevated rail
♦ Faster – reduces journey time by 50% to 75%
Case Study – Mumbai and Delhi

Mumbai
Mumbai (till recently called Bombay) was once a city of many small islands. It was used
as a trading port first by the Portuguese and later by the English East India Company. It
grew as the British consolidated their power-base in India but it was initially less important
than either Calcutta (today’s Kolkata) or Madras (Chennai). However, in the second half
of the nineteenth century, it went through a big expansion due to the “Cotton Boom” and
the opening of the Suez Canal in 1869.

Over time, land reclamations connected the small islands and consolidated them into
one large island. Meanwhile, the railways were introduced. The first track in India was
laid by the Great Indian Peninsular (GIP) Railway Company between Thane and Bombay;
it was inaugurated on April 16, 1853.

The early introduction of the two major railway lines – the Western and the Central
Lines, continues to define the urban form and the character of the city to this day.

The first trams were introduced in Mumbai in 1874 and ran between the localities of
Parel and Colaba (the trams were later discontinued). Buses made their first appearance
in July of 1926. In 1947, there were 242 buses in operation on 23 routes and carried
238,000 passengers per day. Today there are 3380 buses that transport 4.5 million
passengers daily on 335 routes. All this has heavily influenced Mumbai’s DNA, ranging
590 Urban Legal and Policy Frameworks

from its extremely dense urban form to its relatively egalitarian culture (despite large
income disparities). To this day, urban growth into the suburbs has tended to cluster
around train stations along the Western, Central and Harbour lines.
Given the above pattern of urban development, Mumbaikars have traditionally preferred
to rely on various forms of
public transport. 55.5% of
people walked to work in
2001, 22% used trains, 14.4%
used buses. Only 1.6% used
cars and 3.1% used a two-
wheeler. These ratios have
probably grown in recent
years but car ownership in
Mumbai is still the lowest
amongst large metropolitan
cities of India. Planners in
Mumbai have recently added
another element to their
transport system through the
Bandra-Worli Sea link
Project. At present, the
highly congested Mahim
Causeway is the only road
link connecting the western
suburbs to south Mumbai.
This project aims to ease this
congestion through an 8-lane
motorable bridge in the first
phase of the proposed West
Island Freeway system. The
irony is that the project,
which opened in mid-2009, is
being built exclusively for
fast-moving.
Vehicles thus cater to mere
2 per cent of the city’s
population with access to
private cars. The rail
network, meanwhile, has
changed little from a century
ago. Though metro line has
been proposed this will
become a reality soon with Source: Mumbai Metro: Maps of India, https://www.mapsofindia.
rapid urbanisation. com/mumbai/mumbai-metro-map.html
Infrastructure and Resource Management 591

New Delhi
Delhi is an ancient city and has served as an imperial capital under many dynasties. Parts
of the present city have been rebuilt many times by various rulers. While the city was
built from a defence perspective, display of Mughal grandeur was also a major motivation
for its urban design. The centrepiece of the city was the imposing Red Fort which
enclosed the palace complex. Shahjahanabad went into decline after it was sacked by
the British after the Revolt of 1857 and the last Mughal Emperor was sent into exile in
Burma. Political and economic power had already shifted to Kolkata. In the early
twentieth century, the colonial government decided to shift the capital back from Kolkata
to Delhi. Under the guidance of architect Lutyens’ New Delhi was commissioned to be
built to the south of the existing walled city. The core of Lutyens’ Delhi was built between
1911 and 1931 and was an unabashed display of Imperial grandeur. Given the then recent
invention of the automobile, roads were made wide and the city was deliberately spread
out.

Source: Delhi Metro Map: Delhi Metro Rail Corporation, http://www.delhimetrorail.com/Zoom_Map.aspx

592 Urban Legal and Policy Frameworks

It was this city that became the capital of independent India in 1947. Unlike in Mumbai,
rail transport was not given much importance in the initial structural development of
Delhi. The use of the automobile got embedded in the DNA of Delhi and subsequent
expansions were almost always envisaged with road transport in mind. As recently as the
late nineties, satellite cities of Gurgaon and Noida were built with only automobiles in
mind. The emphasis on roads has translated into Delhi having the highest level of car
ownership in India; public transport, too, is dominated by buses. According to the Delhi
Economic Survey 2007- 2008, there has been an exponential growth in the number of
vehicles, which increased from 2.848 million in 1996-97 to 5.232 million in 2006-07 at an
annual compound growth rate of 6.06 per cent. This does not include the number of cars
in the wider metropolitan area. The survey also quotes the Society of India Automobile
Manufacturers to state that Delhi has 85 private cars per 1000 individuals putting the car
density in Delhi at 10 times the national average. It notes that the share of buses (which
until 2003 catered to 60 per cent of the city’s total transport load) in total number of
vehicles has been going down steadily since 2003. The emphasis on roads has translated
into Delhi having the highest level of car ownership in India the car density in Delhi is
10 times the national average.
It is interesting that the embedded DNA of a city can sometimes over-rule attempts to
change. Take for instance, the failure of the Delhi Ring Railway, a part of the Delhi
Suburban Railway services. Conceived during the 1982 Asian Games, the Ring Railway
failed because of lack of proper connectivity of stations to other modes transport and
less population density in areas of reach. The Ring Rail is now largely defunct. Nonetheless,
things are changing. In recent years, the Delhi Metro Rail Corporation (DMRC) has been
trying to radically alter this dependency on road transport and attempting to hardwire
the city differently. The attempt appears to be succeeding in parts of the city – especially
in the dense ring of urban development than now surrounds Lutyen’s Delhi.
Delhi Metro has become the first rail network in the world to get a UN certificate for
preventing over 90,000 tones of CO2 from being released into the atmosphere from 2004
to 2007 by adopting regenerative braking systems in the metro trains which help in
deducing its power requirement. Delhi Metro has been awarded “Green Metro Leadership
Award” by Indian Green Building Council for the year 2019 for their pioneering role in
Greening of Metros & setting up benchmarks.
Three phase-traction motors installed on them act as generators to produce electrical
energy goes back into the Over Head Electricity (OHE) lines. The regenerated energy
that is supplied back to the OHE is used by other accelerating trains in the same service
line, thus saving overall energy in the system, thus about 30 per cent of electricity
requirement is reduced. By the mid-nineties, the boom in car ownership was clearly
straining the road network. It was felt that Delhi needed something more than a road-
based bus system. To rectify this situation the Government of India and the Government
of National Capital Territory of Delhi, in equal partnership set up a company named
Delhi Metro Rail Corporation Ltd. (DMRC) on 5th March 1995. The planning for a Metro in
Delhi dates back to the 1970s. Actual work towards building the metro, however, only
started three years after DMRC was established.
Infrastructure and Resource Management 593

The first phase of the project finished in December, 2005, on budget and nearly three
years ahead of schedule. Phase 2 of the network comprises 128 km of route length and
79 stations, and is presently under construction, with the first section opened in June
2008 and a target completion date of 2010. Phase 3 (112 km) and Phase 4 (108.5 km) are
planned to be completed by 2015 and 2020 respectively.

With the network spanning 413.8 km by then, Delhi Metro will be larger than London’s
Underground (408 km). An average of 500,000 commuters travel underground daily instead
of driving their own cars and scooters or packing into buses. The rail investments are yet
to achieve its full utilisation as its share of commuter traffic is only a mere 2 per cent.
It is, however, expected that once all four phases are complete by 2021, the share of
commuter traffic for the entire network will go up to about 25 per cent.

29.6 Conclusion
Urban transportation system control and guide the distribution of traffic flows on roads,
and improve the urban environment, even though mobility and accessibility have
increased enormously in the urban areas, there are severe problems such as delay,
congestion, accidents, air and noise pollution, energy wastage, etc. Public transport
systems have not been able to keep pace with the rapid and substantial increases in
demand over the past few decades. Much needs to be done if public transport is to play
a significant role in the life of a city. Transport essentially being a derived activity, its
conceptualisation and articulation depends upon a variety of social and economic issues
and longer term goals. India twice developed a transport policy: the first in 1966 and in
1980. Policy measures that involve restraining the use of private cars and two-wheelers
are expected to be not accepted, a gradualist approach of progressively introducing
restraints on road use, while at the same time improving public transport, is more likely
to lead to greater acceptance.

Under JNNURM, the government of India has identified 63 cities for which it will provide
assistance in upgrading its road infrastructure. Since NUTP’s focus is public transport,
pedestrians and bicycles, cities are modifying the earlier road expansion projects to Bus
Rapid Transit (BRT) and bicycle-inclusive plans. If we look at the land-use pattern, the
total capacity of the urban transportation system is basically determined by the
composition of different transport modes in the system. Urban transportation
infrastructure mainly includes roads, parking lots, vehicles and transportation terminals.
More emphasis should be on the mass rapid transit system i.e. rail and road based mass
transport system are supposed to be the efficient transport modes to meet the increasing
demand.

Urban areas, mega-cities, towns, have grown and are growing. Buses as a mode of public
transport have a potential which is yet to be fully exploited. Given the priority that they
deserve, buses can ensure safety, act against pollution and promote mobility for the
poor and the not so poor.
594 Urban Legal and Policy Frameworks

Transport System Management (TSM) strategy such as one-way systems, improvement of

signals, traffic engineering improvement measures for road network, intersections, bus
priority lanes, and suitable policies and development of intermediate passenger transport
as a short-term measure should be introduced in all cities especially in metropolitan
cities so that the existing road capacity and road user safety is increased. Measures need
to be taken in the short-run to enhance the quality of public transport service and to
impose constraints on the use of private vehicles in cities. In the long-run, there needs
to be effective land use planning and the introduction of new transit systems to keep the
city moving.

A holistic strategy is required for greening of the overall transport sector in India that
involves planned interventions that promotes low carbon growth, resource efficiency
and inclusive development in the long run. Greening of the transport sector requires a
combination of interventions promoting green growth of the overall sector coupled with
measures promoting green growth in each of the connected subsectors.

29.7 References and Recommended Readings

Journal of Public Transportation, Vol. 8, No. 1, 2005 - Review of Urban Transportation in
India -Sanjay K. Singh Indian Institute of Technology Kanpur.
Urbanization and urban transport in India: the sketch for a policy - Sudarsanam Padam
and Sanjay K. Singh.
Newspaper essay Mumbai, November 2007 Urban transport in Indian cities Geetam Tiwari,
TRIPP Chair Associate Professor for Transport Planning, Indian Institute of Technology,
Delhi.
National Urban Transport Policy. Urban Transport Initiatives in India: Best Practices in
PPP – National Institute of Urban Affair. Evaluation and analysis of urban transportation
efficiency in china.
The alternative urban futures report – Urbanisation & sustainability in India – An
Interdependent Agenda - WWF.
Infrastructure and Resource Management 595

UNIT 30
CONSERVATION OF HERITAGE
BUILDINGS
Contents
30.1 Introduction 595
30.2 Meaning and Definition of Heritage Buildings 598
30.3 Heritage Conservation and Urban Design 601
30.4 International Framework 605
30.5 Conservation of Heritage Buildings in India 623
30.6 Conclusion 628
30.7 References and Recommended Readings 629

30.1 Introduction
The need of conservation of buildings and areas of heritage significance was recognised
world over from very early times, though law institutionalised this around one and a half
centuries back in Europe.

The majority of India’s architectural heritage and sites are unprotected. They constitute
a unique civilisation legacy, as valuable as the monuments legally protected by various
governmental and non-governmental agencies. Urbanisation many a times aids in slow
and steady erosion. Many unprotected heritage sites are still present, and the manner in
which they continue to be kept in use represents the ‘living’ heritage of India.

This heritage is manifest in both tangible and intangible forms. The buildings and sites,
which constitute it, are subject to demolition or unsympathetic interventions. The
knowledge of traditional building skills with which it is associated is also in danger of
being lost in the absence of patronage and official recognition. Conserving the ‘living’
heritage, therefore, offers the potential to conserve both traditional buildings and
traditional ways of building.

This ‘living’ heritage also has symbiotic relationships with the natural environments
within which it originally evolved. Understanding this interdependent ecological network
and conserving it can make a significant contribution to improving the quality of the
environment.
596 Urban Legal and Policy Frameworks

What is Cultural Heritage?- UNESCO defines cultural heritage under several main
categories:
A) Tangible Heritage
♦ Immovable (e.g., traditional buildings, historic city centers and archaeological
sites);
♦ Movable (e.g., paintings, sculpture, coins and manuscripts);
♦ Underwater (e.g., shipwrecks and ancient cities);
B) Intangible Heritage (e.g., oral traditions, performing arts, rituals, knowledge and
skills); and
C) Natural Heritage (e.g., natural sites with cultural aspects such as cultural landscapes
and physical, biological, or geological formations).
An architectural heritage (including heritage buildings and properties) constitute the
‘tangible heritage’, specifically the immovable tangible heritage. Conserving the
unprotected architectural heritage and sites ensures the survival of the country’s sense
of place and its very character in a globalising environment. It offers the opportunity
not only to conserve the past, but also to define the future. It provides alternate avenues
for employment and a parallel market for local building materials and technologies,
which needs to be taken into account when resources for development are severely
constrained.
Proponents of heritage conservation emphasize its cultural, aesthetic, educational,
environmental, social and historical benefits. However, many still regard urban
conservation, especially of the urban architectural heritage as a non important factor in
economic growths - the development of economic benefits such as jobs, household
income, and business profits, are more important. This view is particularly strong in
developing countries, where economic growth has priority over heritage values.
Some are optimistic that along with conservation, the reason being, the economy will
also grow due to the increase in heritage tourism that in the end brings jobs and businesses.
This, however, may lead to the traditional residences and businesses being sold and
converted to boutique hotels, souvenir shops, trendy pubs and restaurants, catering to
the tourist trade as well as the displacing of local residents who will hence not be able
to participate in and benefit from this development, while the old trades, communities,
traditions and life styles may be destroyed by this gentrification process.

Box 1: Importance of Heritage Buildings Why is it important to conserve

heritage buildings?
The objective of conservation is to maintain the significance of the architectural
heritage or site. Significance is constituted in both the tangible and intangible forms.
The tangible heritage includes historic buildings of all periods, their setting in the
historic precincts of cities and their relationship to the natural environment. It also
Contd...
Infrastructure and Resource Management 597

includes culturally significant modern buildings and towns. The intangible heritage
includes the extant culture of traditional building skills and knowledge, rites and
rituals, social life and lifestyles of the inhabitants, which together with the tangible
heritage constitutes the ‘living’ heritage. Both tangible and intangible heritage,
and especially the link between them, should be conserved.
Conservation of architectural heritage and sites must retain meaning for the society
in which it exists. This meaning may change over time, but taking it into consideration
ensures that conservation will, at all times, have a contemporary logic underpinning
its practice. This necessitates viewing conservation as a multi-disciplinary activity.
Where the evidence of the tangible or intangible architectural heritage exists in
fragments, it is necessary to conserve it, even in part, as representative of a historic
past. Such conservation must ideally be undertaken in-situ, but if this is not possible,
then it should be relocated to a place where it would be safe for continued
contemplation.
Conservation in India is heir not only to Western conservation theories and principles
introduced through colonialism and, later, by the adoption of guidelines formulated
by UNESCO, ICOMOS and international funding agencies, but also to pre-existing,
indigenous knowledge systems and skills of building. These indigenous practices
vary regionally and cannot be considered as a single system operating all over India.
This necessitates viewing conservation practices as a multi-cultural activity.
While the Western ideology of conservation advocates minimal intervention, India’s
indigenous traditions idealise the opposite. Western ideology underpins official and
legal conservation practice in India and is appropriate for conserving protected
monuments. However, conserving unprotected architectural heritage offers the
opportunity to use indigenous practices. This does not imply a hierarchy of either
practice or site, but provides a rationale for encouraging indigenous practices and
thus keeping them alive. Before undertaking conservation, therefore, it is necessary
to identify where one system should be applied and where the other. For this purpose,
it is necessary at the outset to make a comprehensive inventory of extant heritage,
both tangible and intangible, and separate it into two categories:
i) Buildings and sites protected by ASI, SDA and other government or non-government
agencies. Only the official and legal instruments of conservation and
internationally accepted principles should be adopted here;
ii) Other listed buildings and sites which, though not protected by ASI, SDA and
other government or non-government agencies, possessing heritage value or
significance equivalent to that of protected monuments. Here too, the official
and legal instruments should be adopted for their conservation.
The remaining listed buildings and sites both modern and historic, including those
produced within the last hundred years. Here, the conservation strategy may adopt
Contd...
598 Urban Legal and Policy Frameworks

either the official and legal instruments of conservation or those rooted in indigenous
building traditions. Hybrid strategies, inventively combining indigenous and official
practices, can also be employed to conserve this heritage category. The decision to
adopt indigenous practices should be based on the availability of skilled and
knowledgeable raj mistris. In all cases a rationale for the decision taken to adopt
one or another system of conservation must be recorded.

The overarching objective for undertaking conservation of unprotected architectural

heritage and sites is to establish the efficacy of conservation as a development goal.
What to conserve will, therefore, be determined by those strategies of conservation,
which accommodate the imperatives of development and the welfare of the
community while seeking economically to achieve maximum protection of the
significant values of the architectural heritage and site.

30.2 Meaning and Definition of Heritage Buildings

A Heritage building means a building possessing architectural, aesthetic, historic or
cultural values which is declared as heritage building by the Planning Authority/Heritage
conservation committee or any other Competent Authority in whose jurisdiction such
building is situated. It is a building with architectural significance and traditional values
are considered for their preservation and conservation. These buildings/structures/
monuments play an important side in the history of the Region as well as the State in
general which requires proper maintenance. Some buildings/structures are in endangered
condition; some requires strengthening, while mere maintenance is sufficient for some
buildings/ structures.

Some other important definitions -

♦ Heritage precinct - “Heritage precinct” means an area comprising heritage building
or buildings and precincts thereof or related places that share wholly or partly
certain common physical, social, cultural significance worth preservation and
conservation.
♦ Conservation - “Conservation” of heritage buildings, structures, areas and precincts
of historic or aesthetic, architectural or cultural or environmental significance
involves maintenance, preservation, restoration of reconstruction based on
requirements.
♦ Preservation - “Preservation” is a process involved in the maintenance necessary in
order to maintain the building precinct or artifact in its present state and to prevent
and to retard deterioration.
♦ Restoration - “Restoration” is the means necessary to return the fabric to its known
earlier state, by means of the removal of accretion or resembling existing components
or by the sensitive introduction of compatible materials. For this purpose, an inventory
of such buildings upon which the heritage status has been conferred is to be
undertaken.
Infrastructure and Resource Management 599

‘Heritage buildings’ and ‘Built Heritage’ -

When we speak of conservation of tangible heritage, we come across two different and
confusing terminologies namely, ‘heritage buildings’ and ‘built heritage’.
As we have already seen, any building depicting characteristics of historic, socio-cultural
value, striking architectural or artistic significance in respect of style, design, use of
construction material etc. However, the next question that arises is that what is the
criteria for selection of a heritage building.
Building with architectural significance and traditional values are considered for their
preservation and conservation. Some buildings/structures are in endangered condition;
some requires strengthening, while mere maintenance is sufficient for some buildings/
structures. For this purpose, an inventory of such buildings upon which the heritage
status has been conferred ought to be undertaken.
Built heritage, on the other hand, is deemed to mean those buildings, artifacts, structures,
areas and precincts that are of historic, aesthetic, architectural or cultural significance
and should include natural features within such areas or precincts of environmental
significance or scenic beauty such as sacred groves, hills, hillocks, water bodies (and the
areas adjoining the same), open areas, wooded areas, etc. It must be recognised that
the ‘cultural landscape’ around a heritage site is critical for the interpretation of the
site and its built heritage and thus is very much its integral part.
The conservation of built heritage is generally perceived to be in the long term interest
of society. This can be better understood if categorised under ‘economic’, ‘cultural’,
and ‘environmental’, although they are not mutually exclusive and, indeed, they are
often interlocked.
Let us now examine some advantages of conserving built heritage -
1) Using our Building Stock - Most buildings are capable of beneficial use, whether for
their original purpose or for some other use. Buildings and their precincts need to
be used in order to survive and such use can be made into an economically viable
enterprise.
2) Stability and Continuity - In a rapidly changing modern world of relatively short life
of buildings, the perception, of stability and continuity can create a climate of
confidence which can have economically beneficial results.
3) Economic Regeneration - The use of conservation as an engine of economic generation
is very significant.
4) Value of Good Environment - Interesting buildings in good condition are often
fundamental components of a good, environment that can act both as an indicator
of economic health and as a stimulus to economic activity.
5) Employment and Training - The maintenance and repair of traditional buildings
generates a steady flow of good quality skilled employment and support training for
the construction industry.
600 Urban Legal and Policy Frameworks

6) Education - As one of the most obvious symbols of national and local culture, historic
buildings and areas can have considerable educational value to teachers, tourists
and the general populace.
7) Tourism - Tourism is fast becoming one of the country’s major industries and historic
buildings and areas, are one of the most important raw materials of that industry.
8) Cultural and Historical Value - An understanding of contemporary society as a basis
for considering the future depends to an extent upon our appreciation of the past
and historic buildings. Archaeology can provide the primary source material for
this.
9) Aesthetic - Buildings have usually been intended to look well, in addition to being
soundly constructed and fit for their purpose, many were erected with serious
artistic intent. Others may exhibit more informal qualities of richness, maturity, or
picturesqueness.
10) Environmental Significance and Sense of Belonging - In a world of increasingly
ubiquitous new buildings, where a redeveloped town center looks very much like
another, historic buildings by their layout, form and materials can often give an
important sense of place and identity that would otherwise be lacking.
11) Landmarks - Often, historic areas are punctuated with landmark buildings, such as
churches, temples, mosques or town halls that provide focal or reference points in
the local built landscape. They also function as a major social hub in a city, town or
village.
12) Human scale - The local environment is the immediate setting for the lives of
people who reside or work there and often historic areas have a human scale that
may not be found in areas that have been comprehensively redeveloped around
modern means of locomotion such as motorised transport or according to the notions
of modern town planners and property developers.
13) Townscape - Historic areas, built with local materials display mature townscape
qualities that have evolved over a long period and which are not always easy to
achieve in the comprehensive redevelopment of today.

What is an Ancient Monument? - According to Section 2(a) of The Ancient Monument and
Archaeological Sites and Remains Act, 1958, the meaning of expression “ancient
monument” includes any structure, erection or monument, or any tumulus or place of
interment, or any cave, rock-sculpture, inscription or monolith, which is of historical,
archaeological or artistic interest and which has been in existence for not less than one
hundred years.
Furthermore, it includes
i) The remains of an ancient monument,
ii) The site of an ancient monument,
Infrastructure and Resource Management 601

iii) Such portion of land adjoining the site of an ancient monument as may be required
for fencing or covering in or otherwise preserving such monument, and
iv) The means of access to, and convenient inspection of, and ancient monument.
This concept of heritage or legacy, which we have acquired, comprises of the monuments,
location, people and their cultural aspect within its growing ambit. From grand national
monuments to humble buildings that form the fabric of Indian settlements, the cultural
property of the country constitutes a priceless resource for local, national and
international communities alike. The architectural and artistic legacies bear witness to
the complex history of innovation and cross-cultural exchange that dates back to the
earliest period of human civilisation, and continue to shape local identities to this day.
These sites and artefacts are the touchstone of our collective cultural memory, and the
foundation upon which communities can build their future.

30.3 Heritage Conservation and Urban Design

Cultural endowments such as traditional architecture, unique streetscapes, and historic
sites are increasingly recognised as important economic resources in both developed
and developing countries. Cities are often an important focal point for development
based on these resources because they provide concentrations of heritage assets,
infrastructure services, private sector activity and human resources. Improving the
conservation and management of urban heritage is not only important for preserving its
historic significance, but also for its potential to increase income-earning opportunities,
city liability, and competitiveness.

Urban areas house most of the man-made structures created over centuries. While some
have turned to dust with the ravages of time, many heritage structures survive and are
worthy of protection intelligent conservation and preservation. In most growing cities,
heritage structures, both built and natural are under serious threat. Building activity,
construction of roads and flyovers, pressures for increasing infrastructure and general
apathy towards our heritage has led to neglect, damage and destruction of many
structures possessing architectural, historical, social and artistic qualities.

Historic cities, buildings and sites are central to creating and reflecting national and
individual identities, constituting a physical continuity with the past. Furthermore, it is
increasingly recognised that issues of cultural identity are of profound social significance
in a rapidly changing world. Culture is intrinsic to development, making economic and
social gains sustainable. Considerations of conservation in development should, thus be
seen not only in the light of preserving the built and natural environment, but also the
fundamental elements of the social environment equally.

The earliest known efforts to preserve architectural objects in the modern world of
cultural value date from the 15th and 16th centuries, when some of the Catholic Popes
in Europe exerted their influence and financial power to protect Roman ruins. It was not
until the 18th century however that more organised forms of architectural protection
602 Urban Legal and Policy Frameworks

occurred in Europe. Only the 20th century saw a more widespread and systematic
protection of the built patrimony worldwide.
Although each generation has an obligation to preserve and transmit the cultural and
historic legacy it has inherited, it is not uncommon to witness the destruction of historical
or cultural amenities. Cities around the world are facing a similar dilemma: how to
develop without destroying the architectural and urban legacy? Many cities have paid a
high price for modernisation and development in the name of progress. Escalating land
prices and speculation in historic centers make land too dear for low-rise structures
leading to irreversible heritage losses.
Heritage based urban development is a young field of research and practice. The
conventional approaches to conservation1 have in the recent past been the subject of
discussion and research at various forums. On the other hand, Indian urban planning
methods developed in the 1960s, do not give due consideration to the rich urban heritage
of India. The National Urban Renewal Mission (JNNURM), a programme to implement
decentralisation and support urban development, has recently acknowledged the
importance of urban heritage. It is now, as a first effort, requesting the cities to integrate
heritage studies and planning in the City Development Plan. Another step to protect
urban heritage has been taken by the Ministry of Culture and Ministry of Urban
Development in the joint development of Model Byelaws for the protection of heritage
buildings and heritage areas.

Box 2: Conventional Approaches to Conservation of Heritage Buildings

Built and natural environments are ultimately and collectively tangible records of
history and as “heritage” belong to time. Conservation, in its broadest sense, is
concerned with the assessment of these environments in order to make it relevant
for the present and ensure its survival in the future. At present, different legislative
bodies are involved in promoting the conservation of the built and natural
environments with minimal consideration of the interconnections between the
two areas of conservation. A critical discussion regarding confluence of built and
natural heritage in promoting the notion of “cultural landscape” is essential to
further and more comprehensively develop the field of conservation.

Cultural landscapes can encompass vast and diverse areas, which are usually
administered by different territorial and specialised authorities (e.g. the Ministries
of Culture, Housing, Urban Planning, Tourism, Environment, Agriculture, Water
Resources etc.). Therefore, the different national and local authorities responsible
for zoning, infrastructure development, environmental and architectural
conservation must establish effective co-ordination and define appropriate
management tools to authentically preserve features of cultural landscapes.
Integrity of the relationship between natural and built (cultural) environments is
essential for sustainable conservation, making it a shared responsibility.
Contd...
1
See Box 2
Infrastructure and Resource Management 603

In recent decades, most practitioners and professional networks of conventional

approaches to heritage conservation have limited their foci to only one or two of
the following scales:
♦ interior building and building;
♦ building and site;
♦ site and neighbourhood;
♦ landscape and metropolitan region
The “conventional” or “traditional” approaches to conservation focus on the sectoral
and regional concepts of realisation. However, the dynamic and new approaches
focus on a process- and actor-oriented, interdisciplinary approach, in which
subsequently and step-wise first the key drivers of urban change, second the major
problem of urban social coherence and third the question of how to activate and
strengthen urban civil society should be addressed.

Today, with increasingly complex and daunting environmental change, more holistic
approaches to responding to conservation needs require thinking and operating at
these four scales or more. Several disciplines must take part in giving a new lease
of life to historic buildings and sites. Archaeologists excavate layers of history to
piece together and reconstruct the social and cultural life of a past civilisation.

Architects investigate the relevance of these artifacts to the diverse stakeholders

in the present and develop a comprehensive conservation plan. Conservationists
document, interpret and pursue a course of action to preserve, restore, or conserve
the physical aspects of significant monuments. Curators ensure the appropriate
restoration and public display of artworks associated with these monuments.
Conservation of cultural heritage thus pursued can promote sustainable survival of
the built and natural environments.

For the architectural community to engage meaningfully in heritage conservation,

responsibilities and opportunities revolving around this activity needs to be recalled,
analysed, and articulated. To address such issues, architectural practitioners,
educators, and researchers and their counterparts in the environmental design
fields must be engage together in a holistic restoration and study of heritage
notion, design realm, conservation context, and education and information.

In the context of increasing globalisation, worldwide processes of urbanisation are of

growing importance for research, teaching and capacity enhancement, particularly in
regard to development policy and economic cooperation. While international
development cooperation until today has focused and still focuses mainly on rural
developments, the necessity for closer examination of the challenges and problems of
urban and peri-urban regions is becoming more and more apparent. Cities offer substantial
socio-economic potential for sustainable development, but are also places with
considerable ecological and socio-economic challenges and subject to increasing socio-
604 Urban Legal and Policy Frameworks

economic vulnerability as well as socio-spatial and institutional fragmentation,

segregation and disparities. The close proximity of a great variety of local life worlds
and lifestyles in urban areas as well as different ethnic and social groups, may disintegrate
and destabilise urban societies.

Conservation vs Development - A conflict between the preservation of the character of

existing historic towns and “change” has formed the central argument for conservation.
More recently, heritage has superseded conservation, where marketing of heritage as a
product according to the demands of the consumer, mainly tourists, has resulted in the
commercialisation of heritage over conservation values. Today, the symbiosis of both
tourism and heritage places has become a major objective in the management and
planning of historic areas.

There exist various arguments pertaining to the current conflicts among the ideas of
conservation, heritage, and tourism and argues for a sustainable approach to the
management and planning of heritage places based on a community and culture-led
agenda.
Some basic arguments for pro-conservation are as follows:
1) Tourism
2) Livelihood
3) Preservation of Traditional Wisdom and Cultural Knowledge
Despite the various pros of conserving our heritage, there is no dearth of arguments that
are against heritage conservation either. These obstacles in the path to conservation of
built heritage are as follows:
1) Pressure to direct funds for infrastructure development
2) Lack of time or compassion for conservation efforts
3) Lack of skill/expertise and dearth of professionals in the area
4) Public apathy
Upon the analysis of the actual state of conservational efforts as well as all the
administrative aspects of heritage conservation, especially in India, we can historical
landscapes were threatened by a number of factors, including poverty and economic
growth. Misinformed public policies and market forces were culprits as well.
there are however some grey areas with respect to conservation that affect the efforts.
However, with proper channelizing, such areas could be manipulated to gain high and
desired conservational effects. One such area is the ‘Private ownership of some heritage
buildings/properties’, either fully or partially (e.g., many buildings have been now
converted to heritage hotels).
Although they will vary in age and style from country to country, all countries possess
buildings which are regarded as being integral parts of their heritage, worthy of protection
and conservation. However, their continued existence cannot be taken for granted –
Infrastructure and Resource Management 605

many of them are in private ownership and they are constantly under threat from
demolition by neglect to demolition to make way for new development. It is, however,
generally thought to be a ‘good thing’ to try to devise some means by which heritage
buildings can be conserved. A prime method by which this is done is through funding
measures from government – offering some form of financial support or concession to
the owners of these buildings.

These mechanisms for the conservation of the architectural heritage can be regarded as
being either direct or indirect tools of government action. A direct incentive, such as
grant of aid, involves a government body directly transferring money to private owners
to finance (or part finance) a conservation activity. An indirect incentive, such as a tax
incentive, does not involve a direct transfer of money and no state expenditure is
recorded.

30.4 International Framework

For examining the international framework for heritage buildings protection, it is
important to analyse the conventions and agreements that are relevant to the protection
and conservation of art and cultural heritage and to which India is a signatory. Attention
must be invited to Article 253 of the Constitution of India, which enables Parliament to
legislate for the implementation of any treaty agreement or convention with any other
country or countries, or any decision, made at any international conference, association
or other body. Any such legislation can be enacted even if the subject matter of the
legislation is an item in the State List of the Constitution of India. The Environment
(Protection) Act, 1986 was enacted by Parliament to implement the decision (declaration)
made at the Conference on the Human Environment convened by the United Nations at
Stockholm in 1972.

With respect to the international efforts to conservation, UNESCO has played an active
role focusing international attention on the stewardship and preservation of monuments
and cultural property. This is now a rapidly evolving area of international law. The
major international treaties include the 1954 Hague Convention for the Protection of
Cultural Property in the Event of Armed Conflict, the 1970 UNESCO Convention on
prohibiting the trade in illicitly-obtained cultural property, and the 1995 UNIDROIT
Convention on the repatriation of Cultural objects.

However, the question remains as whether these laws, regulations, rules and international
treatises to conserve the monuments are dead-letter law. Is the Government or the
international community putting their best efforts into the enforcement of laws already
enacted? But before that, are these laws and statutes, comprehensive enough to provide
adequate conservation of monuments? These are the main questions that require to be
addressed on an urgent basis.

UNESCO, the United Nations Education, Science and Culture Organisation, adopted in
1972 the World Heritage Convention in order to protect unique natural or cultural
monuments and sites worldwide today, the World Heritage List comprises of 936 properties
606 Urban Legal and Policy Frameworks

forming part of the cultural and natural heritage which the World Heritage Committee
considers as having outstanding universal value. These include 725 cultural,183 natural
and 28 mixed properties in 153 States Parties. As of November 2011(as of 32 jan 2017),
(193 state parties)188 States Parties have ratified the World Heritage Convention2.

UNESCO has a unique responsibility as the sole United Nations agency with the mandate
for promoting the stewardship of the world’s cultural resources at all levels. The
responsibility for safeguarding the world’s cultural properties begins at the highest legal
and international governmental levels and descends through practical and technical
levels down to grass-roots advocacy and hands-on fieldwork. UNESCO’s activities in the
safeguarding of cultural properties revolve around three axes: Prevention, Management
and Intervention. UNESCO oversees a number of international conventions and treaties
that assist countries in safeguarding their cultural heritage. Three key conventions have
been formulated and adopted in this field:
♦ The Hague Convention: The 1954 Convention for the Protection of Cultural Property
in the Event of Armed Conflict is known as the Hague Convention. This convention
came out of the experience of two World Wars. It has been adopted together with
its Protocol concerning the return of cultural property illegally exported during an
armed conflict. It recognises the principle that the cultural heritage of any people
is the cultural heritage of all. It declares that the deliberate targeting and destruction
of non-military cultural heritage is a war crime. It laid the foundations for UNESCO’s
efforts to preserve and protect threatened sites in war zones.3
♦ The 1970 Convention on the Means of Prohibiting and Preventing the Illicit Import,
Export and Transfer of Ownership of Cultural Property: This was the first UNESCO
convention to deal with the problem of illegal export of cultural property and its
return to source states. It alerts all states to the importance of their own cultural
heritage and its protection from neglect, war, or threats from development. It also
obligates signatories to take appropriate steps to return objects that could be shown
by inventories to have come illegally from another state’s museums or other
institutions. The 1970 convention, though weak and only sporadically invoked, has
provided the foundation for all subsequent activity in the field of cultural property
law and the ethics of collecting.
♦ The World Heritage Convention: The 1972 Convention Concerning the Protection of
the World Cultural and Natural Heritage, is known as the World Heritage Convention.
This Convention set up the UNESCO’s World Heritage List. Individual states nominate
sites of worldwide cultural significance in their own territories to be added to the
List for consideration by the Committee at annual meetings. Sites protected tend to
be famous monuments, archaeological sites of disappeared indigenous populations,
and unique natural preserves or habitats. The Committee tries to publicise the
2
UNESCO, State Parties Ratification Status, World Heritage Centre available at https://whc.unesco.org/
en/statesparties/
3
Cleere, Henry, Archaeological Heritage Management in the Modern World,(London: Unwin publish- ers,
1989) at pp.28-33.
Infrastructure and Resource Management 607

sites, watch them carefully, and alert the world to any that may be threatened by
war, neglect, or development.4 The 1972 treaty has initiated the process of recognising
world heritage sites, categorised either as a cultural item (manmade), or as a
natural item (created by nature).
♦ UNIDROIT Convention on Stolen or Illegally Exported Cultural Objects (1995): UNESCO
commissioned the International Commission Institute for the Unification of Private
Law (UNIDROIT) to help prepare stronger rules and means than were envisioned in
the 1970 Convention. It covers cases of theft, dispossession, ownership and
repatriation across national borders involving private citizens in an attempt to
get to the heart of the smuggling problem. It requires the return of cultural property
to the Source State.5
The Hague Convention and the 1970 Convention address the growing illicit trade in
cultural artefacts. These conventions state:
a) Natural and the cultural heritage are being increasingly threatened by traditional
causes of decay as well as by the changing social conditions that have aggravated
the problem.
b) The states must assist each other in the task of conservation and preservation as
well, but with the permission of the state so concerned.
c) The heritage sites are of boundless interest and knowledge and all the efforts must
go into the protection of such an irreplaceable property.
d) Destruction of heritage is nothing but leading towards impoverishment, a condition
that effects all the nations, and
e) UNESCO can assist the states in conserving the monuments and heritage sites, if the
states think that there is some kind of limitation pertaining to that matter.
In course of drafting the 1954 Hague Convention and the 1970 convention it was observed
that the international community was increasingly acknowledging the practice of removing
objects of significant importance to a culture’s history and identity from their place of
origin as unethical. Moreover, in 1978, the UNESCO Intergovernmental Committee for
Promoting the Return of Cultural Property to its Countries of Origin or its Restitution in
case of Illicit Appropriation was set up. Its role is to act as an international forum for
negotiation, discussion and awareness raising in cases where the legal framework,
provided by the 1970 Convention, does not apply.
The UNESCO also assists national authorities in developing multidisciplinary plans of
action, and implementing projects through the following measures6:
♦ Identification, inventory, documentation, technical analysis and conservation.
♦ Site management, protection from trauma: both natural and man-made
4
UNESCO, World Heritage Committee, World Heritage Centre, https://whc.unesco.org/en/committee/
5
O’Keefe, P.J, Law and Cultural Heritage.( London: Butterworth publications, 1998)p.17-18.
6
UNESCO, Intergovernmental Council of the Management of Social Transformations (MOST) Program,
unesdoc https://unesdoc.unesco.org/ark:/48223/pf0000247282
608 Urban Legal and Policy Frameworks

♦ Risk preparedness and Rehabilitation.

UNESCO seeks to encourage the identification, protection and preservation of cultural
and natural heritage around the world considered to be of outstanding value to humanity.
This is embodied in an international treaty called the Convention concerning the
Protection of the World Cultural and Natural Heritage, adopted by UNESCO in 1972.

UNESCO’s World Heritage mission is to:

♦ Encourage countries to sign the World Heritage Convention and to ensure the
protection of their natural and cultural heritage;
♦ Encourage States Parties to the Convention to nominate sites within their national
territory for inclusion on the World Heritage List;
♦ Encourage States Parties to establish management plans and set up reporting systems
on the state of conservation of their World Heritage sites;
♦ Help States Parties safeguard World Heritage properties by providing technical
assistance and professional training;
♦ Provide emergency assistance for World Heritage sites in immediate danger;
♦ Support States Parties’ public awareness-building activities for World Heritage
conservation;
♦ Encourage participation of the local population in the preservation of their cultural
and natural heritage;
♦ Encourage international cooperation in the conservation of our world’s cultural and
natural heritage.
Therefore, what the UNESCO seeks is to change the attitude of national and international
communities towards the cultural heritage issue, making it a matter of concern to the
general public, to strengthen national legislation and institutional capacity, to promote
the involvement of all stakeholders, particularly local communities who can bring
traditional knowledge to bear on the problems at hand.

Box 3: Criteria of selection of sites for World Heritage Sites List

Criteria for selection - To be included on the World Heritage List, sites must be of
outstanding universal value and meet at least one out of ten selection criteria.
These criteria are explained in the Operational Guidelines for the Implementation
of the World Heritage Convention which, besides the text of the Convention, is the
main working tool on World Heritage. The criteria are regularly revised by the
Committee to reflect the evolution of the World Heritage concept itself.
Until the end of 2004, World Heritage sites were selected on the basis of six cultural
and four natural criteria. With the adoption of the revised Operational Guidelines
for the Implementation of the World Heritage Convention, only one set of ten criteria
exists.
Contd...
Infrastructure and Resource Management 609

The criteria are to:

♦ represent a masterpiece of human creative genius;
♦ exhibit an important interchange of human values, over a span of time or
within a cultural area of the world, on developments in architecture or technology,
monumental arts, town-planning or landscape design;
♦ bear a unique or at least exceptional testimony to a cultural tradition or to a
civilization which is living or which has disappeared;
♦ be an outstanding example of a type of building, architectural or technological
ensemble or landscape which illustrates significant stage(s) in human history;
♦ be an outstanding example of a traditional human settlement, land-use, or sea-
use which is representative of a culture (or cultures), or human interaction with
the environment especially when it has become vulnerable under the impact of
irreversible change;
♦ be directly or tangibly associated with events or living traditions, with ideas,
or with beliefs, with artistic and literary works of outstanding universal
significance. (The Committee considers that this criterion should preferably be
used in conjunction with other criteria);
♦ contain superlative natural phenomena or areas of exceptional natural beauty
and aesthetic importance;
♦ be outstanding examples representing major stages of earth’s history, including
the record of life, significant on-going geological processes in the development
of landforms, or significant geomorphic or physiographic features;
♦ be outstanding examples representing significant on-going ecological and
biological processes in the evolution and development of terrestrial, fresh water,
coastal and marine ecosystems and communities of plants and animals;
♦ contain the most important and significant natural habitats for in-situ
conservation of biological diversity, including those containing threatened species
of outstanding universal value from the point of view of science or conservation.
The first six points are criteria for selection for cultural sites. The other four are
criteria for natural sites.
There are application forms that must be filled correctly and thoroughly and then
there are operational guidelines for the implementation of the World Heritage
Convention. These documents are usually very lengthy and detailed. The latest
version of the operational guideline is 173 pages long.
Likewise, there is a strict format that must be used for filling any application for
additional sites to be listed by UNESCO. This format is also over 60 pages long, and
would be serious and professional effort, to fill out and provide enough details to
pass the review process of UNESCO. For example, even the geographic location of
Contd...
610 Urban Legal and Policy Frameworks

the site needs to be declared with very detailed boundary maps supported by accurate
latitude and longitude markings giving degree minute and seconds for each of the
corners as well as the calculated area in hectares etc. It must also provide
documentation describing which state party is in control of the land on which the
site exists etc. The details of just this part would take up more than two pages.
The description of the property can take up several pages, keeping in mind which
of the ten selection criteria is to be fulfilled.
Then the state parties have to undertake the responsibility of things such as:
♦ ensure the identification, nomination, protection, conservation, presentation
and transmission to future generations of the cultural and natural heritage found
within their territory, and give help in these tasks to other States Parties that
request it;
♦ adopt general policies to give the heritage a function in the life of the community;
♦ integrate heritage protection into comprehensive planning programmes;
♦ establish services for the protection, conservation and presentation of the
heritage;
♦ develop scientific and technical studies to identify actions that would counteract
the dangers that threaten the heritage;
♦ take appropriate legal, scientific, technical, administrative and financial
measures to protect the heritage;
♦ foster the establishment or development of national or regional centers for
training in the protection, conservation and presentation of the heritage and
encourage scientific research in these fields, etc .
The application must describe the present state of conservation, factors that affect
the site, details of development and urbanisation pressures such as encroachment,
adaptation, industrialisation, mining activity, agriculture etc., along with
environmental issues such as deforestation or climate change, visitor/tourism
pressures, number of inhabitants within the site and around the buffer zone.
With regard to the protection of the property, the applicant must provide a clear
picture of the legislative, regulatory, contractual, planning, institutional and/or
traditional measures and the management plan or other management system that
is in place to protect and manage the property.
The applicant must clearly define the ownership of the land - the major categories
of land ownership (including State, private, treaty, trustee, other ownership, etc.).
The applicant must list the relevant legal, regulatory, contractual, planning,
institutional and/ or traditional status of the property: For example, national or
provincial law or custom; or other designation, as well as describe how these
authorities are now providing protection of the land. There also needs to be a
description of protective plans so far adopted from the municipal level onwards.
Contd...
Infrastructure and Resource Management 611

The application needs to have attachments, or annexes, giving detailed plans for
the property, as well as declare the source from where the required funding must
come, for the implementation of these plans. The application must also provide
documented evidence of its sources of expertise in handling this project.
A recognised world heritage site is expected to generated additional tourism and
visitors. There needs to be a plan for handling this additional visiting crowd - with
interpretation (for foreign language speakers), explanations, demarcated walking
trails for them to see the site etc.
It should however be noted that there have been items that a satisfied the criteria,
and later failed to live up to it, and have been de-listed.

The UNESCO’s World Heritage Sites List already includes a number of sites from India.
Cultural Sites from India already listed are as follows7:

1) Agra Fort

2) Ajanta Caves

7
All images from ASI and UNESCO websites.
612 Urban Legal and Policy Frameworks

3) Ellora Caves

4) Taj Mahal

5) Group of Monuments at Mahabalipuram

Infrastructure and Resource Management 613

6) Sun Temple, Konârak

7) Manas Wildlife Sanctuary

8) Kaziranga National Park

614 Urban Legal and Policy Frameworks

9) Keoladeo National Park

10) Churches and Convents of Goa

11) Fatehpur Sikri

Infrastructure and Resource Management 615

12) Group of Monuments at Hampi

13) Khajuraho Group of Monuments

14) Elephant Caves

616 Urban Legal and Policy Frameworks

15) Great Living Chola Temples

16) Group of Monuments at Pattadakal

17) Sundarbans National Park

Infrastructure and Resource Management 617

18) Nanda Devi and Valley of Flowers National Parks

19) Buddhist Monuments at Sanchi

20) Humayun’s Tomb, Delhi

618 Urban Legal and Policy Frameworks

21) Qutub Minar and its Monuments, Delhi

22) Mountain Railways of India

23) Mahabodhi Temple Complex at Bodh Gaya

Infrastructure and Resource Management 619

24) Rock Shelters of Bhimbetka

25) Champaner-Pavagadh Archaeological Park

26) Chhatrapati Shivaji Terminus (formerly Victoria Terminus)

620 Urban Legal and Policy Frameworks

27) Red Fort Complex

28) Jantar Mantar, Jaipur

The list includes:

29) Western Ghats
30) Hill Forts of Rajasthan
31) Rani ki vav
Infrastructure and Resource Management 621

32) Great Himalayan National Park

33) Archaeological Site of Nalanda Mahavihara at Nalanda, Bihar
34) Khangchendzonga National Park
35) The Architectural Work Of Le Corbusier
36) Historic City of Ahmedabad
37) The Victorian and Art Deco Ensemble of Mumbai
38) Jaipur
Apart from the 38 sites inscribed on the World Heritage list, India has also maintained a
list of tentative sites for recognition which has been submitted to UNESCO Committee
for evaluation and acceptance. This procedure of prelisting is a prerequisite for the
nominations for the World Heritage list to be accepted.
1) Temples at Bishnupur, West Bengal is famous for its terracotta temples and the
balucheri sarees. (1998)
2) Mattancherry Palace, Kochi, Kerala, India features Kerala murals depicting Hindu
temple art, portraits and exhibits of the rajas of Kochi. (1998)
3) Mandu, Madhya Pradesh Group of Monuments are in the fortress town on a rocky
outcrop about 100 km (62 mi) from Indore, and are celebrated for their fine
architecture.(1998)
4) Ancient Buddhist Site in Sarnath, Varanasi, Uttar Pradesh where Gautama Buddha
first taught the Dharma, and where the Buddhist Sangha came into existence through
the enlightenment of Kondanna. (1998)
5) Sri Harimandir Sahib (The “Golden Temple”) is the holiest shrine in Sikhism. (2004)
6) River Island of Majuli in midstream of the Brahmaputra River in Assam, is the largest
river island in the world. (2004)
7) Namdapha National Park is the largest protected area in the Eastern Himalaya
biodiversity hotspot. It is located in Arunachal Pradesh in Northeast India. (2006)
8) The Wild Ass Sanctuary is the largest wildlife sanctuary in India. It is known for the
endangered wild ass subspecies of Indian wild ass in Little Rann of Kutch. (2008)
9) Bhitarkanika Conservation Area is a mangrove wetland in Odisha is home to the
largest salt water crocodiles in the world. (2009)
10) Neora Valley National Park is one of the richest biological zones in the entire Northeast
situated in the Kalimpong subdivision under Darjeeling District in West Bengal.
(2009)
11) Desert National Park is an example of the ecosystem of the Thar Desert. (2009)
12) Mughal Gardens in Jammu and Kashmir. They are Chashma Shahi, Shalimar Bagh,
Pari Mahal, Verinag Garden, Achabal Gardens and Nishat Bagh. (2010)
622 Urban Legal and Policy Frameworks

13) Silk Road Sites in India is part of the extensive interconnected network of trade
routes across the Asian continent connecting East, South, and Western Asia with the
Mediterranean world, as well as North and Northeast Africa and Europe. (2010)
14) Santiniketan was made famous by Nobel Laureate Rabindranath Tagore, whose
vision became the present university town Visva-Bharati University. (2010)
15) The Qutb Shahi Monuments of Hyderabad. This is a collection of the Qutb Shahi
Monuments in and around Hyderabad city. They are Golconda Fort, Qutb Shahi
Tombs, Charminar, Char Kaman and Taramati Baradari. (2011)
16) Delhi, India’s historic national Capital nominated for World Heritage City status.
(2012)
17) Apatani Cultural Landscape. (2014)
18) Archaeological remains of Lothal. (2014)
19) Bahá’í House of Worship. (2014)
20) Cellular Jail. (2014)
21) Chettinad, Village Clusters of the Tamil Merchants. (2014)
22) Chilika Lake. (2014)
23) Monuments and forts of the Deccan Sultanate. (2014)
24) Ekamra Kshetra – The Temple City. (2014)
25) Iconic Saree Weaving Clusters of India. (2014)
26) Padmanabhapuram Palace. (2014)
27) Sacred Ensembles of the Hoysala. (2014)
28) Monuments of Srirangapatna Island Town. (2014)
29) Narcondam Island. (2014)
30) The Neolithic Settlement of Burzahom. (2014)
31) Thembang Fortified Village. (2014)
32) The Glorious Kakatiya Temples and Gateways. (2014)
33) Sites of Satyagraha, India’s non-violent freedom movement. (2014)
34) Moidams – the Mound-Burial system of the Ahom Dynasty (2014)
35) Sri Ranganathaswamy Temple, Srirangam. (2014)
36) Dholavira: A Harappan City. (2014)
37) Mountain Railways of India (Extension). (2014)
38) Sites along the Uttarapath, Badshahi Sadak, Sadak-e-Azam, Grand Trunk Road. (2015)
Infrastructure and Resource Management 623

39) Evolution of Temple Architecture – Aihole-Badami-Pattadakal. (2015)

40) Cold Desert Cultural Landscape of India. (2015)
41) Keibul Lamjao Conservation Area. (2016)
42) Garo Hills. (2018)
43) Orchha. (2019)

30.5 Conservation of Heritage Buildings in India

The need to preserve Greek ruins as a cultural necessity was recognised by the early
Romans, and rules for conservation were established as early as the eighth century AD.
However, the practice was not effectively institutionalised by law in European countries
until the middle of the nineteenth century, and it is only very recently that the issue has
become one of truly international concern. In India, even though we have a very old,
and remarkably continuous civilisation, the practice of conservation was introduced by
Lord Curzon in 1902 with the consolidation of the Archaeological Survey of India (ASI). As
an issue of wider public and professional concern, however, it is still nascent.
In India, introduction of ASI in 1902 paved way for bringing their conservation through
legislation. The Constitution of India under fundamental duties mandates the citizens to
value and preserve the rich heritage of our composite culture.8 Since inception, the
Archaeological Survey of India has identified around 7000 monuments as protected in
this vast country, which is proud of its rich heritage.
In India, master plans, urban development schemes, urban renewal schemes, etc; have
been prepared under urban, regional, town planning acts, development authority acts
and municipal acts. Most of these statutes recognise ‘conservation of heritage’ as part
of such schemes.
Presently, more emphasis is being placed on this sector in physical planning and the role
of urban conservationists is getting widely recognised. Conservation of heritage was a
major concept underlying the Perspective Plan for Delhi 2001. The survey conducted by
ASI identified 1,321 monuments, sites and buildings of historic value in Delhi, out of
which 411 were within the walled city of Shajahanabad alone. One among the eight
major concepts of the Master Plan for Delhi, 2001 was to ‘Conserve the Urban Heritage
of Delhi’ by designating historic areas as ‘Controlled Conservation Areas’ for which special
plans for conservation and improvement has to be formulated. This concept also
emphasized on the importance of ‘modernisation with conservation’.
The Master Plan for Delhi, 2021 too emphasizes the need for conservation of heritage
and identifies heritage zones for detailed plan formulation. The UDPFI Guidelines prepared
by the Institute of Town Planners, India in 1996 also suggested that Heritage and
Conservation Areas including old built up and scenic value areas should be treated as
‘Special Areas’ while formulating proposals.

8
Article 51 A.
624 Urban Legal and Policy Frameworks

In Maharashtra, a Heritage Committee was constituted under the Urban and Regional
Planning legislation in order to conserve the heritage buildings and precincts in Mumbai.
This was followed up by a few other cities in India too. For example, the Hyderabad
Master Plan lays down procedures for listing and grading of heritage and general
regulations for the listed heritage buildings and precincts, which closely resembles with
the model heritage regulations advocated by the union government.
Criteria for Listing Built Heritage
In selecting a building, particular attention should be paid to the following:
♦ Association with events, activities or patterns
♦ Association with important persons
♦ Distinctive physical characteristics of design, construction or form, representing
work of a master
♦ Potential to yield important information such as illustrating social, economic history,
such as railway stations, town halls, clubs, markets, water works, etc.
♦ Technological innovations such as dams, bridges, etc.
♦ Distinct town planning features like squares, streets, avenues, e.g. Rajpath in Lutyen’s
New Delhi
One or more of these concepts need to be applicable to a building to make it worthy of
listing. Apart from these general concepts three key concepts need to be understood to
determine whether a property is worthy of listing or not.
1) Historic significance - Historic significance is the importance of a property to the
history, architecture, archaeology, engineering or culture of a community, region
or nation.
2) Historic integrity - Historic integrity is the authenticity of a property’s historic
identity, evidenced by the survival of physical characteristics that existed during
the property’s historic period.
Historic integrity enables a property to illustrate significant aspects of its past. Not
only must a property resemble the historic appearance but it must also retain
physical materials, design features and aspects of construction dating from the
period when it attained significance.
3) Historic context - Historic context is information about historic trends and properties
grouped by an important theme in the history of a community, region or nation
during a particular period of time. A knowledge of historic context enables listers to
understand a historic property as a product of its time.

A historic building complex may comprise of numerous ancillary structures besides the
main structure within the same precinct giving the complex its identity. Each such
structure contributing to the complex needs to be documented on individual proformas
but in a sequence at one place.
Infrastructure and Resource Management 625

Mere listing is of limited use unless it serves the cause of preservation and conservation
of the heritage of the area. Publication of the Listing of the area does help in raising the
level of awareness and public consciousness about what constitutes their heritage.
However, the cause of preservation and conservation of heritage can be served only by
providing statutory backing to the listing. Only the statutory backing makes it an effective
tool for conservation.

Listing of the built heritage and giving it a statutory back-up has to be in accordance
with rules/regulations/byelaws framed under the relevant state Acts that govern the
development and use of land. In most states this activity is controlled and regulated
under the state’s town and country planning legislation. Heritage Regulations can be and
should be suggested and formulated under such relevant legislation. Such Heritage
Regulations have been adopted in some states (Maharashtra, Andhra Pradesh, West Bengal,
etc).

It should, however, be noted that the responsibility to enforce the Heritage Regulations
is of the municipal authority in the urban areas (Municipal Corporation, Municipal Council
or the Municipal Panchayat or the Cantonment Board) and of the Panchayati Raj Institutions
in the rural areas (Zilla Panchayat Parishad, Janpad Panchayat and the Gram Panchayat/
Gram Sabha). In some cases the municipal authority concerned (such as the Municipal
Corporation of Delhi and the New Delhi Municipal Committee in Delhi and the Kolkata
Municipal Corporation in Kolkata) has notified the list of heritage buildings and precincts
under the relevant municipal byelaws. Students should similarly familiarise themselves
with the provisions of these regulations and ensure their implementation accordingly in
their areas.

Conservation of heritage buildings may involve a process where monuments are frozen
or mummified; at times, later additions are removed and the structure is restored to its
original/authentic state of existence. This may be necessary in certain cases but it is not
comprehensive enough to cover a wide range of built heritage that is present especially
in India. For example, age alone cannot be a criterion for valuing a building. A building
may not be hundred years old, but can still be considered important for its commemorative
importance or its architectural merit. Second, we cannot declare all heritage buildings
as monuments and afford to freeze it either. There are a host of structures whose
survival or sustenance will be meaningful and possible only through their rouse. Hence,
there is a need to have a different approach and attitude to find a place for a host of
other “living” buildings i.e., buildings that are still being inhabited. Conservation of
many buildings may involve repair, addition and reconstruction without damaging the
value of the fabric. However, much of this reconstruction could be authentic. That is,
with the traditional crafts and craftsmen still existing, many of these structures or
portions of them can be built as before. This traditional skill too has to be recognised as
part of the heritage and linked with conservation efforts. Ignoring this and misconceiving
heritage as something genuine and frozen can cause irreparable damage.
626 Urban Legal and Policy Frameworks

Constitutional Provisions
All the laws, be they Central or State, draw attainability and validity from the Constitution
of India. Some of the provisions that are significant to us in our current context are as
follows:
1) Article 49 - Article 49 of the Constitution states that “it shall be the obligation of
the State to protect every monument or place or object of artistic or historical
interest, declared by or under law made by Parliament to be of national importance,
from spoliation, disfigurement, destruction, removal, disposal or export, as the
case may be”.
2) Article 51A(F)9 – Article 51(A) of the Constitution of India describes that it as a
fundamental duty of every citizen to value and preserve the rich heritage of our
composite culture.
The role of citizens in mobilising the heritage preservation drive is very significant.
For tapping this potential of an organised citizen movement, it is suggested that the
civil societies must also identifying knowledgeable and committed resource groups
that can help in the identifying, listing and documenting of buildings and precincts
that qualify for listing. Civil societies can benefit immensely by involving such
persons in drawing up advocacy plans to create awareness about the need to protect
and conserve the listed built heritage. For instance, using the expertise of such
persons to draw up heritage trails and walks in some important heritage areas and
motivating them to volunteer their services for such activities. School teachers
could be trained to enrich class room teaching by taking their students for such
outdoor activities.
3) 73rd and the 74th Amendments to the Constitution - The 73rd and 74th Amendments
to the Indian Constitution brought in a Local Government system as the third tier of
governance with focus on economic development and social justice.
Local communities or individuals must be entrusted with responsibilities to conserve
their own heritage. Where outside expertise is necessary, local stakeholders must
be made active participants at all stages of the conservation process. All decisions
regarding the conservation and management of heritage must be taken in
consultation with local communities in consonance with the 73rd and 74th
Amendments to the Constitution of India.
4) Article 243-G and Article 243-N – The Articles deal with decentralisation of powers
to the Panchayati Raj Institutions (PRIs) in respect of the rural areas and the urban
local bodies in respect of the urban areas. Most States have either enacted fresh
legislation to give effect to these constitutional requirements or suitably amended
the existing laws to achieve the purpose. Entry No. 21 of the Eleventh Schedule of
the Constitution applicable to PRJs states “cultural activities”, and Entry No. 29 of

9
“It shall be the duty of every citizen of India to value and preserve the rich heritage of our composite
culture” - Article 51 A (F) of the Constitution of India.
Infrastructure and Resource Management 627

the same to “maintenance of community assets”. Similarly Entry No. 13 of the

Twelfth Schedule of the Constitution applicable to urban local bodies refers to
“promotion of cultural, educational and aesthetic aspects”. Entry No. 1 of the same
schedule refers to “urban planning, including town planning” and Entry No. 2 to
“regulation of land use and construction of buildings”, and Entry No. 3 to “Planning
for economic and social development”. All these provisions could be used for advocacy
and for persuading the PRIs and Urban Local Bodies to be pro-active for the protection
and conservation of their built heritage.
4) Seventh Schedule – Entry No. 67 of 7th schedule pertaining to the List I (Union List)
states ‘Ancient and historical monuments and records, and archaeological sites and
remains, declared by Parliament by law to be of national importance”. Entry No. 40
of List III (Concurrent List) of the Seventh Schedule refers to “Archaeological sites
and remains other than those declared by Parliament by law to be of national
importance”.
Entry No. 40 of the Concurrent List of the Seventh Schedule of the Constitution empowers
both the Parliament and the State Legislatures to enact laws in respect of “Archaeological
sites and remains other than those declared by Parliament by law to be of national
importance”.
Entry No. 12 of the Seventh Schedule pertaining to List II-State List states “Libraries,,
museums, and other similar institutions controlled or financed by the State, ancient and
historical monuments and records other than those declared by Parliament by law to
be of national importance”. Most States have, accordingly, enacted laws for the protection
and conservation of their cultural assets. The particular laws that are most important
for the conservation of the art and cultural heritage are the ‘laws for protection and
conservation of monuments, archaeological sites and remains’, ‘town and country
planning laws’, the laws regulating ‘land use’ and the laws prescribing the ‘duties and
responsibilities of the State agencies, particularly the Panchayati Raj Institutions (PRIs)
in the rural areas and the Urban Local Bodies in the urban areas’.
Accordingly, we have the following laws at the Central level:
♦ The Indian Treasure Trove Act, 1878.
♦ The Ancient Monuments Preservation Act, 1904.
♦ The Antiquities (Export Control) Act, 1947.
♦ The Ancient Monuments and Archaeological Sites and Remains Act, 1958.
♦ The Antiquities and Art Treasures Act, 1972.
♦ The Wildlife (Protection) Act, 1972.
♦ The Environment (Protection) Act, 1986.
♦ The Water and Air Acts.
Yet, here one could say that what is emerging in the process is, on the one hand, a
clearer definition of the concepts of conservation planning and management, and on the
628 Urban Legal and Policy Frameworks

other, an option to reassess our development ideology and model itself. Particularly in
India, it is becoming clearer that conservation instead of being a marginal technical
activity at odds with the real world as in the West, could, in fact, be central to the
definition of our identity.

Over five hundred centrally-protected monuments for structural conservation, chemical

preservation and development have been identified by ASI under the tenth five-year
Plan. The primary interest of this institution was antiquity and authenticity. Even after
independence, this colonial legacy continues. As a result, about 5000 monuments alone
have been declared as heritage sites. Another equal number of monuments has been
identified by various other state departments of archaeology. The Ancient Monuments
and Archaeological Sites and Remains Act of 1958, declares buildings that are 100 years
old and above as monuments and provides for their protection. Monuments are frozen
or mummified; at times, later additions are removed and the structure is restored to its
original/authentic state of existence.

30.6 Conclusion
While modernisation is current demand, traditional culture is not dead and gone. It is
still practiced and living; a continuous process, open to adjustment. Thus, if development
is to be achieved it should be the development based on the conservation model.
In India the legal scenario, which is being witnessed by us, is a scenario resulting from
the budgetary constraints of the central government and its agency that protects and
maintains historic structures. This however excludes hundreds of thousands of other
architectural sites and monuments from government protection, leaving them acutely
vulnerable and unprotected, and it is clear that the legislations in this regard are
inadequate or improperly framed. At the same time the cities in our country grapple
with issues of an exploding urban population, limited infrastructural and budgetary
resources and increasing inner city decay. This results in a greater vulnerability of its
architectural and cultural heritage which is gradually becoming prey to successive
encroachments and bad, irregular and unplanned town planning policies.
In this given scenario economic incentives and tax credits10 especially pertaining to
guidance and facilitation of conservation, along with the phenomenon of public-private
partnerships, could perhaps be adopted. The broad partnership between public and
private entities, professionals and local community craftspeople has proven to be a
critical element in ensuring the long-term success and viability of preserving cultural
properties.
Coordination and cooperation among the government agencies and private sectors
engaged in cultural activities, especially the Non-Governmental Agencies like Indian
National Trust for Art and Cultural Heritage (INTACH) and the International Council on
Monuments and Sites (ICOMOS) must be promoted.

10
As seen in the case of United States of America.
Infrastructure and Resource Management 629

In India, there is an opportunity, indeed a necessity, for making planning conservation

oriented. The existing town and country planning acts do have provisions for conferring
special status to buildings and heritage areas. However, for many reasons (including
political and social factors) this has never been enforced. In order to focus attention and
action on heritage buildings, recent initiatives such as that of INTACH and various other
environmental organisations that have pushed for a separate Heritage Act/Regulations,
would be helpful. However, this requires help from administrative and legislative quarters,
as well as adequate support from the judiciary. It can provide the impetus and ideology
for a conservation-oriented development policy, which seems to be the need of the hour.

A decentralised administration with more power to the local authorities can go a long
away in preserving local architecture. There is a need for local bodies to share a greater
responsibility in heritage preservation. It is also important to garner popular support
and inspire the society overall to take conservation more seriously. The government and
corporate enterprises, apart from policy support, could be the source of grants for
restoration and maintenance.

It is often presented and is a quite commonly observed and seen practice that, while the
economic value of a building attracts developers and decision makers, its cultural value
is not recognised many a time. In contrast, conservation is a practice that protects and
enhances the cultural value of a building. It places value on the building and not on the
land on which it sits. For these reasons, conservation is often misunderstood as an
antithesis of development. Conservation offers an alternative paradigm for development;
and while this idea has been clearly understood and accepted in environmental realms,
it is unfortunate to say that it still awaits recognition in fields of architecture and town
planning.

30.7 References and Recommended Readings

Gast, Klaus-Peter (2007), Modern Traditions: Contemporary Architecture in India,
Birkhäuser. Lach, Donald F. (1993), Asia in the Making of Europe (vol. 2), University of
Chicago Press.

Livingston, Morna & Beach, Milo (2002), Steps to Water: The Ancient Stepwells of India,
Princeton Architectural Press.

Moffett etc. (2003), A World History of Architecture, McGraw-Hill Professional. Piercey,

W. Douglas & Scarborough, Harold (2008), hospital, Encyclopædia Britannica.

Possehl, Gregory L. (1996), “Mehrgarh”, Oxford Companion to Archaeology edited by

Brian Fagan, Oxford University Press.

Rodda & Ubertini (2004), The Basis of Civilization-Water Science, International Association
of Hydrological Science.

Savage, George (2008), interior design, Encyclopædia Britannica.

630 Urban Legal and Policy Frameworks

Sinopoli, Carla M. (2003), The Political Economy of Craft Production: Crafting Empire in
South India, C. 1350-1650, Cambridge University Press.

Sinopoli, Carla M. (2003), “Echoes of Empire: Vijayanagara and Historical Memory,

Vijayanagara as Historical Memory”, Archaeologies of memory edited by Ruth M. Van
Dyke & Susan E. Alcock, Blackwell Publishing.

Singh, Vijay P. & Yadava, R. N. (2003), Water Resources System Operation: Proceedings of
the International Conference on Water and Environment, Allied Publishers.

Teresi, Dick (2002), Lost Discoveries: The Ancient Roots of Modern Science—from the
Babylonians to the Maya, Simon & Schuster.
Infrastructure and Resource Management 631

UNIT 31
URBAN NATURAL RESOURCES
Contents
31.1 Introduction 631
31.2 Urban Natural Resource Management 632
31.3 Impacts on Urban Natural Resources 639
31.4 Sustainable Use of Urban Natural Resources 642
31.5 Conclusion 645
31.6 References and Recommended Readings 646

31.1 Introduction
Environment, as understood in its natural form is a synthesis of man-made and
natural systems. If we are to consciously shape our future, we must learn to manage
our entire environment. This involves not only to reconcile the conflicts and contradictions
between man-made and natural systems but also to shed the misconstrued and tragic
dichotomy to pit economic prosperity against environmental resource conservation.

All of man’s wealth and all of industrial society, would not be possible without abundant
natural resource. Industrial development in the United States occurred in a vast and
tremendously resources rich land. Every resource needed for agricultural and industrial
development was available in super abundance. Rich agricultural land, vast forests,
energy resources, clean water, mineral resources — all were here in great abundance.

Today our natural wealth is being slowly wasted. There is less and less prime agricultural
land, and much of that which is being farmed is undergoing some degree of short or long-
term damage. Domestic energy sources and mineral deposits are being depleted, and
the limits of water supply have already become visible.

In this context, it is essential to conserve, and most importantly manage, our natural
wealth and resources. Natural resources (NR) include all material resources. Air, water,
land or soil, minerals and materials present in the earth as well as flora and fauna
encompass he vast range of what we term as our natural resources. When we talk of
conservation, in the context of each resource, more often than not, it is not just the
quantity but the quality that also needs to be conserved. For instance, the supply of air
is not in question, the issue is its quality and composition. Water involves issues of both
632 Urban Legal and Policy Frameworks

supply and quality. The earth is the foundation of our homes, the source of most of our
food, the source of all of our mineral resources, and the source of energy.

Urban Natural Resources (UNRs) have largely been regarded as land for agriculture,
water for service provision (irrigation, sanitation), and more recently trees for amenity
provision in parks or homesteads. However, if we think of natural resources as the
components of natural capital, as defined in the assets framework of the sustainable
livelihoods approach, then we have the scope to broaden our understandings of NRs
within urban areas, and to explore their contribution to urban livelihoods. Ellis1 (2000)
defines natural capital as the land, water and biological resources that are utilised by
people to generate a means of survival. Both Ellis (2000: 32) and Carney2 (1998: 7) state
that natural capital is sometimes referred to as ‘environmental resources’, with the
components thought of as jointly comprising ‘The Environment’. Both emphasize that
natural capital is not static, and that it can comprise of both renewable and non-renewable
resources.

In looking at NR-dependent in an urban context, we first need to understand what

constitutes ‘urban natural resources’. This may be in terms of the resources themselves
i.e. what is ‘natural’ in an urban context, NRs directly (such as quarrying for rocks),
those that use NRs for production purposes (e.g. growing crops or trading livestock), and
for example the different rights people might have over these resources .The case
studies on waste, urban agriculture, urban spaces, water, mining and quarrying, and
urban trees raise interesting and important questions about how we define natural
resources within urban contexts. Given the problem of defining what constitutes a ‘natural’
resource it might be more useful to think about the resources that occur in the urban
‘environment’ and that people draw on in their NR dependent livelihoods. Thus, while
we still keep the label ‘natural resource’ or NR, we recognise that, in addition, urban
NRs may be synthetic (produced or grown) within the urban environment. In this way,
waste and grass are ‘resources’ that occur in ‘the urban environment’ and so constitute
the urban natural capital. We use the terms natural resources and within our definition
we include land, water, biological resources and the productive capacity and services
that they provide. In addition, we include waste as a form of urban ‘natural’ resource.

31.2 Urban Natural Resource Management

The earth, air, water and living biosphere are the collective heritage of mankind. Much
of what is being consumed by current generations might not be available to future
generations. Therefore, city/municipal capital funds must be allocated for not just the
current city operations but also management of these resources in such a way that it is
adequately available of the use of future generations as well. , If current generations
consume resources wastefully, it would be at the cost of using up the capital of natural
resources upon which future prosperity depends.
1
Ellis, F.(2000) Rural Livelihoods and Diversity in Developing Countries. Oxford: Oxford University Press.
2
Carney, D. (ed.) (1998) Sustainable Rural Livelihoods: What contribution can we make? London:
Department for International Development.
Public Services Management 633

What is Urban Natural Resource Management?

Natural resource management (NRM) for any geographical jurisdiction involves
ensuring adequate supplies of air, earth, water and energy, and of ensuring the use
of these resources in a manner that does not impose inordinate costs upon society
as a whole or upon future generations.
Urban Natural Resource Management is management of resources in Urban Areas.
It consists of the air overhead, the land available for urban uses, the urban or
potentially urban land available for food-producing uses, the water table, the
water sheds, the creeks and ponds, the shore line, all liquid waste and storm water
flows, all mineral and biomass “waste” materials, all currently used energy sources,
and all future or potential energy sources in urban areas. For optimal use of these
resources, the solutions available involve several general features:
1) A shift from non-renewable to renewable resources.
2) A shift from remotely located resources to locally available resources.
3) A shift from production of goods to be used up to the production of goods to be
used, reused and recycled.
4) A shift from living on capital to living on income.
5) Maximum reduction of waste in the use of resources.
6) Maximum reduction in the production of poisonous and otherwise harmful by-
products in the use of resources.
7) Protection of natural resources from destruction by the spread of man and his
technology.
8) Preservation of the social fabric — community and family life.
As inflation caused by resource scarcity moves forward, these basic resources are
increasingly used in the economy as substitute goods for each other. For example,
as oil prices go up, land is increasingly seen as a source for biomass derived energy.
Economically, the continuation of this and parallel trends will equalise the inflation
rate of land derived products and oil derived products. Already, the three elements
contributing most to our inflation, and which are not coincidentally identified as
the three elements uncontrollable through wage and price controls, are energy,
housing (based on land), and food (again based on land). It may be true, in other
words, that inflation comes less from bad economic management than from bad
resource management. Several relationships are easily observable at this point:
1) Urban development or redevelopment decisions that increase the per capita
use of any single natural resource will tend to increase the per capita use of
them all, and vice versa.
2) A resource efficient city is also more likely to have a productive and less wasteful
government.
3) Air, earth, water and energy are becoming increasingly interchangeable. Hence
solutions the alternate non-renewable resources to renewable resources is not
difficult anymore.
634 Urban Legal and Policy Frameworks

Though there are numbers of urban natural resources but we will concentrate on two
resources management;
- Watershed Management
- Rain Water Harvesting and recycling
Watershed Management3
A watershed is commonly defined as an area in which all water drains to a common
point. From a hydrological perspective a watershed is a useful unit of operation and
analysis because it facilitates a systems approach to land and water use in interconnected
upstream and downstream areas. In dry land areas such as the Indian semi-arid tropics,
watershed projects aim to maximise the quantity of water available for crops, livestock
and human consumption through on-site soil and moisture conservation, infiltration into
aquifers and safe runoff into surface ponds. In catchment areas of hydroelectric dams,
watershed projects typically focus on minimising soil erosion that deposits sediment
into reservoirs and to the maintenance of base flow. Watershed management is the
integrated use of land, vegetation and water in a geographically discrete drainage
area for the benefit of its residents, with the objective of protecting or conserving the
hydrologic services the watershed provides and reducing or avoiding negative downstream
or groundwater impacts. The watershed management approach has evolved to respond
to the complex challenges of natural resource management using the watershed as a
practical unit of implementation. Watershed management programmes typically adopt
integrated natural resource management approaches with a focus on upland areas where
they target the twin objectives of resource conservation and poverty reduction. They
also target improvements in downstream environmental services.
A typical watershed management programme is thus likely to aim at the following4:
- Improving the management of land and water, and their interactions and
externalities.
- Increasing the intensity and productivity of resource use in the upland area with the
objective of reducing poverty and improving livelihoods.
- Improving environmental services and reducing negative externalities for
downstream areas.
- Addressing technical, institutional and policy issues needed to ensure equitable
sharing of benefits among stakeholders and sustainable watershed management.
A sizable amount of rainwater runoff seeps into the ground to become ground water.
Ground water moves into water-filled layers of porous geological formations called
aquifers. If the aquifer is close to the surface, its ground water can flow into nearby

3
CAPRI,Technical Workshop on Watershed Management Institution, (March 1, 2000) https://
capri.cgiar.org/2000/03/01/workshop-watershed-management
4
Salah Darghouth, Christopher Ward, Gretel Gambarelli, Erika Styger, and Julienne Roux, ‘Watershed
Management Approaches, Policies, and Operations: Lessons for Scaling Up: Water Sector Board Discussion
Paper Series, Paper No.11’, The World Bank, May 2008, Washington DC.
Public Services Management 635

waterways or wetlands, providing a base flow. Depending on the location, aquifers

containing ground water can range from a few feet below the surface to several hundred
feet underground. Aquifer recharge areas are locations where rainwater and other
precipitation seep into the Earth surface to enter an aquifer. Contrary to popular belief,
aquifers are not flowing underground streams or lakes. Ground water moves at an irregular
pace, seeping from more porous soils, from shallow to deeper areas and from places
where it enters the Earth surface to where it is discharged or withdrawn. Urban watershed
table is illustrated below5:

Natural Watershed Urbanised Watershed

Ground Water 50% Ground Water 10%
Surface Runoff 10% Surface Runoff 75%

Urbanisation (or development) has a great effect on local water resources. It changes
how water flows in the watershed and what flows in the water. Both surface and ground
water flow are changed. As a watershed becomes developed, trees, shrubs and other
plants are replaced with impervious surfaces (roads, rooftops, parking lots and other
hard surfaces that do not allow storm water to soak into the ground). Without the plants
to store and slow the flow of storm water, the rate of storm water runoff is increased.
Less storm water soaks into the ground because the sidewalks, roads, parking lots and
rooftops block this infiltration. This means a greater volume of water reaches the
waterway faster and less water infiltrates to ground water. This in turn leads to more
flooding after storms and reduced flow in streams and rivers during dry periods. The
reduced amount of infiltrating water can lower ground water levels, which in turn can
stress local waterways that depend on steadier flows of water. In the stream, more
erosion of stream banks and scouring of channels will occur due to volume increase. This
in turn degrades habitat for plant and animal life that depend on clean water. Sediment
from eroded stream banks clogs the gills of fish and blocks light needed for plants. The
sediment settles to fill in stream channels, lakes and reservoirs. This is also increases
flooding and the need for dredging to clear streams or lakes for boating. In addition to
the high flows caused by urbanisation, the increased runoff also contains increased
contaminants. These include litter, cigarette butts and other debris from sidewalks and
streets, motor oil poured into storm sewers, heavy metals from brake linings, settled air
pollutants from car exhaust and pesticides and fertilisers from lawn care. These
contaminants reach local waterways quickly after a storm.

Watershed management is a process for protecting the lakes, streams, and wetlands in
our watersheds from point and nonpoint source pollution. Point sources of water pollution
are municipal and industrial wastewater coming from a distinct “point” such as a sewer
outfall. Nonpoint sources of water pollution, however, cannot be easily traced back to
a particular location. This type of water pollution is diverse and comes from everyday
land use activities such as agriculture, residential development, construction and forestry.

5
Indian Council For Research On International Economic Relations, Urban Water Systems in India: A
Way Forward, Working Paper 323, May 2016.
636 Urban Legal and Policy Frameworks

It is accomplished by developing an understanding of key factors that affect the water

quality of lakes, streams and wetlands and by following a plan of action to prevent,
reduce, or minimise those activities within a watershed that may negatively impact
water quality.

Watershed management consists of many diverse activities including controlling point

and nonpoint source pollution, monitoring water quality, adopting ordinances and policies,
educating stakeholders, and controlling growth and development in a watershed. The
watershed management approach seeks to effectively protect our water resources by
taking into account the entire watershed. Successful watershed management requires
the participation and involvement of the entire community within the watershed
boundaries, including industry, government, business and citizens. Since everyone may
contribute to watershed problems, all should be involved in identifying both the problems
and the solutions. One of the first steps in watershed management is problem
identification. These solutions can range from changes to municipal storm water
ordinances to homeowner education about lawn care to stream bank restoration projects.
Identifying which solutions are right for a particular watershed is a crucial component of
the watershed management process.

Once solutions have been identified, they must be implemented successfully. This can be
the most difficult part of the process. The advantage of watershed management planning
is that it addresses all sources of pollution within the watershed and is developed by the
community most affected by it.

Rain Water Harvesting and Recycling

The principle of collecting and using precipitation from a catchments surface is old
technology gaining popularity in a new way. Rain water harvesting is enjoying a
renaissance of sorts in the world, but it traces its history to biblical times. Extensive rain
water harvesting apparatus existed 4000 years ago in the Palestine and Greece. In ancient
Rome, residences were built with individual cisterns and paved courtyards to capture
rain water to augment water from city’s aqueducts. As early as the third millennium BC,
farming communities in Baluchistan and Kutch impounded rainwater and used it for
irrigation dams. Artificial recharge to ground water is a process by which the ground
water reservoir is augmented at a rate exceeding that obtaining under natural conditions
or replenishment. Any man-made scheme or facility that adds water to an aquifer may
be considered to be an artificial recharge system.

Rain water harvesting is essential because surface water is inadequate to meet our
demand and we have to depend on ground water. Due to rapid urbanisation, infiltration
of rain water into the sub-soil has decreased drastically and recharging of ground water
has diminished. There are two main techniques of rain water harvesting.6
♦ Storage of rainwater on surface for future use.
♦ Recharge to ground water.
6
Water Harverters, Rainwater Harvesting http://www.waterharvesters.com/RainWater.aspx
Public Services Management 637

The storage of rain water on surface is a traditional techniques and structures used were
underground tanks, ponds, check dams, weirs etc. Recharge to ground water is a new
concept of rain water harvesting and the structures generally used are:-

Pits: Recharge pits are constructed for recharging the shallow aquifer. These are
constructed 1 to 2 m wide and 3 m deep which are back filled with boulders, gravels,
coarse sand.

Trenches: These are constructed when the permeable stream is available at shallow
depth. Trench may be 0.5 to 1 m. wide, 1 to 1.5 m deep and 10 to 20 m long depending
up availability of water. These are back filled with filter materials.

Dug wells: Existing dug wells may be utilised as recharge structure and water should pass
through filter media before being put into the dug well.

Hand pumps: The existing hand pumps may be used for recharging the shallow/deep
aquifers, if the availability of water is limited. Water should pass through filter media
before diverting it into hand pumps.

Recharge wells: Recharge wells of 100 to 300 mm diameter are generally constructed for
recharging the deeper aquifers and water is passed through filter media to avoid choking
of recharge wells.

Recharge Shafts: For recharging the shallow aquifer which is located below clayey surface,
recharge shafts of 0.5 to 3 m diameter and 10 to 15 m deep are constructed and back
filled with boulders, gravels and coarse sand.

Lateral shafts with bore wells: For recharging the upper as well as deeper aquifers
lateral shafts of 1.5 to 2 m wide and 10 to 30 m long depending upon availability of water
with one or two bore wells is constructed. The lateral shafts are back filled with boulders,
gravels and coarse sand.

Spreading technique: When a permeable stratum starts from top then this technique is
used. Spread the water in streams/Nalas by making check dams, nala bunds, cement
plugs, gabion structures or a percolation pond may be constructed.

Construction activity in and around the city is resulting in the drying up of water bodies
and reclamation of these tanks for conversion into plots for houses. Free flow of storm
runoff into these tanks and water bodies must be ensured. The storm runoff may be
diverted into the nearest tanks or depression, which will create additional recharge.
Urbanisation effects on Groundwater Hydrology
♦ Increase in water demand
♦ More dependence on ground water use
♦ Over exploitation of ground water
♦ Increase in run-off, decline in well yields and fall in water levels
638 Urban Legal and Policy Frameworks

♦ Reduction in open soil surface area

♦ Reduction in infiltration and deterioration in water quality
Methods of artificial recharge in urban areas
♦ Water spreading
♦ Recharge through pits, trenches, wells, shafts
♦ Rooftop collection of rainwater
♦ Road top collection of rainwater
♦ Induced recharge from surface water bodies.
Computation of artificial recharge from Rooftop rainwater collection7
Factors taken for computation:
Roof top area 100 sq. m for individual house and 500 sq. m for multi-storied building.
Average annual monsoon rainfall is - 780 mm.
Effective annual rainfall contributing to recharge 70% - 550 mm.

Individual Multistoried
Houses building
Rooftop area 100 sq. m. 500 sq. m.
Total quantity available for recharge per annum 55 cu. m 275 cu. m.
Water available for 5 member Family 100 days 500 days

Benefits of Artificial Recharge in Urban Areas:

♦ Improvement in infiltration and reduction in run-off.
♦ Improvement in groundwater levels and yields.
♦ Reduces strain on Special Village Panchayats/ Municipal / Municipal Corporation
water supply
♦ Improvement in groundwater quality
♦ Estimated quantity of additional recharge from 100 sq. m. rooftop area is 55.000
Litres.
Ground water exploitation is inevitable in urban areas. But the groundwater potential is
getting reduced due to urbanisation resulting in over exploitation. Hence, a strategy to
implement the groundwater recharge, in a major way needs to be launched with concerted
efforts by various Governmental and Non-Governmental Agencies and Public at large to
build up the water table and make the groundwater resource, a reliable and sustainable
source for supplementing water supply needs of the urban dwellers.

7
Ibid
Public Services Management 639

Recharge of groundwater through storm runoff and rooftop water collection, diversion
and collection of runoffs into dry tanks, play grounds, parks and other vacant places are
to be implemented by Special Village Panchayats/Municipalities/Municipal Corporations
and other Government Establishments with special efforts.

The Special Village Panchayats /Municipalities/Municipal Corporations will help the

citizens and builders to adopt suitable recharge method in one’s own house or building
through demonstration and offering subsidies for materials and incentives, if possible.
There is more to ground water than surface water-
♦ Ground water is less expensive and economic resource.
♦ Ground water is sustainable and reliable source of water supply.
♦ Ground water is relatively less vulnerable to pollution.
♦ Ground water is usually of high bacteriological purity.
♦ Ground water is free of pathogenic organisms.
♦ Ground water needs little treatment before use.
♦ Ground water has no turbidity and colour.
♦ Ground water has distinct health advantage as an alternative for lower sanitary
quality surface water.
♦ Ground water is usually universally available.
♦ Ground water resource can be instantly developed and used.
♦ There is no conveyance loss in ground water-based supplies.
♦ Ground water has low vulnerability to drought.
♦ Ground water is the key to life in arid and semi-arid regions.
♦ Ground water is source of dry weather flow in rivers and streams.

31.3 Impacts on Urban Natural Resources

Extraction and depletion of natural resources - Cities require vast quantities of resources
to run both for urban inhabitants and for the economic activities that are clustered
there. In contrast to rural communities, which are immediately dependent on the land
that supports them, urban communities are rarely confronted with the impacts of their
resource consumption — advanced transportation networks allow resources to be tapped
from distant hinterlands. Rich cities, in particular, draw on resources far from their
boundaries.

The demand for supplies for cities is much greater and more complex than ever before.
These supplies range from such basics as water, fuel, sand and wood, to minerals such as
aluminium and steel, to advanced plastics and synthetic materials. For instance, urban
expansion creates demands for construction materials such as clays, sand, gravel, and
crushed rock to make concrete, cement and road stone. In Aligarh City, India,
640 Urban Legal and Policy Frameworks

approximately 1,000 cubic meters of soil is brought into the city each day, altering
natural drainage channels and increasing the level of flooding of large areas in the
region. In Jakarta, Indonesia, 1.2 million cubic meters of wood, mainly from the nearby
rural islands of Kalimantan and Sumatra, is imported to the metropolitan region each
year. The process of resource extraction can also have negative environmental impacts,
altering natural habitats, increasing land degradation and indirectly leading to pollution,
such as in mining discharges or saline intrusion into aquifers.

The range of inputs that sustain city life is enormous, and a discussion of all of these
inputs is beyond the scope of this unit. However, a discussion of two resources — water
and energy — illustrates how the scale of urban demand can deplete local resource
stores.

Energy Resources - Urbanisation has a profound effect on the amount and type of energy
consumed. Along with population growth, economic development, and industrialisation,
urbanisation is one of the principal forces driving the global increase in energy demand.
Although traditional rural societies rely heavily on human and animal energy and on
nearby wood for fuel, today’s urban societies are characterised by their reliance on
fossil fuels and electricity. These different patterns of energy use lead to different
environmental impacts.

In the developing world, per capita energy consumption remains low. For many urban
dwellers, especially in smaller cities in Africa and Asia, large shares of energy needs are
still met by biomass fuel. As these countries urbanise, however, demand for energy
increases and traditional, bulky fuels such as wood or charcoal are replaced by oil and
electricity. Energy consumption tends to be greater in urban areas in the developing
world as urban households acquire more appliances, such as irons, televisions and
refrigerators. Urban dwellers are more likely to travel to work via energy-intensive
modes of transportation, and food and other materials consumed in urban areas must be
transported across greater distances. Urban manufacturing and industry are more energy
intensive than traditional farming. Building the urban infrastructure necessary to support
the high population densities in cities requires energy not typically expended in traditional
rural settlements.

Impacts of Resource Extraction - In the developing world, biomass fuels provide between
25 and 90 per cent of domestic energy supplies, especially in smaller urban centers.
Although urban consumption of wood as fuel is neither the primary use for forest products
nor the major cause of forest loss globally, local impacts on nearby forests can be
severe.

Even in cities with low levels of per capita consumption of biomass fuels — Bangkok,
Thailand, and Manila, Philippines, for example — the large number of people concentrated
in a small area can place considerable total demand on forest resources.

The growth in demand for wood resources around cities has caused deforestation around
some urban centers reaching 100 kilometres and more. In India between 1960 and 1986,
Public Services Management 641

the closed forest cover around 18 urban centers decreased between one fifth and two
thirds. In Africa, urban regions are now experiencing rapid rates of deforestation, as
in the peri-urban region of Ouagadougou, Burkina Faso, and the sub humid wooded
savannah around Dar es Salaam, Tanzania. Deforestation also contributes to a variety of
indirect environmental impacts, including soil degradation, water siltation, and the loss
of indigenous plant and animal species. However, since forests are a renewable resource,
proper management can help mitigate the impacts; indeed, in some cases the scarcity
of fuel wood has led to additional tree planting.

As a fuel source, charcoal is often preferred over wood because of its compact size.
However, pressures on forests can intensify when urban households switch from wood to
charcoal because charcoal is produced at low conversion efficiencies from wood. In
Senegal, for example, charcoal production accounts for the clearing of between 18,000
and 33,000 hectares per year, or between 11 and 20 per cent of total estimated annual
deforestation. This percentage of annual deforestation can be attributed primarily to
urban resource demands, since in urban areas charcoal accounts for 91 per cent of wood-
based fuels compared with 8 per cent in the rural areas.

As cities increase their reliance on fossil fuels and electric power, pressure on surrounding
forests decreases but new problems emerge, often at considerable distances from the
city itself. The environmental impacts of, for example, coal mining and oil and gas
drilling and transport can be severe. In Katowice, Poland, for example, local coal mines
are causing water and land degradation. In 1992, Katowice’s coal mines discharged more
than 4,800 metric tons of salt into the Vistula River each day, leading to major declines
in aquatic life. About 20,000 hectares of land in the region is degraded (up from 9,500
hectares in 1975) by mining excavations, tunnels, land subsidence, waste dumps, and
flooded areas. Each year, 500 to 600 hectares of additional land is degraded; in 1988, only
74 hectares was reclaimed.

Water Resources
Many countries, including those with enormous amounts of available water, face urban
water supply problems. Local water shortages are especially acute in the world’s
megacities, although they are also appearing in smaller urban agglomerations such as
Dakar, Senegal; Lima, Peru; La Rioja, Spain; and Lucknow, India.

The growing demand for water, along with poor water resource management and mounting
pollution levels, contributes to water supply problems in and around cities. Although
municipal water use accounts for less than one tenth of the world’s overall water use,
urbanisation increases the per capita demand for water for domestic purposes. Part of
this growth in demand can be attributed to better access to water supplies in cities than
in rural areas. Industrial demand for water also rises. As the number of people in urban
areas grows, so does the demand for food and, hence, for irrigation in agricultural areas
close to the city. These pressures can quickly result in demands for water that surpass
local water supplies.
642 Urban Legal and Policy Frameworks

Poor urban water management practices exacerbate local water shortages. Where water
rights are not clearly defined, users may claim supplies well in excess of their needs to
deal with future uncertainties. Water is usually priced much lower than the actual cost
of securing, treating and distributing it (in part because of government subsidies), leaving
little incentive for households and industries to conserve water. Inefficient water systems
are another major source of water loss. In many cities in the developing world, leaky
pipes and illegal connections waste between 20 and 50 per cent of public water supplies.
In developed countries, aging infrastructure is contributing to similar problems. In the
United Kingdom, as much as 25 per cent of all water used may be lost because of leakage.
Water scarcity is closely linked to water quality. Freshwater lakes and rivers provide
affordable and easily accessible water, but uncontrolled discharges of domestic sewage
and industrial effluents have left many urban rivers heavily polluted and their water
unsafe for use. Consequently, cities must search for water supplies well beyond their
boundaries.
Other cities rely on groundwater, but many of them are withdrawing water from aquifers
faster than natural rates of replenishment, leading to salinity and subsidence. Saline
intrusion is common in almost all coastal cities, from Jacksonville, Florida, to Dakar,
Senegal, to the Chinese cities of Dalian, Qingdao, Yantai, and Beihai. Land subsidence
can cause structural damage to buildings and roads and can contribute to urban flooding.
For Bangkok, which overdraws water from its aquifer by a conservative estimate of 0.6
million to 0.8 million cubic meters per day, the compacting of underlying soils has led to
land subsidence ranging from 5 to more than 10 centimetres per year throughout the
region. To alleviate this land subsidence, Bangkok would have to reduce its groundwater
extraction rate by at least one half — a formidable challenge because water demand is
expected to grow rapidly in the coming decades .
In India, total demand for water is projected to nearly double by 2025. Although agriculture
will still claim the bulk of water supplies, demand is growing fastest in the urban and
industrial sectors and is projected to climb 135 per cent over the next 40 years. In
Hyderabad, India, already, the need for irrigation water during low-flow years is in
direct conflict with the need for water within the city itself. Similar conflicts are emerging
in China, where about 300 cities already experience water shortages.

31.4 Sustainable Use of Urban Natural Resources

The scarcity of natural resources impedes economic growth. Economic growth cannot
continue unhindered when the environment is overexploited beyond its carrying capacity.
The maximum use by the economic system that the environment bears is defined as the
carrying capacity of the environment.
Developing economies cannot afford to forego economic growth although the present
economic growth causes environment damage. Irreparable environmental losses limit
the prospect of future economic growth. Sustainable development could meet the need
of the present generation without compromising the ability of the future generation to
meet their needs.
Public Services Management 643

The long-term use of natural resources has to be sustainable to avoid their future scarcity.
In case of renewable resources, the task is easy. Since they are inexhaustible, their
present use does not compromise their future use. Their sustainable use would mean
that they are not overexploited but allowed to regenerate. The ability of inanimate
renewable resources like air, water and sunlight to regenerate them is quite different
from the animate renewable resources. They regenerate themselves by various physical,
chemical and biological natural processes. The purity of water is maintained naturally
by the physical process of evaporation. Similarly, carbon dioxide, one of the pollutants
of air is removed from and oxygen is resorted to it by the process of photosynthesis in
green plants and trees.

Although inexhaustible renewable natural resources regenerate themselves automatically,

yet they are used recklessly. Water is a scare resource today, yet it gets wasted and
polluted. Water is in great scarcity in many parts of our country. To save water from
pollution and wastage, it is essential to conserve water. Water can be conserved by the
following ways: Harvest, rain-water; check overflow of roof-top tanks; recycled used
water; increase the price of the user charge to check its wastage.

The sustainable use of exhaustible resources is a difficult task because they are finite in
availability. Thus, the finiteness of non-renewable resources compels us to save them
for their future use. Although use of these resources is the need of the present but it is
essential that we use them as efficiently as possible.

For their sustainable use, the inexhaustible resources need to be conserved. One of the
ways to conserve these resources is the use of substitutes. In certain uses, renewable
resources that are infinite in availability can overcome the finite of non-renewable
resources. That helps save the non-renewable resource. Inexhaustible resources like
solar energy, wind energy, biofuels or gobar gas can replace oil and coal and thus can
help in saving these exhaustible resources.

Anticipation is particularly important in resources-use. It is vital that we should look

ahead, taking all actual and anticipated needs into consideration, looking at the effects
of what we plan to do before we do it. Much of our land-use today fails to foresee
consequences. We plan suburban developments without considering transport, we develop
areas of scenic beauty before we realise that we are spoiling the irreplaceable, we
satisfy present needs while causing long-term environmental damage or imbalances.
Anticipation is vital in resources-use; for once homes and freeways are built, once old-
growth trees have been cut, once a chain of environmental imbalance has been set in
motion. these physical impacts are difficult if not impossible to un-do or reverse.

If resources are to be productively and respectfully used, efficient planning is required,

based on detailed and accurate information of resource availability and anticipated
requirements. This entails three distinct processes:

First, as a working foundation, the formulation of an overall land plan based on a full
inventory of natural resources; second, estimates of current and future demands; and
644 Urban Legal and Policy Frameworks

third the institution of a Resources-use Forum in which availability can to the best
extent possible be reconciled with actual and anticipated demands.

The second stage requires the preparation of an ongoing assessment of demands upon
the resources both current and anticipated, based on a thorough and fundamental analysis
of demographic trends and movements.

As a basis the analysis begins objectively by looking at the size of populations and their
broad, predictable needs for urban living, trade and cultural facilities, agriculture,
minerals, recreation and retreat. Individuals and special-interest groups as “consumers”
will then fill out the picture with additional needs and ideas such as wilderness homes or
specific recreation facilities.

The two banks of Resource Data: The Availability Inventory, and the Assessment of
actual and anticipated Demands, can then be coordinated by a Natural Resources and
Land-use Forum to produce an overall ongoing National Resources Plan.

On this basis, clear guidelines can be established for such broad national and regional
uses as major agricultural needs, recreation, mining, transport and urban development.

The total planning process must expect to give equal consideration to the specific needs
of the environment as a living entity. We need to use the natural resources, but we must
do so within the limitations of environmental responsibility, and we must give back the
equivalent of what we take through our stewardship and enhancement of our
environment.

Some environmental objectives might be listed as follows: zero land/water/air pollution;

zero garbage, requiring a determined effort to eliminate garbage at source, for example
through recycling and increased use of reusable containers; phase-out of factory farming
and pesticides, promotion of organic farming; identification and protection of all
significant natural ecosystems and major wildlife habitats.

The process thus visualised is not the unregulated free market, nor is it in complete
State control. Rather, it is a process of consultation falling between the two. It is based
on the recognition of certain basic, indisputable facts: the resources are natural, we
need to use them, and we should do so in a manner reflecting responsibility, custodianship,
respect, and mutual sharing. Decisions should be based on objective data providing
accurate information on availability and informed estimates of present and future
needs, the ongoing plans formulated with the widest possible input. It is our human
responsibility, as the life form with what would appear to be the highest form of
intelligence, to use the planet’s resources wisely and responsibly, minimising waste,
providing for as many needs as possible, and reaching decisions in the common interest
with the minimum of misinformation and acrimony. The task of sustainable use of
exhaustible resources is difficult in comparisons to that of the inexhaustible resources,
yet it is not impossible.
Public Services Management 645

315 Conclusion
In this day and age where the world uses, within a span one decade itself an equivalent
of about one-half of the earth’s total supply of natural resources, the City/municipal
councils has a serious responsibility to address natural resource management.

Local governments must be equal and effective partners in this national effort. Local
energy policies can effectively reduce the consumption of non-renewable energy resources
and expedite conversion to renewables such as solar. Local energy efforts can also
accommodate local differences and involve the public in a new appreciation for energy
conservation and renewable-based systems.

Authorities must periodically assess what local governments are and could be doing in
energy planning, management and conservation, but even the most superficial
examination of local government’s powers points to a significant role indeed. Local
governments exert a dominant influence on design and construction of urban infrastructure
and on the design and location of private development.

Here is what the local governments ought to do (and in many cities are doing) in shaping
the environment:
1) It must participate in both the regulation of and the stimulation of private sector
urban development.
2) It must participate in the governmental regulation of utilities.
3) It must work with other levels of government to influence the design of systems
they control.
4) It must take or be a part of all the decisions about the infrastructure it builds, owns,
or otherwise controls.
The major sub-systems that make up the urban infrastructure are:
1) Energy systems, including natural gas, electricity, petroleum products, and a wide
variety of alternative energy systems.
2) Transportation systems, including roads, bike lanes, sidewalks, street lights, rail
lines, bus systems, cab fleets, and air transit.
3) Land use systems — decisions about the type, location and mix of urban development
(i.e., residential, commercial and industrial buildings and structures), as well as
about the type, location and size of open public lands (i.e., parks. community gardens,
park strips, etc.).
4) Water systems, including the water table, the reservoirs and imported sources
supplying water utilities or water companies, the storm drainage system and the
flood control system.
646 Urban Legal and Policy Frameworks

5) Waste systems, including the sanitary sewer system, the water pollution control
plant, several solid waste disposal systems and several hazardous waste disposal
systems.
6) Communications systems, including telephone, telegraph and public sector radio
channels such as police, fire, etc.

It is worth noting that strategies of resource conservation, resource recovery and

alternative energy and resource development are precisely those energy and resource
strategies with the greatest need for a strong local government role. These strategies
require consumer investments at the local level instead of producer investments by
national and regional corporations and governments. Conservation decisions tend to be
strongly decentralised, whilst production decisions tend to be centralised.

In fact, it is desirable for local governments to make many of the key energy and natural
resource decisions. Different regions vary significantly in their natural resource problems
and opportunities. A dominant national government role could lead to excessive and
inappropriate regulation. Hence, decentralisation, at least to some extent is desirable
for optimal efficiency.

31.6 References and Recommended Readings

Toward A Sustainable City: A Report On Natural Resources and The City Of San Jose,
February 27, 1980.
Hidden Livelihoods: Natural Resource-Dependent Livelihoods and Urban Development
Policy- Rachel Slater Chasca Twyman September 2003 Overseas Development Institute–
U.K
Watershed Management Approaches, Policies and Operations: Lessons for Scaling Up
Salah Darghouth, Christopher Ward, Gretel Gambarelli, Erika Styger, and Julienne Roux
- The World Bank, Washington, DC.
World Resources 1996-97 (A joint publication by The World Resource Institute, The United
Nations Environment Programme, The United Nations Development Programme, and
the World Bank) (Data edited by Dr. Róbinson Rojas).
Website Referred
www.state.nj.us/dep/watershedmgt http://waterharvesters.com/index.php/
rainwaterharvesting http://www.rockawayborough.com/shedbrochure.pdf http://
www.capri.cgiar.org/pdf/CAPRIWP17.pdf
Public Services Management 647

UNIT 32
MANAGING CITY WASTE:
SOLID WASTE
Contents
32.1 Introduction 647
32.2 Impact 649
32.3 Solid Waste Management 651
32.4 Recycling 658
32.5 Policy/Rule 660
32.6 Conclusion 661
32.7 References and Recommended Readings 664

32.1 Introduction
Efficient delivery of public services and infrastructure are pressing issues for municipalities
in most developing countries; and in many countries, solid waste has become a top
priority. Solid waste management is costly and complex for local governments, but it
is so essential to the health, environment and quality of life of the people — in particular,
the poor — that municipalities cannot afford to get it wrong. Bad waste collection
practices and improper solid waste disposal contribute to local episodes of disease,
regional water resource pollution and global greenhouse gases.
Solid waste comprises of all the waste arising from human and animal activities that are
normally solid and that are discarded as useless or unwanted. Solid waste consists of
highly heterogeneous mass of discarded materials from commercial, industrial,
agricultural and mining activities. Municipal solid waste (MSW) generally consist of non-
hazardous components but sometimes hazardous too: such as product packaging, waste
cloths, glass and bottles, newspapers, paints, batteries, industrial dust, ash, tyres, metal
cans and containers, dead animals, medical waste, abandoned vehicles, insulations,
conduits and including sewage and sludge comprising all toxic wastewater and night
soils etc. The Solid Waste Management Rules, 2016 define “solid waste” as solid or semi-
solid domestic waste, sanitary waste, commercial waste, institutional waste, catering
and market waste and other non-residential wastes, street sweepings, silt removed or
collected from the surface drains, horticulture waste, agriculture and dairy waste, treated
bio-medical waste excluding industrial waste, bio-medical waste and e-waste, battery
648 Urban Legal and Policy Frameworks

waste, radio-active waste generated in the area under the local authorities and other
entities mentioned in rule 2 of the said rules.
A country such as India, with its high economic growth and rapid urbanisation, requires
immediate solutions to the problems related to mismanagement of urban waste. City
managers are actively trying to understand the problem and are seeking effective ways
of intervening. They realise that such interventions are essential to improving the quality
of their cities and to reducing adverse health and environmental impacts. For cities to
be sustainable and to continue their economic development, they must be clean and
healthy. They need to improve their Solid Waste management systems by adopting good
collection coverage, appropriate transfer methods and healthy disposal practices.
With rising urbanisation and change in lifestyle and food habits, the amount of municipal
solid waste has been increasing rapidly and its composition changing.
The Indian population living in urban areas has increased from about 17.35% in 1951 to
about 34% in 2018. This has resulted in an increase in the amount of waste generated. It
is pertinent to mention that the urban population in India is projected to be more than
52.8% by 2050. (TERI Energy & Environment Data Diary and Yearbook 2017-19)
Over the last few years, the consumer market has grown rapidly leading to products
being packed in cans, aluminium foils, plastics and other such non-biodegradable items
that cause incalculable harm to the environment. In India, some municipal areas have
banned the use of plastics and they seem to have achieved success. For example, today
one will not see a single piece of plastic in the entire district of Ladakh where the local
authorities imposed a ban on plastics in 1998. Other states should follow the example of
this region and ban the use of items that cause harm to the environment. One positive
note is that in many large cities, shops have begun packing items in reusable or
biodegradable bags. Certain biodegradable items can also be composted and reused. In
fact, proper handling of the biodegradable waste will considerably lessen the burden of
solid waste that each city has to tackle.
There are different categories of waste generated, each take their own time to degenerate1
(as illustrated in the table below).
The type of litter we generate and the approximate time it takes to degenerate.
Type of litter Approximate time it takes
to degenerate the litter
Organic waste such as vegetable and fruit peels, A week or two
leftover foodstuff, etc.
Paper 10-30 days
Cotton cloth 2-5 months
Wood 10-15 years
Woollen items 1 year
Tin, aluminium, and other metal items such as cans 100-500 years
Plastic bags One million years
Glass bottles Undetermined
1
EDUGREEN, Types of Solid Waste, http://edugreen.teri.res.in/explore/solwaste/types.htm
Public Services Management 649

Waste is a continually growing problem at global and regional as well as at local levels.
Solid wastes arise from human and animal activities that are normally discarded as
useless or unwanted. In other words, solid wastes may be defined as the organic and
inorganic waste materials produced by various activities of the society and which have
lost their value to the first user. As the result of rapid increase in production and
consumption, urban society rejects and generates solid material regularly which leads
to considerable increase in the volume of waste generated from several sources such as,
domestic wastes, commercial wastes, institutional wastes and industrial wastes of most
diverse categories. In its scope, solid waste management includes all administrative,
financial, legal, planning, and engineering functions involved in the whole spectrum of
solutions to problems of solid wastes thrust upon the community by its inhabitants.

32.2 Impact
Solid wastes have the potential to pollute all the vital components of living environment
(i.e., air, land and water) at local and at global levels. The problem is compounded by
trends in consumption and production patterns and by continuing urbanisation of the
world.2

Potential hazards of solid wastes are numerous to the living community when it is
improperly managed. The group at risk from the unscientific disposal of solid waste
include – the population in areas where there is no proper waste disposal method,
especially pre-school children; waste workers; and workers in facilities producing toxic
and infectious material. Other high-risk group include the population living close to a
waste dump and those, whose water supply has become contaminated either due to
waste dumping or leakage from landfill sites. Uncollected solid waste also increases risk
of injury and infection. Some of the hazards caused by solid wastes are listed below:
♦ Uncollected wastes often end up in drains, causing blockages that result in flooding
and unsanitary conditions.
♦ Open and overflowing bins attract stray dogs, which has been a major cause of the
spread of rabies.
♦ Open waste bins also attract stray and domestic cattle. Cattle in the city causes
nuisance by blocking the traffic on the roads. Cattle that graze on the waste from
bins end up eating the plastic along with the vegetable matter, which proves to be
fatal for them. The milk obtained from the cattle that feed on waste can be
contaminated and can prove to be unsafe for human health.
♦ Flies breed in some constituents of solid wastes, and flies are very effective vectors
that spread diseases.
♦ Mosquitoes breed in blocked drains and in rainwater that is retained in discarded
cans, tire and other objects. Mosquitoes spread disease, including malaria and dengue.
2
Environmental Audit of Municipal Solid Waste Management by T. V. Ramachandra and Shruthi Bachamanda;
Energy and Wetlands Research Group, Centre for Ecological Sciences, Indian Institute of Science,
Bangalore.
650 Urban Legal and Policy Frameworks

♦ Rats find shelter and food in waste dumps. Rats consume and spoil food, spread
disease, damage electrical cables and other materials and inflict unpleasant bites.
♦ The open burning of waste causes air pollution; the products of combustion include
dioxins that are particularly hazardous.
♦ Aerosols and dusts can spread fungi and pathogens from uncollected and decomposing
wastes.
♦ Uncollected waste degrades the urban environment, discouraging efforts to keep
streets and open spaces in a clean and hygienic condition. Plastic bags are in
particular an aesthetic and environmental nuisance.
♦ Waste collection workers face particular occupational hazards, including strains
from lifting, injuries from sharp objects and contact with pathogens when manually
handling the waste.
♦ Dangerous items (such as broken glass, razor blades, hypodermic needles and other
healthcare wastes, aerosol cans and potentially explosive containers and chemicals
from industries) may pose risks of injury or poisoning, particularly to children and
people who sort through the waste.
♦ Heavy refuse collection trucks can cause significant damage to the surfaces of roads
that were not designed for such weights.
♦ Waste items that are reused without being cleaned effectively or sterilised can
transmit infection to later users. (Examples are bottles and medical supplies.)
♦ Polluted water (leachate) flowing from waste dumps and disposal sites can cause
serious pollution of water supplies, ponds and lakes. Chemical wastes (especially
persistent organics) may be fatal or have serious effects if ingested, inhaled or
touched and can cause widespread pollution of water supplies.
♦ Waste that is treated or disposed of in unsatisfactory ways can cause a severe
aesthetic nuisance in terms of smell and appearance.
♦ Liquids and fumes, escaping from deposits of wastes (perhaps formed as a result of
chemical reactions between components in the wastes), can have fatal or other
serious effects.
♦ Methane (one of the main components of landfill gas) is much more effective than
carbon dioxide as a greenhouse gas, leading to climate change.
♦ Fires on disposal sites can cause major air pollution, causing illness and reducing
visibility, making disposal sites dangerously unstable, causing explosions of cans,
and possibly spreading to adjacent property.
♦ Former disposal sites provide very poor foundation support for large buildings, so
buildings constructed on former sites are prone to collapse.
♦ Rag pickers working on landfill are prone to many diseases like respiratory infections
such as lung impairment. In a study carried out by the Chittaranjan National Cancer
Public Services Management 651

Institute, Kolkata comparing the health of Delhi’s rag pickers with that of the control
subjects from east Delhi slums, nearly 75.5 rag pickers from the sample group of 98
had higher frequency of upper respiratory symptoms (sinusitis, running or stuffy
nose, sore throat, common cold, fever) and 81.6 per cent showed lower respiratory
symptoms (dry cough, cough with phlegm, wheezing and chest discomfort) and
breathing problem.

32.3 Solid Waste Management

Management of solid waste is associated with the control of generation, storage,
collection, transfer and transport, processing, and disposal of solid wastes in a manner
that is in accord with the best principles of public health, economics, engineering,
conservation, aesthetics and other environmental considerations.

Solid waste can be defined as non-liquid material that no longer has any value to the
person who is responsible for it. In urban areas, solid waste is generated by domestic
households, commercial and industrial enterprises, and health care and institutional
activities, as well as on the streets. Street refuse contains a mixture of refuse from
many sources, because streets are used as dumping grounds by all generators of waste.
Where sanitation facilities are lacking and a large animal population roams the streets,
street refuse contains a lot of human faecal matter and manure. Streets are also often
used for extensive dumping of construction and demolition debris – attracting further
dumping of solid waste. Although solid waste from industrial processes is generally not
considered municipal waste, it nevertheless needs to be taken into account when dealing
with solid waste because it often ends up in the Municipal Solid Waste (MSW) stream.3

A typical waste management system in a low- or middle-income country includes the

following elements:
♦ Waste generation and storage
♦ Segregation, reuse and recycling at the household level
♦ Primary waste collection and transport to a transfer station or community bin
♦ Street sweeping and cleansing of public places
♦ Management of the transfer station or community bin
♦ Secondary collection and transport to the waste disposal site
♦ Waste disposal in landfills
In the past, the important elements of waste management namely collection, transport
and treatment of recyclables at all points on the solid waste pathway (collection, storage,
transport, and disposal) were often regarded only from an engineering and technical
viewpoint. It is essential to realise that these elements are embedded in the local
institutional, socio- cultural and economic context, which is further influenced by national
3
Improving Municipal Solid Waste Management in India: A Sourcebook for Policy Makers and Practitioners,
Published by World Bank, Washington, DC, USA (2008). ISBN: 978-0-8213-7361-3
652 Urban Legal and Policy Frameworks

politics, policies, and legislation as well as national and global and economic factors.
Physical handling of solid waste and recyclables (storage, collection, transport, treatment
and so on) is just one SWM activity; it alone cannot fulfil the requirement for sustainable
and integrated solutions. Other activities are equally important:
♦ Making policy, as well as setting and enforcing standards and regulations.
♦ Evaluating data on waste generation and characterisation for the purposes of planning
and adapting system elements.
♦ Ensuring that workers and planners get training and capacity development.
♦ Carrying out public information and awareness and education programmes.
♦ Identifying and implementing financial mechanisms, economic instruments and cost-
recovery systems.
♦ Incorporating formal and informal elements of the private sector as well as
community- based activities and nongovernmental organisations (NGOs).
Solid waste can be categorised based on its source as shown in table4.
Source Typical facilities, activities or Types of Solid waste
locations where wastes are
generated
Agricultural Field and row crops, orchards, Spoiled food wastes, agricultural wastes,
vineyards, diaries, feedlots, farms, rubbish and hazardous wastes
etc.
Industrial Construction, fabrication, light Industrial process wastes, scrap materials,
and heavy manufacturing, etc.; nonindustrial waste including food
refineries, chemical plants, power waste, rubbish, ashes, demolition and
plants, demolition, etc. construction wastes, special wastes, and
hazardous waste
Commercial and Stores, restaurants, markets, Paper, cardboard, plastics, wood, food
Institutional office buildings, hotels, auto wastes, glass, metal wastes, ashes, special
repair shops, wastes, etc.
Municipal solid Includes residential, commercial Special waste, rubbish, general waste,
waste and institutions paper, plastics, metals, food waste, etc.

Municipal Solid waste management involves the application of the principle of Integrated
Solid Waste Management (ISWM) to municipal waste. ISWM is the application of suitable
techniques, technologies and management programmes covering all types of solid wastes
from all sources to achieve the twin objectives of (a) waste reduction and (b) effective
management of waste still produced after waste reduction.
In Municipal Solid Waste Management the major issues to be considered are:
♦ Increasing waste quantities
♦ Wastes not reported in the national MSW totals
4
Hester, R. E and Harrison, R. M., 2002.
Public Services Management 653

♦ Lack of clear definition for solid waste management terms and functions
♦ Lack of quality data
♦ Need for clear roles in state and local government
♦ Need for even and predictable enforcement regulations and standards
Numerous technologies / options are available in SWM, among developed countries.
Replicating the same in low-income countries is inappropriate / incompatible. The success
of waste disposal practices depends largely on overcoming the following constraints,
♦ Municipal capacity: The scale of task is enormous and regulatory authorities are
able to collect only 60-70% of total waste generated, so treatment and disposal
inevitably receives less attention. Attempts are being made in a few instances to
overcome this lack of capacity by privatizing this operation.
♦ Political commitments: Solid waste management is much more than a technical
issue; it has implications for local taxation, employment, and regulation of public
and managing authorities. Any change needs political support to be effective. However,
it is rarely a priority for political concerns unless there is strong and active public
interest. This is viewed as a cost to the “public” without apparent returns.
♦ Finance, cost recovery and resource constraints: Deployment of a proper management
system represents a major investment and it may be difficult to give it priority over
other resource demands. Most of the waste management authorities are severely
constrained by the lack of resource to finance their services. Since the collection
and transport itself usually dominate SWM costs in developing countries, safe disposal
invariably receives less attention whereas in all other developed countries
concentrate on all aspects of management.
♦ Technical guidelines: Standards of planning and implementation in high-income
countries may not be appropriate in low-income countries due to difference in
climate, resource, institutions, attitude priorities, etc. However, relatively little
appropriate guidance is available for low-income countries. Arising from this
uncertainty, officials find themselves ill equipped to plan management strategies,
which are both achievable and avoid unacceptable environmental hazards.
♦ Institutional responsibilities: Though managing wastes effectively is the responsibility
of the municipality, there is no clearly stated vision of management (i.e. sufficient
priority is not given to SWM). Existing vision is accompanied by a typical apathy to
solid waste is an “out of sight is out of mind” attitude by the municipalities and
public because of strict rule and regulations are not implemented just like as in
prevention of emission of water and air pollutants. Waste management necessities
the co-ordination of all authorities concerned and may involve departments that
are accustomed to acting independently but the lack of accountability in all levels
of management. Among the authorities, the roles and responsibilities of different
departments need to be clearly defined and accepted by all concerned. Some
smaller towns may not have staff with specific responsibility for providing a solid
waste management service.
654 Urban Legal and Policy Frameworks

Waste Generation
Waste generation encompasses activities in which materials are identified as no longer
being value (in their present form) and are either thrown away or gathered together for
disposal. Waste generation at present is not very controllable. However, reduction of
waste at source is included in system evaluations as a method of limiting the quantity of
waste generated. The compositional terms that are used can vary a lot, from relatively
simple descriptions in terms of organic to more complicated schemes, using many or all
of the constituents, such as paper, plastic, glass, metal etc. The composition of the
waste is a description of the contents of the waste. In addition to providing important
information about the way to handle the waste, the composition tells us about the
people who generated the waste. Waste handling and sorting involves activities associated
with management of waste until they are placed in storage containers for collection.
Handling also encompasses the movement of loaded containers to the point of collection.
♦ Sorting is an important component of waste management and best-done onsite.
However, there are various stages of sorting. These can be identified as the following:
- At the source or household level
- At the community bin (municipal bin)
- At transfer station or centralised sorting facility
- At waste processing site (pre-sorting and post-sorting)
- At the landfill site
♦ Sorting Operations can be carried out in three ways:
- Manual sorting
- Semi-mechanised sorting
- Fully mechanised sorting
♦ Onsite storage is of prime importance because of public health concerns. Open
ground storage, makeshift containers should always be avoided and only closed
containers should be used. Processing at the source involves backyard composting.
Storage of such waste can be done at three levels:
- At source
- At community level
- At transfer stations
Collection
This includes gathering the solid waste and recyclable materials and transport of these
materials to either the processing facility, transfer facility or the disposal site. Types of
Collection are;
i) Community bins - they are placed in convenient locations, where the community
members carry the waste and throw it in. This method is comparatively cheaper
Public Services Management 655

than other methods. This is the most widely adopted method in western countries.
For this method to be adopted it is important that the bins are covered, they are
aesthetic, they are attended to regularly, kept clean, easy to handle and separate
bins are provided for recyclable, mixed, paper and biodegradable waste.
ii) Door-to-Door collection – The waste is placed at the doorstep at a set time when the
waste collector arrives. In this method, it is the collector of the waste has the
responsibility to collect the waste separately. This method is very convenient for
the householder, however requires homeowner cooperation and scheduled service
for homeowner cooperation.
iii) Block collection - The collection vehicles arrive at a particular place or a set day
and time to collect waste from the households. Households bring their waste
containers and empty directly into the vehicle. This method requires a higher
homeowner cooperation and scheduled service for homeowner cooperation.
iv) Curb side collection – The homeowner is responsible for placing the containers to be
emptied at the curb on the collection day and for returning the empty containers to
their storage location until the next collection.
v) Street cleansing is another type of collection method mainly for collection of street
litter.

Sorting, processing and transformation of Solid Waste

This functional unit encompasses the recovery of the sorted materials, processing of
solid waste and transformation of solid waste that occurs primarily in locations away
from the source of waste generation. Sorting of the mixed waste usually occurs at a
material recovery facility, transfer stations, combustion facilities and disposal sites.
Sorting includes separation of bulky items, separation of waste components by size using
screens, manual separation of waste components, and separation of ferrous and non-
ferrous metals. Waste processing and transformation solid waste processing reduces the
amount of material requiring disposal and, in some cases produces a useful product.
Examples of solid waste processing technologies include material recovery facilities,
where recyclable materials are removed and/or sorted; composting facilities where
organics in solid waste undergo controlled decomposition; and waste-to-energy facilities
where waste becomes energy for electricity. Land filling continues to be required even
if solid waste processing technologies are employed because all of these technologies
produce some sort of residue or handle only a portion of the waste stream. For example,
land filling is still required for ash and bypass waste (waste that can’t be burned) from
waste to energy facilities. Thus, solid waste processing technologies do not replace land
filling rather they are a part of an integrated system that reduces the amount of material
that requires landfill disposal. The different types of processing techniques are given
below:

Recycling and reuse - The process, by which materials otherwise destined for disposal
are collected, reprocessed or remanufactured and are reused. The recycling and reuse
656 Urban Legal and Policy Frameworks

(the use of a product more than once in its same form for the same or other purpose)
sector of waste management in cities of Asian developing countries is potentially high.
Its economic assessment is a difficult task since it is practiced in an informal way.

Composting is a biological process of decomposition carried out under controlled conditions

of ventilation, temperature, moisture and organisms in the waste themselves that convert
waste into humus-like material by acting on the organic portion of the solid waste. It
produces a sludge, which is high in nutrients and can be used as a fertiliser. This is one
element of an integrated solid waste management strategy that can be applied to mixed
municipal solid waste (MSW) or to separately collected leaves, yard waste or food waste.
There are various methods of composting, which are:
a) Bangalore method - This is an anaerobic method conventionally carried out in pits.
The waste and the soil is alternatively laid out in layers and then is covered with a
solid layer to prevent flies, odour and water seepage. This material is allowed to
decompose for 4 to 6 months after which the stabilised material is taken out and
used as compost.
b) Indore method - This method is similar to Bangalore method, however to ensure
aerobic condition the material is turned at specific intervals. A first turn is given
manually after 4-7 days. The 2nd turn is given after 5-10 days and further turning is
normally not required and the compost is ready in 2 to 4 weeks.
Windrow composting: It is a common method of composting, it involves the stabilisation
of organic solid waste through aerobic degradation. The waste is piled in heaps with
approximately a height of 3 m, width of 1.5 m and varying lengths. The waste is left for
60 days for decomposition with weekly turnings to aerate the heaps. After which, it can
be sieved and the compost is obtained.
Vermicomposting: It is a comparatively new method of composting, it involves the
stabilisation of organic solid waste through earthworm consumption that converts the
material into earthworm castings. Vermin-composting is the result of combined activity
of microorganisms and earthworms. Smaller size aids in faster decomposition of the
waste. Waste of high density reflects a high proportion of biodegradable organic matter
and moisture. Low-density wastes, on the other hand, indicate a high proportion of
paper, plastic and other combustibles. High moisture content causes biodegradable
waste fraction to decompose more rapidly than in dry conditions. It also makes the
waste rather unsuitable for thermo-chemical conversion (incineration, gasification) for
energy recovery, as heat must first be supplied to remove moisture.
Bio-gasification also called bio-methanisation is the process of decomposing biomass
with anaerobic bacteria to produce biogas. This process produces biogas containing
approximately 60:40 mixtures of methane (CH4), and carbon dioxide (CO2) and
simultaneously generating an enriched sludge fertiliser with an energy content of 22.5
MJ/m 3. In Anaerobic digestion (AD) the organic fraction of municipal solid waste offers
the advantage of both a net energy gain by producing methane as well as the production
of a fertiliser from the residuals.
Public Services Management 657

Landfill gas recovery: The waste deposited in a landfill gets subjected, over a period of
time to anaerobic conditions and its organic fraction gets slowly volatilised and
decomposed. This leads to production of landfill gas containing about 45-55% methane,
which can be recovered through a network of gas collection pipes and utilised as a
source of energy.

Thermo chemical conversion: Incineration is one of the most effective means of dealing
with many wastes, which reduces their harmful potential, and often to convert them to
energy form. Incineration is the controlled burning of waste in a purpose built facility.
It involves the process of direct burning of wastes in the presence of excess air at the
temperatures of about 800°C and above. The process sterilises and stabilises the waste.
For most wastes, it will reduce its volume to less than a quarter of the original. Most of
the combustible material is converted into ash and carbon dioxide. In practice, about
65-80% of the energy content of the organic matter can be recovered as heat energy,
which can be utilised either for direct thermal applications, or for producing power.

Gasification: Involves thermal decomposition of organic matter at high temperatures in

presence of limited amounts of air/oxygen, producing mainly a mixture of combustible
and non-combustible gas (carbon monoxide, hydrogen and carbon dioxide).

Functional elements of Municipal Solid Waste Management

To implement proper waste management, various aspects have to be considered such as
waste generation (source reduction), waste handling and sorting, storage and processing
at the source (onsite storage), collection, sorting, processing and transformation, transfer
and transport, and disposal. Transfer of waste from smaller collection vehicle to a larger
transport vehicle and, the subsequent transport of the wastes usually over long distances
to a processing or disposal site. The transfer usually takes place at a transfer station.

Non-engineered disposal: This is the most common method of disposal in low-income

countries, which have no control, or with only slight or moderate controls. They tend to
remain for longer time and environmental degradation could be high, include mosquito,
rodent and water pollution, and degradation of the land.

Sanitary Landfill is a fully engineered disposal option, which avoids harmful effects of
uncontrolled dumping by spreading, compacting and covering the wasteland that has
been carefully engineered before use. The four minimum requirements for setting up a
sanitary landfill are full or partial hydrological isolation, formal engineering preparation,
and permanent control and planned waste placement and covering. Land filling relies on
containment rather than treatment (for control) of wastes. Appropriate liners for
protection of the groundwater, leachate collection and treatment, monitoring wells and
appropriate final cover design are integral components of an environmentally sound
sanitary landfill.
658 Urban Legal and Policy Frameworks

Municipal Solid Waste Management systems in India

♦ The Ministry of Environment and Forests: The Ministry of Environment and Forests
is responsible for general aspects related to waste management, and draws up,
coordinates the environmental policy and overseas the implementation of the federal
legislation regarding waste management.
♦ Central Pollution Control Board: Coordinate the activities of the State Pollution
Control Boards and provide technical assistance and training to the personnel.
Disseminate information sponsor research relating to waste management. To perform
functions prescribed by the Government.
♦ State Pollution Control Board: Plans a comprehensive programme for the prevention,
control or abatement of air pollution and water pollution. To inspect, at all reasonable
times, any control equipment or process. Prior to installation of a landfill or
incinerator, permission from SPCB must be obtained.
♦ City Corporation: City Corporation issues permits and creates policy for waste
management. Provides waste management services or operates disposal, recycling,
or composting facilities. Often contracts out services to the private sector.
♦ Private Formal Sector : participates in performing the functions of collection and
transportation of the waste and may operate disposal, transfer and recycling
facilities.
♦ Private Informal Sector : collection of the recyclable waste, transfer to the recycling
facility and recycling of waste.
♦ Donor Agency: helps in sponsoring of innovative projects and projects in low-
income areas.
♦ Service Users - The people who use the service of municipal waste management.

32.4 Recycling
The recycling sector in India has been in operation since the 1960’s and while only a
fraction of the total plastic waste is being recycled in most western countries around
75% of the plastic wastes are recycled in India. Rag pickers mainly carry out the recycling
process in India and they play a vital role in the economy of solid waste recycling
process. They feed the need of the intermediary buyers, who, in turn, meet the demand
of factories using recyclable solid waste as raw materials. However, the rag pickers do
not have sufficient protection and are exposed to waste and sometimes even the hazardous
waste present in MSW. A study carried out in 2003 has shown that 75 per cent rag pickers
have upper and lower respiratory symptoms.5 Even the quality of the successively recycled
products in the informal sector in terms of their (i) physical appearance (ii) polymeric
properties (iii) health hazards (for the recyclers and users of such products involved) are
in serious question.

5
Bani Bhattacharya (March 15th 2005) Yet, life’s in tatters, Down to Earth, pp. 4
Public Services Management 659

Another aspect to be noted is that plastic carry bags and PET do not figure in the list of
priorities for rag pickers, because collecting them is not profitable. This is primarily
because the rewards do not match the efforts required for collection, and this leads to
plastic bags and PET continuing to pose a major threat to the environment.

Composting
Composting urban waste in India has a long history. Sir Albert Howard developed the
Indore process nearly 75 years ago by systemising the traditional process that was carried
out in India. Government intervention to promote this practice can be traced to the
1940s and the early 1970s, when the national government initiated a scheme to revive
urban composting. However, centralised large-scale composting plants in urban areas
promoted in the 1970s proved to be uneconomical. Only a few installations are currently
still operational due to high operating and transport costs and the poorly developed
market for compost, the expected profits could not be realised as planned. Composting
of mixed waste also had a negative effect on compost quality and, thus, on its acceptance
by farmers.

From 1990’s decentralised composting schemes have been implemented by NGO’s with
the help of international funding. The decentralised composting schemes became very
popular and widespread in a short span of time. Various types of composting have been
adopted by these schemes e.g. Bin-composting, Shallow windrow, Pit composting and
Vermin- composting. However, the maintenance of such schemes proved to be difficult
because the household involvement was sporadic, as many people believe that it is the
municipal corporation’s responsibility to collect waste and do not want to make additional
payments. This study states that though decentralised composting has more advantages
than centralised composting, the market for MSW compost is limited and is rarely
financially competitive to heavily subsidise chemical fertilisers and traditional cow
dung or poultry manure.

However, in Class II, Class III and Class IV cities an urban agricultural set up exists and
functions, where there is optimal use of municipal solid waste. The farmers buy the
organic waste from the municipality at very low costs and use it as manure. There are
also companies that have taken over the responsibility segregating, decontaminating
and composting MSW. This high quality compost is then sold to the farmers at a very high
cost compared to the raw MSW. It has been observed that the farmers prefer the raw
MSW to the processed high quality compost, because the latter is too expensive.

Currently, there are few large-scale composting plants around India that are running
successfully. For e.g. composting plant in Hyderabad run by AP technology development
and promotion center (intake of 200 MT/day, composting plant in Vijaywada by Excel
Industries (intake of 125 MT/day), composting plant in Bangalore by Karnataka Compost
Development Authority (KCDC)(intake of 300 MT/day) and composting plant in Bangalore
by Terra Firma Bio-technologies (100 MT capacity).6
6
Garibay, S. V. and Jyothi, K., 2003. Market Opportunities and Challenges for Indian Organic Products.
Research Institute for Organic Agriculture and AC Nielson ORG-MARG.
660 Urban Legal and Policy Frameworks

Anaerobic Digesters
Biogas is a successful renewable energy technology developed and disseminated in India,
second only to improved wood stoves in its spread. Biogas was first introduced to India
as an alternative to piped natural gas in 1897 for providing gas-based illumination. The
superiority of biogas slurry both as manure as well as compost starter and the cleanliness
of the process has been emphasized in several publications of the Indian Agricultural
Research Institute (IARI) and other agricultural institutions in the country.7 However,
biogas production has been restricted mostly to rural areas (with cattle dung) and in
urban areas (with sewage). The anaerobic digesters used in the rural areas are simple
in design and to maintain, but they require constant monitoring and are less efficient.
The complex digesters on the other hand, are designed to automatically adjust when
environmental conditions change, such as would occur with the feedstock. These are
used in developed nations to treat unpredictable waste flows and such digesters would
be suitable for processing of MSW. Many studies have been conducted on the use of MSW
for production of Biogas. One of the studies suggests that by having decentralised
anaerobic digesters in the localities, the odour problem caused by MSW from bins and
during long transportation distances can be minimised. In India, not many large-scale
bio-methanisation plants using MSW have been set up. One of the few bio-methanation
plants set up was in Lucknow that consumed 300 MT/day of MSW to generate 75 MT/day
of organic manure and 5.1 MW of electricity. This plant was recently shut down, and the
main cause for failure was the intake of un-segregated waste.

32.5 Policy/Rule
The Johannesburg World Summit on Sustainable Development8 in 2002 focused on
initiatives to accelerate the shift to sustainable consumption and production, and the
reduction of resource degradation, pollution and waste. The priority was given to waste
minimisation, recycle and reuse followed by the safe disposal of waste to minimise
pollution. The government of India started encouraging proper management of solid
waste as early as 1960’s by giving loans for setting composting plants for MSW. The
government of India over the years has taken many initiatives and implemented new
technologies and methods. With rapid urbanisation, the problem of MSWM has compounded
and India is awakening to the magnitude of the problem. Due to increased public awareness
of MSWM, a public litigation was filed and resulted in the Municipal Solid Waste
(Management and Handling) Rules, 2000. The government for the first time now has
included private organisations in providing this public service. New methods of storage,
collection, transportation, processing and disposal are being implemented. It is necessary
to evaluate the current process at this stage to understand if the methods being
implemented are suitable for the Indian scenario and to identify the lacuna in the
methods being adopted.

7
Channakya, H. N., Jagadish.K.S, and Rajabapaiah, P., 2002. Biogas plants: Towards a green and organic
future. Rural Technology- A 25 year Perspective, Silver jubilee Proc. Volume 2.
8
The Johannesburg Declaration on Sustainable Development, September 4, 2002 ec.europa.eu/
environment/archives/wssd/documents/wssd_pol_declaration.pdf
Public Services Management 661

Legislation concerning waste is usually differentiated according to the type of waste.

International conventions often cover nuclear and hazardous waste, whereas non-
hazardous waste, often called solid waste is usually more regulated at the national
level. From an environmental angle the following environmental rules, regulations and
acts would be the most relevant for MSWM:
♦ Solid Waste Management Rules (SWM), 2016, notified by the Ministry of Environment,
Forests and Climate Change replaces the previous Municipal Solid Wastes
(Management and Handling) Rules, 2000. In the said rule, the jurisdiction of the
rules have been extended beyond Municipal area.
♦ The Water (Prevention and Control of Pollution) Act, 1974. Two aspects have to
be kept in mind of this law in regard to MSWM. Firstly, consent from the state
pollution control board for establishment of a sanitary landfill site and compost
plant is essential and secondly, no water pollution should be caused by the leachate
that is emitted by the sanitary landfill site or a compost plant.
♦ The Water (Prevention and Control of Pollution) Cess Act, 1977 and amendments
thereon. The only aspect that should be considered in this law in regard to
MSWM is provision for levying and collection of cess on water consumed for the
sanitary landfilling, composting and anaerobic digesters.
♦ The Air (Prevention and Control of Pollution) Act, 1981 and amendments thereon.
The aspects to be considered in this law with respect to MSWM is the need for
obtaining consent from the State Pollution Control Board for establishment of the
processing plants and disposal site and from an environmental aspect would be the
pollution caused by incineration plants, compost plants and landfill sites.
♦ The Environmental (Protection) Act, 1986 and its subsequent notifications. The
aspect in regard to MSWM would be the EIA notification, 1944, which states that for
any project to be authorised an EIA report should be submitted first.

32.6 Conclusion
Although municipalities should take the lead in improving their MSW management systems,
the problem also has global significance. Climate change and the effects of greenhouse
gas emissions have made such problems one of the most pressing environmental challenges
globally as well as locally. It is well understood that inappropriate MSW management
systems practices, such as improper incineration and uncontrolled disposal of waste, are
major contributors to greenhouse gas emissions: the anaerobic degradation of waste in
landfills produces methane, a gas that is 21 times more potent than carbon dioxide.

Due to various factors like these, in urban areas, especially in the rapidly urbanising
cities of the developing world, problems and issues of MSW management are of immediate
importance. Most governments have acknowledged the importance of MSW management;
however, rapid population growth overwhelms the capacity of most municipal authorities
to provide even the most basic services.
662 Urban Legal and Policy Frameworks

The implementation of MSW management practices benefits both public health and
environmental quality directly and substantially.

The organic, biodegradable component of MSW is important, not only because it

constitutes a sizable fraction of the solid waste stream in a developing country but also
because of its potentially adverse impact on public health and environmental quality.
Impact on environmental quality takes the form of foul odours and unsightliness. These
impacts are not confined merely to the disposal site; they pervade the surrounding area
and anywhere that wastes are generated, spread, or accumulated. Unless organic waste
is managed appropriately, its adverse impact continues until it has fully decomposed or
otherwise stabilised. Poor, inaccessible and marginal urban areas suffer most from
deficiencies in service and infrastructure, thus worsening poverty, ill health, and social
marginalisation. Many factors that vary from place to place must be considered in the
design of a Solid Waste Management (SWM) system.

Public awareness of and attitudes toward waste can affect the entire SWM system. All
steps in SWM — from household waste storage to waste segregation, recycling, collection
frequency, amount of littering, willingness to pay for services, and opposition to the
sifting of treatment and disposal facilities — depend on public awareness and participation.
Thus, awareness and attitudes are crucial to the success or failure of a SWM system.

Institutional issues include current and anticipated legislation and the extent to which
laws are enforced. Standards and restrictions may limit the technological options that
can be considered. Government policy on the role of the private sector (formal and
informal) should also be taken into account. The strength and concerns of trade unions
can also have an important influence on what can be done.

MSW collection schemes of cities in the developing world generally serve only a limited
part of the urban population. Operational inefficiencies, inappropriate technologies, or
deficient management capacity of the institutions involved also give rise to inadequate
service levels. With regard to the technical system, often the conventional collection
approach developed and used in industrial countries is applied.

Recycling of inorganic materials from MSW is often well developed through the activities
of the informal sector. Some key factors that affect the potential for resource recovery
are the cost of separating recyclable material and the separated material, its purity, its
quantity, and its location. The costs of storage and transport are major factors that
determine the economic potential for resource recovery. Recycling is often well established
in the informal sector because it is done in a very labour-intensive way and provides
very low incomes.

Waste disposal sites are, therefore, also subject to growing opposition, and it is becoming
increasingly difficult to find new sites that meet public approval and are located a
reasonable distance from the collection area. Sitting landfills at greater distances from
the central collection areas implies higher transfer costs, as well as additional investments
in road infrastructure, hence intensifying the financial problems of the responsible
Public Services Management 663

authorities. Any increase in service coverage will aggravate the disposal problem, if the
amount of waste cannot be reduced by waste recovery.

The safe alternative is a sanitary landfill, where solid wastes are disposed of at a carefully
selected location that is constructed and maintained using engineering techniques that
minimise pollution of air, water, and soil and other risks to people and animals.

A more systematic way of thinking and looking at waste management is provided by an

approach called sustainable and integrated solid waste management. Sustainable and
integrated SWM puts into a focal matrix the urgent planning aspects including the
environmental, socio-cultural, institutional, political and legal aspects as well as the
important role of stakeholders (rag pickers, the informal recycling sector, small-scale
enterprises, women heads of household) and the other elements of the waste management
system, such as prevention, reuse and recycling, collection, street sweeping and disposal.

Sustainable and integrated SWM is an integral part of good local governance because
it is one of the most visible urban services influencing local perceptions of governance.
It is conducted in a transparent and accountable manner to minimise opportunities for
corruption and unwarranted political interference.

Sustainable and integrated SWM recognises that willingness to pay is affected by

perceptions of the service quality received and by the involvement of stakeholders in
decision making; it therefore places high priority on keeping stakeholders informed
about and involved in issues and proposals. Furthermore, it looks for ways to enable
communities to be responsible and for individuals to take action in ways that build
public cooperation with the service. Sustainable and integrated SWM provides workers
with uniforms and safe working conditions and defines clear collection routes and
verifiable performance tasks and outputs. To do so, it establishes management information
systems that enable cost- effective accounting and overall cost-related performance
monitoring. Sustainable and integrated SWM provides economical service delivery and
establishes cost-recovery mechanisms for long-term sustainability. A modern SWM
programme can be implemented for a reasonable cost.

Sustainable and integrated SWM involves environmental impact assessment and public
involvement for all new transfer, treatment and disposal facilities, and it ensures that
those facilities are designed to meet environmentally cost-effective discharge and impact
standards. It monitors the emissions and environmental changes related to all waste
storage, handling and disposal activities and uses systems to track and document
hazardous waste. Those systems ensure that significant quantities are not mixed with
other waste but are instead taken to secure facilities for treatment and disposal.
Sustainable and integrated SWM embraces public participation: planning and operations
are participatory and enable continuous feedback from those involved in receiving and
in providing service. It sensitises the public to environmental issues, occupational
health and safety issues, waste minimisation opportunities, and the values of recycling
and resource recovery. Adequate local authority and autonomy is provided to enable
good municipal governance
664 Urban Legal and Policy Frameworks

of the solid waste sector and self-sustainable financing and cost recovery. Sustainable
and integrated SWM also allows local governments to enter multiyear private sector
arrangements that match periods of depreciation for investments and that strengthen
local capacity in planning, operation and rationalisation of operations.

32.7 References and Recommended Readings

Municipal solid waste management in Chennai city, India s. Esakku, a. Swaminathan, o.
Parthiba karhtikeyan, j. kurian and k. Palanivelu. Loyola institute of technology, Chennai
– 602 103, India.
Report of the committee set up to frame National Sustainable Habitat Standards for the
Municipal Solid Waste Management.
Improving Municipal Solid Waste Management in India-A Sourcebook for Policy Makers
and Practitioners Da Zhu, P. U. Asnani, Chris Zurbrügg Sebastian Anapolsky, Shyamala
Mani.
Environmental Audit of Municipal Solid Waste Management by T. V. Ramachandra and
Shruthi Bachamanda; Energy and Wetlands Research Group, Centre for Ecological Sciences,
Indian Institute of Science, Bangalore.
Improving Municipal Solid Waste Management in India: A Sourcebook for Policy Makers
and Practitioners, Published by World Bank, Washington, DC, USA (2008) ISBN: 978-0-
8213- 7361-3.
Garibay, S. V. and Jyothi, K., 2003. Market Opportunities and Challenges for Indian Organic
products. Research Institute for Organic Agriculture and AC Nielson ORG-MARG.
Channakya, H. N., Jagadish.K.S, and Rajabapaiah, P., 2002. Biogas plants: Towards a
green and organic future. Rural Technology- A 25 year Perspective, Silver jubilee Proc.
Volume 2.
Website referred urbanindia.nic.in/publicinfo/swm/chap2.pdf http://www.unep.or.jp/
ietc/estdir/pub/msw
Public Services Management 665

UNIT 33
MANAGING CITY WASTE :
BIOMEDICAL WASTE
Contents
33.1 Introduction 665
33.2 Impact 667
33.3 Biomedical Waste Management 668
33.4 Policy/Rule 678
33.5 Conclusion 681
33.6 References and Recommended Readings 682

33.1 Introduction
Biomedical waste means any solid and/or liquid waste including its container and any
intermediate product, which is generated during the diagnosis, treatment or immunisation
of human beings or animals or in research pertaining thereto or in the production or
testing thereof. The physico-chemical and biological nature of these components, their
toxicity and potential hazard are different, necessitating different methods / options
for their treatment / disposal. Health-care waste can cause serious harm if not managed
properly. For example, in 2000, WHO1 estimated that injections with contaminated syringes
caused 21 million hepatitis B virus (HBV) infections (32% of all new infections), two
million hepatitis C virus (HCV) infections (40% of all new infections) and 260,000 HIV
infections (5% of all new infections). In addition, health-care activities generate significant
amounts of hazardous waste such as mercury and expired pharmaceuticals, as well as
large amounts of general waste.

Bio-Medical Waste Management Rules 2016 defines “Bio-medical waste” as “any waste,
which is generated during the diagnosis, treatment or immunisation of human beings or
animals or research activities pertaining thereto or in the production or testing of
biological or in health camps, including the categories mentioned in Schedule I appended
to these rules. Schedule I of the Bio-Medical Waste Management Rules 2016, specify
Biomedical wastes categories and their segregation, collection, treatment, processing
and disposal options.

1
Ernesto Iadanza, Clinical Engineering Handbook, Pg 251
666 Urban Legal and Policy Frameworks

Components of Bio-medical waste2

i) Human anatomical waste (tissues, organs, body parts etc.),
ii) Animal waste (as above, generated during research/experimentation, from
veterinary hospitals etc.)
iii) Microbiology and biotechnology waste, such as, laboratory cultures, micro-organisms,
human and animal cell cultures, toxins etc.
iv) Waste sharps, such as, hypodermic needles, syringes, scalpels, broken glass etc.
v) discarded medicines and cyto-toxic drugs
vi) soiled waste, such as dressing, bandages, plaster casts, material contaminated with
blood etc.
vii) Solid waste (disposable items like tubes, catheters etc. excluding sharps)
viii) Liquid waste generated from any of the infected areas
ix) Incineration ash
x) Chemical waste
Biomedical waste is the infectious waste generated from hospitals and laboratories.
Improper management of waste generated in health care facilities causes a direct health
impact on the community, the health care workers and on the environment. The waste
generated in these institutions essentially consists of solids and liquid, which may be
hazardous, infectious and non-infectious. It has been estimated that up to 75% to 90%of
the waste in hospitals is non-infectious (free from microbes and has not been in contact
with any body fluids, which is similar to domestic waste). It is the remaining 10% to 25%
of waste that is of concern because it is hazardous and infectious. 3 Currently,
approximately 20% to 40% of hospital waste can be recycled, but many hospitals recycle
only 10% leaving tremendous scope for improvement. In addition, waste that is un-
segregated and not treated in the right manner would cause environmental pollution
affecting the health of the community. Many health care institutions dump their infectious
waste, along with the rest of the non-infectious waste, in the municipal garbage systems.
The segregation system may also not be changed to reduce the incinerable waste and
ensure proper colour-coding. Another category of waste is the untreated disposable and
single-use items like syringes, IV catheters, medicine containers and wrappers. These
too find their way into the garbage dumps, posing a serious risk to public health as well
as a risk of scavenging.

Hospital waste still finds its way to road side heaps of rubbish, where it mixes with
municipal solid waste rendering it hazardous for the environment and the public. Even
animals are not spared; stray cattle near dumpsters ingest polythene packets and sharps

2
Schedule I of the Bio-medical Waste (Management and Handling) Rules, 1998.
3
Safe management of wastes from health-care activities; WHO, Geneva (1999). This report is available
at following link: http://www.healthcarewaste.org/fileadmin/user_upload/resources/ Safe-HCWM-
WHO-1999.pdf
Public Services Management 667

and die from internal haemorrhage. Many of the stray animals, taken to the municipality
animal house, have died due to intestinal obstruction and haemorrhages, as revealed by
post-mortem reports. Toxic emissions like dioxins, furan gases and carbon and sulphur
particles from defective/inefficient incineration of chlorinated plastics from medical
waste, cause modulation and disruption of growth factors, hormones, enzyme and
developmental process.

33.2 Impact
Medical care is vital for our life, health and wellbeing. But the waste generated from
medical activities can be hazardous, toxic and even lethal because of their high potential
for diseases transmission. The hazardous and toxic parts of waste from health care
establishments comprising infectious, biomedical and radio-active material as well as
sharps (hypodermic needles, knives, scalpels etc.) constitute a grave risk, if these are
not properly treated/disposed or is allowed to get mixed with other municipal waste.4
Its propensity to encourage growth of various pathogen and vectors and its ability to
contaminate other non-hazardous/non-toxic municipal waste jeopardise the efforts
undertaken for overall municipal waste management. The rag pickers and waste workers
are often worst affected, because unknowingly or unwittingly, they rummage through
various kinds of poisonous material while trying to salvage items which they can sell for
reuse. At the same time, this kind of illegal and unethical reuse can be extremely
dangerous and even fatal. Diseases like cholera, plague, tuberculosis, hepatitis (especially
HBV), AIDS (HIV), diphtheria etc. in either epidemic or even endemic form, pose grave
public health risks. Unfortunately, in the absence of reliable and extensive data, it is
difficult to quantify the dimension of the problem or even the extent and variety of the
risk involved. With a judicious planning and management, however, the risk can be
considerably reduced. Studies have shown that about three fourth of the total waste
generated in health care establishments is non- hazardous and non-toxic. Some estimates
put the infectious waste at 15% and other hazardous waste at 5%. Therefore with a
rigorous regime of segregation at source, the problem can be reduced proportionately.
Health hazards associated with poor management of Biomedical waste
i) Injury from sharps to staff and waste handlers associated with the health care
establishment.
ii) Hospital Acquired Infection (HAI) of patients due to spread of infection.
iii) Risk of infection outside the hospital for waste handlers/scavengers and eventually
general public.
iv) Occupational risk associated with hazardous chemicals, drugs etc.
v) Unauthorised repackaging and sale of disposable items and unused/date expired
drugs.

4
Solid Waste Management Manual; available on website of Ministry of Urban Development, Govt. of
India at following link: http://urbanindia.nic.in/publicinfo/swm/swm_manual.htm#
668 Urban Legal and Policy Frameworks

Environmental Concerns
The following are the main environmental concerns with respect to improper disposal of
biomedical waste management:
♦ Spread of infection and disease through vectors (fly, mosquito, insects etc.) which
affect the in-house as well as surrounding population.
♦ Spread of infection through contact/injury among medical/non-medical personnel
and sweepers/rag pickers, especially from the sharps (needles, blades etc.).
♦ Spread of infection through unauthorised recycling of disposable items such as
hypodermic needles, tubes, blades, bottles etc.
♦ Reaction due to use of discarded medicines.
♦ Toxic emissions from defective/inefficient incinerators.
♦ Indiscriminate disposal of incinerator ash/residues.

33.3 Biomedical Waste Management

With due planning and management, not only is the waste generation reduced, but
overall expenditure on waste management can be controlled. Institutional/Organisational
setup, training and motivation are given great importance in today’s day and age.
Proper training of health care establishment personnel at all levels coupled with sustained
motivation can improve the situation considerably. The Government of India notified
the “Biomedical Waste Management Rules, 2016” in supersession of the Biomedical Waste
(Management and Handling) Rules, 1998. Biomedical Waste Management Rules, 2016
encompass several changes and additions to further improve the collection, segregation,
processing, treatment and disposal of the biomedical wastes in an environmentally
sound manner. The rules mandated bar code system for proper control. Recently Bio-
Medical Waste Management Rules, 2016 have been amended vide Bio-Medical Waste
Management (Amendment) Rules, 2018.

Salient features of Bio-Medical Waste Management (Amendment) Rules, 2018 are as

follows:
1) Bio-medical waste generators including hospitals, nursing homes, clinics,
dispensaries, veterinary institutions, animal houses, pathological laboratories, blood
banks, health care facilities, and clinical establishments will have to phase out
chlorinated plastic bags (excluding blood bags) and gloves by March 27, 2019.
2) All healthcare facilities shall make available the annual report on its website within
a period of two years from the date of publication of the Bio-Medical Waste
Management (Amendment) Rules, 2018.
3) Operators of common bio-medical waste treatment and disposal facilities shall
establish bar coding and global positioning system for handling of bio-medical waste
in accordance with guidelines issued by the Central Pollution Control Board by March
27, 2019.
Public Services Management 669

4) The State Pollution Control Boards/ Pollution Control Committees have to compile,
review and analyse the information received and send tis information to the Central
Pollution Control Board in a new Form (Form IV A), which seeks detailed information
regarding district-wise bio-medical waste generation, information on Health Care
Facilities having captive treatment facilities, information on common bio-medical
waste treatment and disposal facilities.
5) Every occupier, i.e. a person having administrative control over the institution and
the premises generating biomedical waste shall pre-treat the laboratory waste,
microbiological waste, blood samples, and blood bags through disinfection or
sterilization on-site in the manner as prescribed by the World Health Organization
(WHO) or guidelines on safe management of wastes from health care activities and
WHO Blue Book 2014 and then sent to the Common bio-medical waste treatment
facility for final disposal.

Medical waste management requires commitment from persons at all the levels in the
health care facility. According to World Health Organisation, the human element is more
important than technology in this field. Almost any system requires treatment and disposal
by well-trained and well-motivated staff. A system that is managed by staff who does not
understand the risks and the importance of their “contribution” is dangerous. Awareness
regarding rules of disposal of biomedical waste needs to be instilled even among qualified
medical personnel, including superintendents of hospitals and hospital administrators.

Proper handling may appear a costly affair, but it should always be remembered that at
least 30%-40% of “add on” morbidity takes place because of improper disposal of hospital
waste. A health care facility defeats the very purpose of its existence, if it adversely
affects the health of its staff and community.

Individual laboratory principal investigators and/or department managers/supervisors

are responsible for developing Standard Operating Procedures (SOPs) for identifying,
segregating, and/or decontaminating infectious waste prior to disposal. These individuals
are also responsible for ensuring that these SOPs are followed and that their staff is
adequately trained to handle bio-hazardous materials/infectious waste.

Custodial Services or Environmental Services, where appropriate, is responsible for

transporting treated and properly packaged infectious and sharps waste to the appropriate
disposal area.

Property and Transport Services is responsible for developing and maintaining disposal
contracts for sharps waste, infectious waste and treated infectious waste, and are
responsible for all communication with contracted vendor services.

Segregation of liquid infectious/biomedical waste

Liquid infectious/biomedical waste is segregated and contained in leak proof, rigid
containers. These containers are labelled with the biohazard symbol and the word
“Biohazard.” Liquid waste is decontaminated at the site of generation with a University
670 Urban Legal and Policy Frameworks

approved chemical decontamination agent. If transport is required before

decontamination, transport through public hallways is kept to a minimum. The primary
container must be placed within a secondary leak proof, rigid container (e.g., pail, box,
or bin) during any transport. This secondary container must be labelled with the biohazard
symbol and the words “bio-hazardous waste” or words that clearly denote the presence
of infectious/ biomedical waste. The outer container is either protected from
contamination by a disposable liner, which is replaced when the bio-hazardous waste is
removed, or the outer container is decontaminated following each use. Solid infectious/
biomedical waste is segregated and contained in red or orange disposable, leak up roof
bags having enough strength to prevent ripping, tearing, breaking, or bursting under
normal use. These red or orange bags are marked with the biohazard symbol and the
word “Biohazard”. Waste contained inside biohazard bags is stored and transported
within leak proof outer secondary containers (e.g., pail, box, or bin). This container
must be labelled with the biohazard symbol and the words “bio-hazardous waste”. The
outer container is either protected from contamination by a disposable liner, which is
replaced when the bio-hazardous waste is removed, or the outer container is
decontaminated following each use.

Incinerator
If an incinerator is operating within the hospital campus, then the incinerator ash produced
every day has to be weighed. This can be done once a day. At the same time the total
waste incinerated every day has also to be recorded. This is a high temperature thermal
process employing combustion of the waste under controlled condition for converting
them into inert material and gases. Incinerators can be oil fired or electrically powered
or a combination thereof. Broadly, three types of incinerators are used for hospital
waste: multiple hearth type, rotary kiln and controlled air types. All types can have
primary and secondary combustion chambers to ensure optimal combustion. In the
multiple hearth incinerators, solid phase combustion takes place in the primary chamber
whereas the secondary chamber is for gas phase combustion.

Autoclave treatment
This is a process of steam sterilisation under pressure. It is a low heat process in which
steam is brought into direct contact with the waste material for duration sufficient to
disinfect the material. These are also of three types: Gravity type, Pre-vacuum type and
Retort type. In the first type (Gravity type), air is evacuated with the help of gravity
alone. The input material is first put through a shredder. The shredded material is
pushed to a treatment chamber where it is moistened with high temperature steam. The
material is then carried by a screw conveyor beneath a series of conventional microwave
generators, which heat the material to 95-100 deg. C. and uniformly disinfect the material
during a minimum residence time of 30 minutes and total cycle is of 50 minutes. A second
shredder fragments the material further into unrecognisable particles before it is
automatically discharged into a conventional / general waste container. This treated
material can be landfilled provided adequate care is taken to complete the microwave
treatment. In the modern version, the process control is computerised for smooth and
Public Services Management 671

effective control. Microwave technology has certain benefits, such as, absence of harmful
air emissions (when adequate provision of containment and filters is made), absence of
liquid discharges, non-requirement of chemicals, reduced volume of waste (due to
shredding and moisture loss) and operator safety (due to automatic hoisting arrangement
for the waste bins into the hopper so that manual contact with the waste bags is not
necessary). However, the investment cost is high at present. This treatment is
recommended for waste sharps, solid and liquid wastes as well as chemical wastes.
Chemical treatment involves use of at least 1% hypochlorite solution with a minimum
contact period of 30 minutes or other equivalent chemical reagents such as phenolic
compounds, iodine, hexachlorophene, iodine-alcohol or formaldehyde-alcohol
combination etc. Pre-shredding of the waste is desirable for better contact with the
waste material.

Disposal mechanism
♦ Deep burial of human anatomical waste is permitted only in rural or remote areas
where there is no access to common bio-medical waste treatment facility (according
to Schedule I of the MoEF rules - Secured landfill).

♦ Animal anatomical waste (under similar conditions as mentioned above) -Only to be

executed in a secured landfill.

♦ Disposal of autoclaved/hydro-calved/micro-waved waste (un-recognisable)–the

recyclables from the treated bio-medical wastes such as plastics and glass, shall be
given to recyclers having valid consent or authorisation or registration from the
respective State Pollution Control Board or Pollution Control Committee.

♦ Disposal of incineration ash - disposed through hazardous waste treatment, storage

and disposal facility, if toxic or hazardous constituents are present beyond the
prescribed limits as given in the Hazardous Waste (Management, Handling and
Transboundary Movement) Rules, 2008 or as revised from time to time.

♦ Disposal of sharps – In case of Needles, Autoclaving or Dry Heat Sterilization followed

by shredding or mutilation or encapsulation in metal container or cement concrete;
combination of shredding cum autoclaving; and sent for final disposal to iron
foundries (having consent to operate from the State Pollution Control Boards or
Pollution Control Committees) or sanitary landfill or designated concrete waste
sharp pit.

General waste
The waste material generated from the office, kitchen, garden, store, chemicals counter
etc., which are non-hazardous and non-toxic, may be taken care of as follows:
♦ Composting of green waste - To be carried to a municipal facility or a private
facility, if available. If suitable land is available, a hospital may consider composting
its green waste within the campus itself taking all precautions regarding health
and hygiene and safety to patients.
672 Urban Legal and Policy Frameworks

♦ Recycling of packaging material (caution - medical supplies such as unused or scantily

used disposable items or those of uncertain history should never be allowed to be
recycled).
♦ Certificate indicating origin and of non-contamination, issued by the concerned
medical authorities of the health care establishment before these wastes are handed
over to the municipality/private operator is essential from the point of safety.
♦ Common treatment facilities are necessary because it is not feasible for smaller
health care establishments to set up a complete treatment and disposal system due
to lack of space and trained manpower, minimum scale of operation and scale of
economy. Even large establishments located in congested or densely populated
areas cannot have such units due to environmental constraints. According to the
rules, different kinds of treatment are required for different components of health
care waste and the post-treatment residues have to be safely disposed. Hence, it is
desirable that every town/city should have at least one common treatment facility,
which may be used by all the units who cannot have their own facility. It can be set
up at the treatment/disposal and landfill site for the municipal garbage, with
adequate precaution and control.

Collection room(s)/intermediate storage area

Where the waste packets/bags are collected before they are finally taken/transported
to the treatment/disposal site are necessary for large hospitals having a number of
departments, laboratories, OTs, wards etc. This is all the more important when the
waste is to be taken outside the premises. Two rooms - one for the general and the other
for the hazardous waste are preferable. In case of shortage of rooms, the general waste
(non-hazardous) can be directly stored outside in dumper containers with lids of suitable
size.
♦ Arrangement for separate receptacles in the storage area with prominent display of
colour code on the wall nearest to the receptacles has to be made. When waste
carrying carts/containers arrive at this area, they have to be systematically put in
the relevant receptacle/designated area.
♦ A shed with fencing should be provided for the carts, trolleys, covered vehicles etc.
used for collecting or moving the waste material. Care has to be taken to provide
separate sheds for the hazardous and non-hazardous waste so that there is no
chance of cross contamination. Both the sheds should have a wash area provided
with adequate water jets, drains, raised platform, protection walls to contain splash
of water and proper drainage system.
♦ The collection containers for biomedical waste have to be sturdy, leak proof, of
adequate size and wheeled. Two wheeled bins of 120-330 litres capacity and four
wheeled bins of 500-1000 litres capacity (IS 12402, Part I, 1988) may be used. The
4 wheeled containers have two fixed wheels and two castors and they are fitted
with wheel locking devices to prevent unwanted rolling. There should be no sharp
edges or corners, especially in metallic bins. For convenience as well as for avoiding
Public Services Management 673

any confusion, the colour code applicable for the bags/containers should also be
used for the bins. Collection timings and duty chart should be put in a prominent
place with copies given to the concerned waste collectors and supervisors. For
general waste from the office, kitchen, garden etc., normal wheel-barrows may be
used.
♦ All attempts should be made to provide separate service corridors for taking waste
matter from the storage area to the collection room. Preferably these corridors
should not cross the paths used by patients and visitors. The waste has to be taken
to the common storage area first, from where it is to be taken to the treatment/
disposal facility, either within or outside the premises as the case may be.
♦ Smaller units, such as, nursing homes, pathological laboratories etc. do not have
many departments/divisions and the generation of waste is small and normally
they do not have treatment facility for the biomedical waste. In their case,
intermediate storage area is not required. They should install a needle cutter and
a small device for cutting plastic tubing, gloves etc. In case, highly infectious
biomedical waste is expected to be generated, they may consider installing a
separate steam autoclave of suitable size exclusively for this purpose.

Establishment of the facility

The common treatment/disposal facility, as the name suggests, would consist of (i) the
treatment unit(s) and (ii) a sanitary/secured landfill for the final disposal of the treated
residues and incinerator ash. The treatment chain, of necessity would consist of a properly
designed incinerator (especially for human anatomical waste) and other systems such as
autoclave/ hydro-clave/ micro-wave unit etc. Chemical treatment units may also be
added if felt necessary.
The treatment part can also be a mobile facility, with the incinerator and the landfill
located conveniently at one place. Usually these are large vans (as shown in the picture)
housing small equipment for size reduction and micro-wave /chemical treatment. The
van moves along a pre-planned route and is occasionally parked in certain zones, where
it receives the biomedical waste and treats the components which, according to the
prevailing rules can be subjected to microwave treatment. Finally it reaches the static
facility for incineration of human anatomical waste and for secured landfilling of mutilated
sharps and other final disposable items.
The concerned medical establishments should establish such facilities by creating a
common pool and platform. Proper planning followed by preparation of a feasibility
report is necessary. The fund for capital investment may be raised by proportional
contribution from participating institutions. The cost of operation and maintenance (O
and M) may be met by monthly billing against advance deposit.
Occupational hazards
The following types of occupational hazards occur/can occur in case of medical/para-
medical personnel or staff involved with cleaning/collection or transportation of waste
etc.:
674 Urban Legal and Policy Frameworks

♦ Accidental cut or punctures from infected sharps such as, hypodermic needles,
scalpels, knives etc.
♦ Contact with infected material like pathological waste, used gloves, tubing etc.,
especially from the operation theatre.
♦ Bedding and dress material of the patient or from the doctors (used during check
up/ surgery etc.)
♦ Contact with stool, urine, blood, pus etc. of the patients during cleaning job.
Safety measures for the medical and para-medical staff
The following instructions need to be notified and strictly adhered to:
♦ Clear directives in the form of a notice to be displayed in all concerned areas.
♦ Issuance of all protective clothes such as, gloves, aprons, masks etc. without fail.
♦ Sterilisation of all equipment and issue of only properly sterilised equipment and
tool, such as, surgical tools to the medical personnel.
The management principles are based on the following aspects:
♦ Reduction/control of waste (by controlling inventory, wastage of consumable items,
reagents, breakage etc.).
♦ Segregation of the different types of wastes into different categories according to
their treatment/disposal options given in Schedule I of the Rules mentioned above.
♦ Segregated collection and transportation to final treatment/disposal facility so
that they do not get mixed.
♦ Proper treatment and final disposal as indicated in the rules.
♦ Safety of handling, full care/protection against operational hazard for personnel at
each level.
♦ Proper organisation and management.

Current issues in management of health care waste

There exist two main issues at present, the recent legislation by the Govt. of India and
implementation of the same at individual health care establishments’ level as well as
whole town/city level. The recent legislation has fulfilled a long standing necessity. Now
the sector has got clear cut guidelines which should be able to initiate a uniform standard
of practice throughout the country. It would be necessary to implement proper biomedical
waste management system for each and every hospital, nursing home, pathological
laboratory etc. Comprehensive management system for each and every health care
establishment has to be planned for optimal techno-economic viability. At the same
time the final disposal for the whole town must not be lost sight of. Since there are a
large number of small and medium health care establishments, common treatment and
disposal facilities are essential.
Public Services Management 675

Recommended labelling and colour coding

These have to be in accordance with Schedule IV of the notified rules. A simple and clear
notice, describing which waste should go to which container and how frequently it has
to be routinely removed and to where, is to be pasted on the wall or at a conspicuous
place nearest to the container. The notice should be in English, Hindi and the predominant
local language. Preferably, it should have drawings correlating the container in
appropriate colour with the kind of waste it should contain. Segregated Storage in
Separate Containers (at the Point of Generation). Each category of waste (according to
treatment options mentioned in Schedule I of the rules) has to be kept segregated in a
proper container or bag as the case may be. Such container/bag should have the following
property:
♦ It must be sturdy enough to contain the designed maximum volume and weight of
the waste without any damage.
♦ It should be without any puncture/leakage.
♦ The container should have a cover, preferably operated by foot. If plastic bags are
to be used, they have to be securely fitted within a container in such a manner
that they stay in place during opening and closing of the lid and can also be removed
without difficulty.

♦ The sharps must be stored in puncture proof sharps containers. But before putting
them in the containers, they must be mutilated by a needle cutter, placed in the
department/ward itself.

The bags/containers should not be filled more than 3/4th capacity.

Attempts should be made to designate fixed places for each container so that it becomes
a part of regular scenario and practice for the concerned medical as well as nursing
staff.
Certification
When a bag or container is sealed, appropriate label(s) clearly indicating the following
information (as per Schedule IV of the Rules) has to be attached. A water-proof marker
pen should be used for writing.

Figure 1: Biohazard symbol

676 Urban Legal and Policy Frameworks

♦ They should be labelled with the ‘Biohazard’ or ‘cyto-toxic’ symbol as the case may
be according to Schedule IV of the rules.

Figure 2: Cytotoxic symbol

♦ The containers should bear the name of the department/laboratory from where
the waste has been generated so that in case of a problem or accident, the nature
of the waste can be traced back quickly and correctly for proper remediation and if
necessary, the responsibility can be fixed.
♦ The containers should also be labelled with the date, name and signature of the
person responsible. This would generate greater accountability.
♦ The label should contain the name, address, phone/fax nos. of the sender as well as
the receiver.
♦ It should also contain name, address and phone/fax nos. of the person who is to be
contacted in case of an emergency.
Such establishments require provision for segregated storage (according to the rules)
which can be packed in sealed containers/sturdy bags and handed over to the agency
carrying them to the common treatment/disposal facility. In case of off-site treatment,
the waste has to be transported to the treatment/disposal facility site in a safe manner.
The vehicle, which may be a specially designed van, should have the following
specifications:
a) It should be covered and secured against accidental opening of door, leakage/spillage
etc.
b) The interior of the container should be lined with smooth finish of aluminium or
stainless steel, without sharp edges/corners or dead spaces, which can be
conveniently washed and disinfected.
c) There should be adequate arrangement for drainage and collection of any run off/
leachate, which may accidentally come out of the waste bags/containers. The floor
should have suitable gradient, flow trap and collection container.
d) The size of the van would depend on the waste to be carried per trip.
e) In case, the waste quantity per trip is small, covered container of 1-2 cu. m.,
mounted on 3 wheeled chassis and fitted with a tipping arrangement can be used.
Public Services Management 677

Different methods have been developed for rendering biomedical waste environmentally
innocuous and aesthetically acceptable but all of them are not suitable for our condition.
Standards for the treatment technologies are given in Schedule II of the Rules, which
must be complied with.

A review of the above schedule would show that there is no single technology, which can
take care of all categories of biomedical waste. A judicious package has to be evolved
for this purpose. For example, small and medium hospitals can opt for local (in house)
disinfection, mutilation/shredding and dedicated autoclaving plus off-site incineration
at a common treatment/disposal facility followed by disposal in sanitary and secured
landfills.

Linkage of Biomedical Waste Management with Municipal Waste Management

At present, the role of the civic body with respect to the management of biomedical
waste is not clearly defined, leading to confusion and laxity from either side. Since
majority of the health care establishments are located within the municipal area, their
waste management naturally has a close linkage with the municipal system. At the same
time, the civic authority is responsible for public health in the whole of the municipal
area. Therefore, the health care establishments must have a clear understanding with
the municipality regarding sharing of responsibilities associated with this issue.

Performance of Biomedical Waste Treatment Facilities in Central Zone

A Common Bio-medical Waste Treatment Facility (CBWTF) is a set up where biomedical
waste, generated from a number of healthcare units, is imparted necessary treatment
to reduce adverse effects that this waste may pose.

There are 198 common bio-medical waste treatment facilities (CBMWF) in operation and
28 are under construction. CBWTFs are having incinerator with other supporting facilities
like autoclave, shredder, chemical treatment, deep burial etc. The Central Pollution
Control Board Zonal Office Bhopal has carried out the monitoring of the facilities. Common
observations and recommendations are given below:
♦ Short-term contract to operate CBWTF should be avoided. Minimum three years’
time period should be given to contractor for running the facility by the State Govt.
/ Nursing Home Association.
♦ In place of CBWTF, only incinerators are being operated in Medical Colleges at
Jabalpur and Gwalior in the heart of city in residential areas. State pollution Control
Board may take action to either get these closes or shift the incinerators away from
residential area with required infrastructure as per CPCB guidelines.
♦ Most of the CBWTFs do not have efficient ETP to treat the wastewater before
discharging into drain/reusing in facility for horticulture or other purpose. They
may be advised to modify the existing ETP/ install the efficient ETP to treat the
wastewater.
678 Urban Legal and Policy Frameworks

♦ Presently none of Health Care facilities in the cities in the central zone have more
than 10,000 beds, therefore, it is desirable to have only one CBWTF in one city,
whereas Bhopal, Indore, Gwalior and Jabalpur have more than one CBWTF. Prescribed
authority of the state may ensure not to allow more CBWTFs in a city.

♦ It was informed by the CBWTFs facilitator that some of the hospitals/nursing

homes are not sending the Biomedical Waste as per the Biomedical Waste Rules.
CBWTFs may inform the prescribed authority in writing, so that appropriate action
could be taken against the defaulting hospitals/nursing homes by the concerned
SPCB.

♦ During the monitoring of incinerators installed in inspected CBWTF, it was observed

that the combustion efficiency varies from 19 to 92%. None of the incinerators are
complying the prescribed norms. SPCB may be advised to instruct these facilities to
maintain the appropriate temperature before feeding the waste, so that the desired
combustion efficiency of the incinerator may be achieved.

33.4 Policy/Rule
Indiscriminate disposal of infected and hazardous waste from hospitals, nursing homes
and pathological laboratories has led to significant degradation of the environment,
leading to spread of diseases and putting the people to great risk from certain highly
contagious and transmission prone disease vectors. This has given rise to considerable
environmental concern. The Government of India has notified “Biomedical Waste
Management Rules, 2016” in supersession of the Biomedical Waste (Management and
Handling) Rules, 1998. These rules are significant for the management and Handling of
biomedical wastes generated from Hospitals, clinics, other institutions for scientific
management of Biomedical Waste. The Biomedical waste means any waste, which is
generated during the diagnosis, treatment or immunisation of human beings or animals
or in research activities pertaining there to or in the production or testing of biological
and including categories mentioned in Schedule I of the Rules. It shall be the duty of
every occupier of an institution generating biomedical waste which includes a hospital,
nursing home, clinic, dispensary, veterinary institution, animal house, pathological
laboratory, blood bank by whatever name called to take all steps to ensure that such
waste is handled without any adverse effect to human health and the environment.
The Segregation, Packaging, Transportation and Storage shall be done as under:-
1) Biomedical waste shall not be mixed with other wastes.
2) Biomedical waste shall be segregated into containers/bags at the points of generation
in accordance with Schedule I prior to its storage transportation, treatment and
disposal. The containers shall be labelled according to Schedule IV.
The State Pollution Control Board is declared as the prescribed Authority for grant of
Authorisation. The Board grants authorisations after satisfying itself.
Public Services Management 679

Every occupier/operator shall submit an annual report to the prescribed authority in

Form II by 31 January every year, to include information about the categories and
quantities of biomedical wastes handled during the preceding year. The prescribed
authority shall send this information in a complied form to the Central Pollution Control
board by 31 March every year.

When any accident occurs at any institution or facility or any other site where biomedical
waste is handled or during transportation of such waste, the authorised person shall
report the accident in Form I to the prescribed authority forthwith. Any person aggrieved
by an order made by the prescribed authority under these rules, may within thirty days
from the date on which the order is communicated to him, prefer an appeal in Form V
to the Secretary (Environment) of the State Government or Union territory administration.
Provided that the authority may entertain the appeal after the expiry of said period of
thirty days if it is satisfied that the appellant was prevented by sufficient cause from
filing the appeal in time.

The first standard on the subject to be brought out in India was by the Bureau of Indian
Standards (BIS), IS 12625 : 1989, entitled ‘Solid Wastes-Hospitals-Guidelines for
Management’ but it was unable to bring any improvement in the situation.

Bio-Medical Waste Management Rules, 2016

The Central Govt. has notified these rules on 28th March, 2016 in exercise of Section 6,
8 and 25 of the Environment (Protection) Act, 1986.
The major salient features of BMW Management Rules, 2016 include the following:-
a) The ambit of the rules has been expanded to include vaccination camps, blood
donation camps, surgical camps or any other healthcare activity;
b) Phase-out the use of chlorinated plastic bags, gloves and blood bags within two
years;
c) Pre-treatment of the laboratory waste, microbiological waste, blood samples and
blood bags through disinfection or sterilisation on-site in the manner as prescribed
by WHO or NACO;
d) Provide training to all its health care workers and immunise all health workers
regularly;
e) Establish a Bar-Code System for bags or containers containing bio-medical waste for
disposal;
f) Report major accidents;
g) Existing incinerators to achieve the standards for retention time in secondary
chamber and Dioxin and Furans within two years;
h) Bio-medical waste has been classified in to 4 categories instead 10 to improve the
segregation of waste at source;
680 Urban Legal and Policy Frameworks

i) Procedure to get authorisation simplified. Automatic authorisation for bedded

hospitals. The validity of authorization synchronised with validity of consent orders
for Bedded HCFs. One time Authorisation for Non-bedded HCFs;
j) The new rules prescribe more stringent standards for incinerator to reduce the
emission of pollutants in environment;
k) Inclusion of emissions limits for Dioxin and furans;
l) State Government to provide land for setting up common bio-medical waste
treatment and disposal facility;
m) No occupier shall establish on-site treatment and disposal facility, if a service of
‘common bio-medical waste treatment facility is available at a distance of seventy-
five kilometre.
n) Operator of a common bio-medical waste treatment and disposal facility to ensure
the timely collection of bio-medical waste from the HCFs and assist the HCFs in
conduct of training.
These rules apply to all those who generate, collect, receive, store, transport, treat,
dispose or handle biomedical waste in any form.
According to these rules, it shall be the duty of every occupier of an institution generating
biomedical waste, which includes hospitals, nursing homes, clinics, dispensaries,
veterinary institution, animal houses, pathology laboratories, blood banks etc., to take
all steps to ensure that such wastes are handled without any adverse effect to human
health and the environment. They have to either set up their own facility within the
time frame or ensure requisite treatment at a common waste treatment facility or any
other waste treatment facility.
Every Occupier is mandated to provide a safe, ventilated and secured location for storage
of segregated bio-medical waste within premises. As per the Bio-Medical Waste
Management (Amendment) Rules, 2018, use of chlorinated plastic bags (excluding blood
bags) and gloves has to be phased out by the 27th March, 2019. Health care workers and
others involved in handling of bio medical waste are to be provided training at the time
of induction and once a year thereafter and records for the same are to be maintained.
Immunization against Hepatitis B and tetanus for workers are to be done. Occupier has
to establish a Bar-Code System for bags or containers containing biomedical waste to be
sent out of the premises by 27th march, 2019 as per the Bio-Medical Waste Management
(Amendment) Rules, 2018. They are required to maintain and update the bio-medical
waste management register daily and display the monthly and annual record on website.
Occupiers are directed to report major accidents like needle stick injuries, broken mercury
thermometer, accidents caused by fire, blasts during handling of biomedical waste and
the remedial action taken and record the same in Form I.
Waste identification and waste control programme for the health care establishments
Waste identification is an important tool of waste control programme. The necessity of
segregation has already been mentioned. The use of colour coding and labelling of
Public Services Management 681

hazardous waste containers provides great assistance in waste separation. Without opening
a container one can easily know about the contents. Therefore, in addition to segregation,
separate transportation and storage is also facilitated. Identification of Various
Components of the Waste Generated.

The 2016 Rules say that such waste shall be segregated into containers/bags at the
point of generation in accordance with Schedule I of the rules prior to its storage,
transportation, treatment and disposal. This would help in easy identification of the
various components of health care waste. All containers bearing hazardous material
must be adequately labelled according to Schedule IV of the Rules.

An Exercise in Waste Control Programme

For larger health care establishments such as hospitals, a comprehensive exercise
needs to be carried out for evolving its own waste management plan/programme,
consisting of the following steps:

♦ Documenting the medical/biomedical practice/procedures carried out by the

particular health care establishment by enlisting categories of waste generated as
per Schedule I of the rules.
♦ Assessing current practices and responsibilities.
♦ Assessing current costs for hazardous waste management.
♦ Developing an effective biomedical waste management policy/plan according to
the Rules and
♦ Implementation of the plan.
It is important to identify the current costs associated with waste management. Purchasing
and inventory practices, for example, must be closely examined to identify the costs
related to the disposables, recyclables etc. All associated materials (e.g. gloves, boots,
brushes, disinfectants etc.), cost of fuel (for incinerator, vehicles), electricity etc. as
well as many hours should be accounted for.

Based on these results, a comprehensive policy should be framed in consonance with the
govt. rules so that due compliance is achieved. An official statement incorporating all
practices from the segregated storage through transportation, treatment and final
disposal should be prepared and widely circulated after due approval.

33.5 Conclusion
Healthcare is one of the fastest growing sectors in India and the push which it is receiving
from the government shows the aggressive plans Indian government has to develop
India into a global healthcare hub. In 2015, Indian healthcare sector became the fifth
largest employer, both in terms of direct as well as indirect employment, with total
direct employment of 4,713,061 people. The sector is expected to generate 40 million
jobs in India by 2030.
682 Urban Legal and Policy Frameworks

The health share of Gross Domestic Product (GDP) is expected to rise 19.7 per cent by
2027, which includes hospitals, pharmaceutical industries, Third Party Administrators
(TPAs) and allied agencies. Being a labour-intensive service industry, education and
awareness intervention on environment friendly health care practices would have a
ripple effect in knowledge dissemination.

As it has been made conspicuously clear that training in proper waste segregation to
health care institutions would have a multiple effect in that:

It would save costs for health care institutions, since the infectious waste would be
properly segregated, waste minimisation and recycling techniques would save resources,
Proper segregation ensures reduction in pollution hazards due to burning of chlorinated
plastics going to the incinerator, generates valuable manure and reduces the city’s
waste burden through organic composting techniques like vermin-composting. Guide
hospitals and health care institutions in the city to keep back-up plans and also build
capacity on environmentally sustainable solutions to send minimum waste for treatment
to outside agencies. The legislative authorities including the pollution control boards
and the government must take adequate action for omission/commission of the state
law. Other facets of waste management must also include a deeper study relating to
elimination of toxics from the health care stream and greening the supply chain.

33.6 References and Recommended Readings

Understanding our civic issues Bio medical Waste - The Bombay Community Public Trust.
Dr Nita Mukherjee.
University of Washington Infectious/Biomedical Waste Management Plan June 2005 By
Members Of UW Infectious Waste Committee, UW Institutional Bio-safety Committee.
Position paper on the solid waste management sector in India- November 2009 Department
of Economic Affairs, Ministry of Finance, Government of India.
Manual For Biomedical Waste Management – Government Medical College & Hospital –
32 Chandigarh
Bio-Medical Waste Management System- 2006- Priti Razdan, Amarjeet Singh Cheema.
Safe management of wastes from health-care activities; WHO, Geneva (1999). This report
is available at following link: http://www.healthcarewaste.org/fileadmin/user_upload/
resources/Safe-HCWM-WHO-1999.pdf
Solid Waste Management Manual; available on website of Ministry of Urban Development,
Govt. of India at following link: http://urbanindia.nic.in/publicinfo/swm/
swm_manual.htm#
“Bio-medical Waste Management Rules Amended to Protect Human Health”: Dr. Harsh
Vardhan on website of Press Information Bureau at following link: https://pib.gov.in/
Pressreleaseshare.aspx?PRID=1526326
New Bio-Medical Waste Management Rules Notified on website of Press Information
Bureau at following link: https://pib.gov.in/newsite/PrintRelease.aspx?relid=138353
Public Services Management 683

UNIT 34
INTRODUCTION TO MANAGING
DISASTERS
Contents
34.1 Introduction 683
34.2 Types of Disasters 685
34.3 Managing Disasters 692
34.4 Conclusion 695
34.5 References and Recommended Readings 697

34.1 Introduction
The term ‘disaster’ has been taken from a French word ‘Desastre’ (French ‘des’ means
bad and ‘astre’ means star) meaning bad evil star. A disaster whether natural or human
induced, is an event which results in widespread human loss. It can be natural or a man-
made event that results in a serious disruption of the functioning of society, which
results in unprecedented threat, loss and damage to human life, property and/or
environment in a defined area.

A disaster is a natural or man-made (or technological) negative event that has come to
fruition, resulting in an event of substantial extent causing significant physical damage
or destruction, loss of life, or drastic change to the environment. It defined as any tragic
event with great loss stemming from events such as earthquakes, floods, catastrophic
accidents, fires, or explosions. It is a phenomenon that causes huge damage to life,
property and destroys the, social and cultural life of people.

Some important definitions

Emergencies, Disasters and Catastrophes are not gradients, they are separate, distinct
problems that require distinct strategies of response.

I) Hazard: A hazard can be defined as a threatening event. It is a situation which

poses a level of threat to life, health, property, or environment. It is a dangerous
condition or events that threaten or have the potential for causing injury to life
or damage to property or the environment.
Contd...
684 Urban Legal and Policy Frameworks

Hazards are part of the environment in which we live. Unfortunately, it is

impossible to live in a totally hazard-free environment since each day one
inevitably faces some degree of personal risk from road accidents, fire, theft,
floods, etc. They can be categorized in various ways but, based on the origin,
hazards worldwide are basically grouped in two broad headings, i.e. Natural
Hazards (hazards with meteorological, geological or even biological origin) and
Unnatural Hazards (hazards with human-caused or technological origin).
Some authors classify hazards according to the triggering reason:
♦ voluntary hazards (e.g. smoking, paragliding) and
♦ involuntary hazards (e.g. fire, earthquake)
Others classify hazards into three classes according to their nature:
♦ Technological hazards are those accidental failures of design or management
affecting large-scale structures and transport systems, or industrial activities
that present life-threatening risks to the local community (Smith 1996).
♦ Natural hazards result from those elements of the physical environment
harmful to Man and caused by forces extraneous to him (Burton et al. in
Smith 1996).
♦ Human-induced natural hazards are those that are caused by the human
modification of the environment.
II) Threat: Threats are expected/foreseen unpleasant consequences posed by
hazards. Threats are classified by the type of loss they cause, i.e. direct (or
primary) losses and indirect (or secondary) losses. They are also categorised
according to their potential effects:
a) hazards with social or human effects,
b) hazards with physical effects and
c) hazards with economic effects.
III) Disasters: A disaster can be defined as an emergency of such severity and
magnitude that the resultant combination of deaths, injuries, illness and property
damage cannot be effectively managed with routine procedures or resources.
These events can be caused by nature, equipment malfunction, human error, or
biological hazards and disease.
Disasters are events distinguished from everyday emergencies by four factors:
a) Organisations are forced into more and different kinds of interactions than
normal;
b) Organisations lose some of their normal autonomy;
c) Performance standards change; and
d) More coordinated public sector/private sector relationships are required.
Disaster Management 685

Disasters is accompanied by loss of livelihood and property causing devastating

impact on socio-economic conditions. India is one of the most vulnerable
developing countries to suffer from various disasters like - flood, drought, cyclone,
landslide, earthquake, forest fire, volcanic eruptions, riots, terrorist attacks
etc.

IV) Catastrophe: Catastrophes are distinct from disasters. In a catastrophe, most

or all of the community built structure is heavily impacted; Local officials are
unable to undertake their usual work roles; Most, if not all, of the everyday
community functions are sharply and simultaneously interrupted, and; Help from
nearby communities cannot be provided.

Disasters are as old as human history but the dramatic increase and the damage caused
by them in the recent past have become a cause of national and international concern.
Over the past decade, the number of natural and manmade disasters has climbed
inexorably. From 1994 to 1998, reported disasters average was 428 per year but from
1999 to 2003, this figure went up to an average of 707 disaster events per year showing
an increase of about 60 per cent over the previous years. The biggest rise was in countries
of low human development, which suffered an increase of 142 per cent. The scenario in
India is no different from the global context. The super cyclone of Orissa (1999), the
Gujarat earthquake (2001) and the recent Tsunami (2004) affected millions across the
country leaving behind a trail of heavy loss of life, property and livelihood.

34.2 Types of Disasters

There are 2 types of disasters categorised on the basis of origin, namely, Natural and
Man-made disasters.

I) Natural disasters
Nature provides us with all the resources, but it can sometimes also be the cause of
some catastrophes. Natural disasters are, thus, an event that are caused by a natural
hazard and leads to human, material, economic and environmental losses. They are
beyond the control of human beings.

Natural Disasters are sub-categorised as under —

a) Wind related - For instance, Cyclones, Storm, Tornado, Storm surge, Hurricane,
Tidal waves and so on.
b) Water related - Floods, Cloud burst, Tsunami, Excessive rains, Droughts, etc.
c) Earth related - Earthquakes, Avalanches, Landslides, Violent volcanic eruptions, etc.

It is also important to know that natural phenomena are extreme climatological,

hydrological, or geological, processes that do not pose any threat to persons or property.
A massive earthquake in an unpopulated area, for example, is a natural phenomenon, not
686 Urban Legal and Policy Frameworks

a hazard. It is when these natural phenomena interact with the man-made environment
or fragile areas which then causes wide spread damage.

India has been traditionally vulnerable to natural disasters on account of its unique geo-
climatic conditions. Floods, droughts, cyclones, earthquakes and landslides have been a
recurrent phenomenon. About 60% of the landmass is prone to earthquakes of various
intensities; over 40 million hectares is prone to floods; about 8% of the total area is
prone to cyclones and 68% of the area is susceptible to drought. In the decade 1990-2000,
an average of about 4344 people lost their lives and about 30 million people were
affected by disasters every year. The loss in terms of private, community and public
assets has been astronomical.

A natural disaster is a consequence when a natural calamity affects humans and/or the
built environment. Human vulnerability and often lack of appropriate emergency
management, leads to financial, environmental, or human impact. The resulting loss
depends on the capacity of the population to support or resist the disaster: their resilience.
This understanding is concentrated in the formulation: “disasters occur when hazards
meet vulnerability”. A natural hazard will hence never result in a natural disaster in
areas without vulnerability. At the global level, there has been considerable concern
over natural disasters. Even as substantial scientific and material progress is made, the
loss of lives and property due to disasters has not decreased. In fact, the human toll and
economic losses have mounted. It was in this background that the United Nations General
Assembly, in 1989, declared the decade 1990-2000 as the International Decade for Natural
Disaster Reduction with the objective to reduce loss of lives and property and restrict
socio-economic damage through concerted international action, especially in developing
countries.

Various disasters like earthquake, landslides, volcanic eruptions, flood and cyclones are
natural hazards that kill thousands of people and destroy billions of dollars of habitat
and property each year. The rapid growth of the world’s population and its increased
concentration often in hazardous environment has escalated both the frequency and
severity of natural disasters. With tropical climate and unstable land forms, coupled
with deforestation, unplanned growth proliferation non-engineered constructions making
disaster-prone areas even more vulnerable, tardy communication, poor or no budgetary
allocation for disaster prevention, developing countries suffer more or less chronically
by natural disasters. Asia tops the list of casualties due to natural disasters.

Among various natural hazards, earthquakes, landslides, floods and cyclones are the major
disasters adversely affecting very large areas and population in the Indian sub- continent.
These natural disasters are of (i) geophysical origin such as earthquakes, volcanic eruptions,
landslides and (ii) climatic origin such as drought, flood, cyclone, locust, forest fire.
Though it may not be possible to control nature and to stop the development of natural
phenomena but the efforts could be made to avoid disasters and alleviate their effects
on human lives, infrastructure and property. Rising frequency, amplitude and number of
natural disasters and attendant problem coupled with loss of human lives prompted the
Disaster Management 687

General Assembly of the United Nations to proclaim 1990 as the International Decade
for Natural Disaster Reduction (IDNDR) through a resolution 44/236 of December 22, 1989
to focus on all issues related to natural disaster reduction. Along with the IDNDR, there
have been a string of major disaster throughout the decade. Nevertheless, by establishing
the rich disaster management related traditions and by spreading public awareness the
IDNDR provided the required stimulus for disaster reduction considering that it is almost
impossible to prevent the occurrence of natural disasters and their damages.

II) Man-made disasters

Manmade disasters are caused by human activities such as nuclear explosions, chemical
and biological weapons, industrial pollution, war, accidents etc. For this reason they are
also known as human induced disasters. Some serious destructions caused by humans,
which affects the human beings and the socio-economic conditions of that area. For
example- the 1984 Bhopal Gas Tragedy, train derailments, serial blasts in Mumbai in 2008
(26/11) etc.

Man-made disasters cover a wide range of events created largely due to accidents,
negligence or sometimes even by human design, which result in huge loss of lives and
property every year in South Asia. These include road, rail, river, marine and aviation
accidents, oil spill, building and bridge collapse, bomb blast, industrial and chemical
accidents etc. These also include the threats of nuclear, biological and chemical disasters.

Let us now examine in detail some forms of natural and man-made disasters:

Natural Disasters
a) Floods- Flood is natural as well as man-made disaster which affects human habitation
over large areas causing loss of lives and property. It is temporary inundation of
large regions as a result of long period of heavy rainfall from overflowing rivers,
from sudden melting of snow, cyclone, storm surge or dam collapse.

Floods cause great distress as they damage crops, property and also life. Homes are
destroyed making people homeless. It also causes soil erosion. Moreover, it may also
lead to famine as the crops are destroyed and the soil gets eroded.
Flood Preparedness
1) Always listen radio or TV for warning or advice
2) Move to safer places, away from flood prone areas
3) Always keep some stock of edibles and first aid
4) Disconnect all electric appliances
5) Big reservoirs should be built on major rivers
b) Drought- A drought is a long period of very dry weather. It is an insidious natural
hazard. Drought is a climatic anomaly characterised by deficient supply of moisture
resulting either from subnormal rainfall, erratic rainfall distribution, higher water
688 Urban Legal and Policy Frameworks

need or a combination of all the factors. Most of the droughts are generally associated
with arid or semi-arid climates but it can also occur in areas of adequate rainfall,
late arrival or early departure of monsoon.

In India, Orrisa, Chhattisgarh, Jharkhand, internal parts of Karnataka and Maharashtra,

Gujrat, Rajasthan, parts of Punjab, Haryana, Uttar Pradesh and Tamil Nadu are the
most drought prone areas of India.

Coping with droughts- Drought leads to failure of crops, this gives rise to poverty,
unemployment, and shortage of food. It also adversely affect the Argo based
industry. Thus the urgency to reduce or minimise the impact of drought. Some
common ways are helpful in reducing the impact of drought:
1) Water shortage areas should be identified.
2) Rain water harvesting should be encouraged.
3) Afforestation should be encouraged.
4) In the urban areas misuse and wastage of water should be stopped.
5) Interlinked the all major rivers of the country.

c) Earthquake- Tremors and vibrations in the crust of the earth are called earthquakes.
An earthquake (also known as a quake, tremor or temblor) is the result of a sudden
release of energy in the Earth’s crust, that creates seismic waves. Earthquakes are
measured with a seismometer, device which also records is known as a seismograph.
The moment the magnitude(or the related and mostly obsolete Richter magnitude)
of an earthquake is conventionally reported, with magnitude 3 or lower earthquakes
being mostly imperceptible and magnitude 7 causing serious damage over large
areas. Intensity of shaking is measured on the modified Mercalli scale.

Causes of Earthquakes
1) Crustal Instability: The tectonic forces are generally the main cause of
earthquakes. They lead to sudden movements of the crustal blocks. Thus, a
majority of earthquakes are associated with areas of crustal instability and such
earthquakes are called ‘Tectonic Earthquakes’.
2) Volcanic Eruptions: Volcanic eruptions are also the cause of many earthquakes.
They accompany most of the explosive eruptions. Such earthquakes are said to
be of ‘Volcanic Origin’.
Impacts of Earthquakes
1) Changes in the earth’s crust may lead to a number of indirect effects such as
landslides, avalanches, tsunamis barriers to river flow, and subsequent flooding
when the blockage is removed by accumulated water.
2) Means of transport are interrupted, due to the damage to roads and twisting of
railway lines.
Disaster Management 689

3) It may damage large dams, power installations and even nuclear power
plants.
4) The earthquakes may also damage underground wires, pipelines and water system.
5) It interrupts the socio-economic conditions of the affected area and also hinders
its development.
6) Moreover, it causes huge loss of life and property as well as to the natural
environment.
7) Direct effects are seen as the changes in the earth’s surface.
8) The daily life and routine of the people gets affected for a long period of time.
d) Cyclones- Cyclones are violent storms, often of vast extent, these are associated
with turbulent weather conditions with high velocity winds, cloudiness and rainfall.
Tropical cyclones are known by different names in different regions. They are called
depression in the Bay of Bengal, hurricanes in Caribbean sea, willy-willy in Australia,
typhoons in China and tornadoes in USA and West Africa.
Most damage from cyclones are caused by the strong winds, torrential rains and high
storm tides.
During intense cyclones one should stay alert, stay awake, stay inside, be alert for
any sudden increase or decrease in water flow and not go outside or to a beach
during a lull in the storm.
e) Volcanoes- A volcano is an opening in the crust of the earth through which lava
comes out and spreads over settlements, roads and cultivated areas, destroying
houses and making land unsuitable for cultivation. Steam from volcanic eruptions
may lead to heavy rainfall causing landslides mud flows and floods. Many poisonous
gases come out at the of volcanic eruption and cause environmental pollution.
f) Landslides- An usually rapid movement of rocks, soil and vegetation a slope. It
may be caused by an earthquake but is generally the result of rain soaking the
ground. It is very common in mountainous regions along eroding river banks and
coastlines.
g) Avalanches- An avalanche is a mass of snow which comes loose from steep mountain
slope and hurtles down to the valley below. It can be colossal and worrisome,
sweeping away trees and burying houses. Avalanches are a danger in any mountainous
area which has slopes and heavy snow.
They are worst on bare slopes, with no trees to hold back the snow. In some countries,
new forests are being planted to reduce the danger. Snow bridges are built over roads
and railways to protect them.
Man-made disasters – Now let us move on to accessing some man-made disasters.

a) Nuclear disaster- Often categorized as the worst type of manmade disaster. Nuclear
radiation keeps affecting an area for a long period of time. Nuclear energy can be
690 Urban Legal and Policy Frameworks

used both for peaceful as well as destructive purposes. The world has already
suffered from the disaster of atom bombs e.g. Hiroshima and Nagasaki. These are
called the weapons of mass destruction (WMD).
b) Chemical disaster- Excessive use of chemicals or their misuse can cause much
destruction. It is also caused by industrial accidents. In Bhopal the leakage of the
deadly poisonous gas called Methyl Iso Cyanate (MIC) occurred in the union carbide
factory in December 1984. This gas thousands of humans and animals.
It also caused serious damage to the health by disrupting their body functions and
causing genetic changes which can lead to the mal-formation of future generation,
the complete recovery is not possible.
c) Biological disaster- It spreads through the organism that is developed in the form of
bacteria or germs. It can be used to kill human-beings.
On such example is the covid-19. It is first a pan India biological disaster.
Building and bridge collapse- Building collapses are frequent in India. It is often
believed that in our country construction is often hastily done, with little regard for
safety regulations, particularly in the western part of the country. In a tragic incident,
in April 2013 a building collapsed on tribal land in Mumbra, a suburb of Thane in
Maharashtra in which Seventy-four people were killed. In another incident, a building
that was being expanded in Delhi collapsed killing five people on the main floor,
including four students who were attending a coaching class on the first story of the
building. In an another incident, at least 26 people were killed and 15 others injured
when a seven-storied building collapsed in Borivali, Mumbai. Mumbai authorities
routinely demolish shoddy buildings ahead of the monsoon rains but this building
was not listed as dangerous. At least 20 people, including eight children, were killed
and 21 others were injured when a portion of a four storied building named ‘Dutt
Niwas’ in south Mumbai collapsed in the wee hours of 13 August 2007. Rescue
efforts were hampered by narrow lanes leading to the site as well as rains. Many
residents on the higher floors of the building survived while those on the lower
floors were not so fortunate and were trapped under the rubble. The tenants of the
building, which was 70 to 75 years old, had been asked by Maharashtra Housing and
Area Development Authority to evacuate in 2007 due to its dilapidated condition.
However, the people had ignored the advice and were living in the building.

d) War- War is a conflict between relatively large groups of people, which involves
physical force inflicted by the use of weapons. Warfare has destroyed complete
cultures, countries, economies and inflicted great suffering on humanity. Other terms
for war can include armed conflict, hostilities and police action. Acts of war are
normally excluded from insurance contracts and disaster planning..
e) Riots- Riot is a form of civil disorder characterised often by what is thought of as
disorganised groups lashing out in a sudden and intense rash of violence against
authority, property or people. While individuals may attempt to lead or control a
Disaster Management 691

riot, riots are thought to be typically chaotic and exhibit herd behaviour, and usually
generated by civil unrest.
Riots often occur in reaction to a perceived grievance or out of dissent. Historically,
riots have occurred due to poor working or living conditions, government, oppression,
taxation or conscription, conflicts between ethnic groups, food supply or religions,
the outcome of a sporting event or frustration with legal channels through which to
air grievances.
Riots typically involve vandalism and the destruction of private and public property.
The specific property to be targeted varies depending on the riot and the inclinations
of those involved. Targets can include shops, cars, restaurants, state-owned
institutions, and religious buildings.
f) Industrial hazards- Industrial disasters occur in a commercial context, such as mining
accidents and very often are coupled with an environmental impact. The Bhopal
disaster is the world’s worst industrial disaster to date, and the Chernobyl disaster
is regarded the worst nuclear accident in history. Hazards may have longer-term and
more dispersed effects, such as dioxin and DDT poisoning.
g) Fire- Bush fires, forest fires, and mine fires are generally started by lightning. If so,
then such forest fires are basically termed natural disasters. But many a times fires
are started also by human negligence or arson. They can burn thousands of square
kilometres. If a fire intensifies enough to produce its own winds and “weather”, it
will form into a firestorm. A good example of a mine fire is the one near Centralia,
Pennsylvania. Started in 1962, it ruined the town and continues to burn today. Some
of the biggest city-related fires are The Great Chicago Fire, The Peshtigo Fire
(both of 1871) and the Great Fire of London in 1666. Casualties resulting from fires,
regardless of their source or initial cause, can be aggravated by inadequate emergency
preparedness. Such hazards as a lack of accessible emergency exits, poorly marked
escape routes, or improperly maintained fire extinguishers or sprinkler systems may
result in many more deaths and injuries than might occur with such protections.

h) Mismanagement of hazardous materials or negligence in their handling- One of the

biggest threats posed by mismanagement of hazardous materials are that of radiation
contamination. When nuclear weapons are detonated or nuclear containment systems
are otherwise compromised, airborne radioactive particles (nuclear fallout) can
scatter and irradiate large areas. Not only is it deadly, but it also has a long-term
effects on the next generation for those who are contaminated. Ionising radiation
is hazardous to living things, and in such a case much of the affected area could be
unsafe for human habitation. During World War II, United States troops dropped
atomic bombs on the Japanese cities of Hiroshima and Nagasaki. As a result, the
radiation fallout contaminated the cities’ water supplies, food sources, and half of
the populations of each city were stricken with disease. The Soviet republics of
Ukraine and Belarus are part of a scenario like this after a reactor at the Chernobyl
nuclear power plant suffered a meltdown in 1986. To this day, several small towns
692 Urban Legal and Policy Frameworks

and the city of Chernobyl remain abandoned and uninhabitable due to fallout. In
the 1970s, a similar threat scared millions of Americans when a failure occurred at
the Three Mile Island Nuclear Power Plant in Pennsylvania. The incident was
fortunately resolved, and the area retained little contamination. A number of military
accidents involving nuclear weapons have also resulted in radioactive contamination,
for example the 1966 Palomares B52 crash and the 1968 Thule Air Base B-52 crash.

34.3 Managing Disasters

It is possible to reduce the impact of disasters by adopting suitable disaster management
strategies. Management of disasters involve various steps including disaster mitigation
and preparedness. Disaster mitigation mainly addresses the following: minimise the
potential risks by developing disaster early warning strategies, prepare and implement
developmental plans to provide resilience to such disasters, mobilise resources including
communication and tele-medicinal services to help in rehabilitation and post-disaster
reduction. The different phases of disaster management are enumerated as follows:
1) Response and relief- Immediate measure taken up in anticipation of during disaster
to ensure that the effects are minimised. These are normally carried out simultaneously
after a disaster.
2) Rehabilitation and reconstruction- These initiatives are taken up by the government,
NGO’s and various other agencies which would help the affected community to
come back normally. Roads, power supply, communication, medical facility are
restored.
3) Mitigation- Any action taken to minimise the extent of a disaster is known as
mitigation. Mitigation can take place before, after or during disaster.
4) Preparedness- It involves measures that enable governments, communities and
individuals to respond rapidly to disaster situation and cope with them effectively.
Disaster management occupies an important place in this country’s policy framework as
it is the poor and the under-privileged who are worst affected on account of calamities/
disasters. The steps being taken by the Government emanate from the approach outlined
above. The approach has been translated into a National Disaster Framework covering
institutional mechanisms, disaster prevention strategy, early warning system, disaster
mitigation, preparedness and response and human resource development. The expected
inputs, areas of intervention and agencies to be involved at the National, State and
district levels have been identified and listed in the roadmap. This roadmap has been
shared with all the State Governments and Union Territory Administrations. Ministries
and Departments of Government of India, and the State Governments/UT Administrations
have been advised to develop their respective roadmaps taking the national roadmap as
a broad guideline. There is, therefore, now a common strategy underpinning the action
being taken by all the participating organisations/stakeholders.
At the national level, the Ministry of Home Affairs is the nodal Ministry for all matters
concerning disaster management. The Central Relief Commissioner (CRC) in the Ministry
Disaster Management 693

of Home Affairs is the nodal officer to coordinate relief operations for natural disasters.
The CRC receives information relating to forecasting/warning of a natural calamity from
India Meteorological Department (IMD) or from Central Water Commission of Ministry of
Water Resources on a continuing basis. The Ministries/Departments/Organisations concerned
with the primary and secondary functions relating to the management of disasters include:
India Meteorological Department, Central Water Commission, Ministry of Home Affairs,
Ministry of Defence, Ministry of Finance, Ministry of Rural Development, Ministry of
Urban Development, Department of Communications, Ministry of Health, Ministry of Water
Resources, Ministry of Petroleum, Department of Agriculture and Cooperation. Ministry of
Power, Department of Civil Supplies, Ministry of Railways, Ministry of Information and
Broadcasting, Planning Commission, Cabinet Secretariat, Department of Surface Transport,
Ministry of Social Justice, Department of Women and Child Development, Ministry of
Environment and Forest, Department of Food. Each Ministry/Department/Organisation
nominates their nodal officer to the Crisis Management Group chaired by Central Relief
Commissioner. The nodal officer is responsible for preparing sectoral Action Plan/
Emergency Support Function Plan for managing disasters.

What is Disaster Management

Disaster management is the discipline of dealing with and avoiding risks. In
general it is the continuous process by which all individuals, groups and communities
manage hazards in an effort to avoid or minimize the impact of the disasters resulting
from the hazards.
It is almost impossible to fully control the damage caused by the disaster, but it is
possible to minimize to some extent by these ways —
1) By early warning given by the MET. department through various means of
communication such as the radio, TV.
2) The police control room, fire control officers, RED-cross offices and other rescue
teams should be informed.
3) Spread awareness about disasters and tips to handle them.
4) Space technology plays a very important role in efficient mitigation of disasters.
5) Major loss of life and property can be avoided with careful planning along with
effective warning and evacuation procedures in place.

6) All should cooperate with the rescue teams. It is our moral and social duty to
help in arranging relief camps for those who have suffered.
Management of a disaster occurs after the catastrophe has taken place. Management
of Disaster is often differentiated from Disaster Risk Reduction (DRR). DRR can take
place in the following ways:
a) Preparedness: This protective process embraces measures which enable
governments, communities and individuals to respond rapidly to disaster situations
694 Urban Legal and Policy Frameworks

to cope with them effectively. Preparedness includes the formulation of viable

emergency plans, the development of warning systems, the maintenance of
inventories and the training of personnel. It may also embrace search and rescue
measures as well as evacuation plans for areas that may be at risk from a recurring
disaster. Preparedness therefore encompasses those measures taken before a
disaster event which are aimed at minimising loss of life, disruption of critical
services, and damage when the disaster occurs.
b) Mitigation: Mitigation embraces measures taken to reduce both the effect of the
hazard and the vulnerable conditions to it in order to reduce the scale of a
future disaster. Therefore mitigation activities can be focused on the hazard
itself or the elements exposed to the threat. Examples of mitigation measures
which are hazard specific include water management in drought prone areas,
relocating people away from the hazard prone areas and by strengthening structures
to reduce damage when a hazard occurs. In addition to these physical measures,
mitigation should also aim at reducing the economic and social vulnerabilities of
potential disasters.
c) Response: The response phase includes the mobilisation of the necessary
emergency services and first responders in the disaster area. This is likely to
include a first wave of core emergency services, such as firefighters, police and
ambulance crews. When conducted as a military operation, it is termed Disaster
Relief Operation (DRO) and can be a follow-up to a Non-combatant evacuation
operation (NEO). They may be supported by a number of secondary emergency
services, such as specialist rescue teams.
A well-rehearsed emergency plan developed as part of the preparedness phase
enables efficient coordination of rescue. Where required, search and rescue
efforts commence at an early stage. The response phase of an emergency may
commence with search and rescue but in all cases the focus will quickly turn to
fulfilling the basic humanitarian needs of the affected population. This assistance
may be provided by national or international agencies and organisations.
Effective coordination of disaster assistance is often crucial, particularly when
many organisations respond and local emergency management agency (LEMA)
capacity has been exceeded by the demand or diminished by the disaster
itself.
On a personal level the response can take the shape either of a shelter in place
or an evacuation. In a shelter-in-place scenario, a family would be prepared
to fend for themselves in their home for many days without any form of outside
support. In an evacuation, a family leaves the area by automobile or other mode
of transportation, taking with them the maximum amount of supplies they can
carry, possibly including a tent for shelter. If mechanical transportation is not
available, evacuation on foot would ideally include carrying at least three days
of supplies and rain-tight bedding, a tarpaulin and a bedroll of blankets being the
minimum.
Disaster Management 695

d) Recovery: The recovery phase starts after the immediate threat to human life
has subsided. During reconstruction it is recommended to consider the location
or construction material of the property. The most extreme home confinement
scenarios include war, famine and severe epidemics and may last a year or more.
Then recovery will take place inside the home. Planners for these events usually
buy bulk foods and appropriate storage and preparation equipment, and eat the
food as part of normal life. A simple balanced diet can be constructed from
vitamin pills, whole-meal wheat, beans, dried milk, corn, and cooking oil.

Disaster Risk Management (or simply disaster management) includes sum total of all
activities, programmes and measures which can be taken up before, during and
after a disaster with the purpose to avoid a disaster, reduce its impact or recover
from its losses. The three key stages of activities that are taken up within disaster
risk management are:

a) Before a disaster (pre-disaster): Activities taken to reduce human and property

losses caused by a potential hazard. For example, carrying out awareness
campaigns, strengthening the existing weak structures, preparation of the disaster
management plans at household and community level etc. Such risk reduction
measures taken under this stage are termed as mitigation and preparedness
activities.

b) During a disaster (disaster occurrence): Initiatives taken to ensure that the needs
and provisions of victims are met and suffering is minimized. Activities taken
under this stage are called emergency response activities.

c) After a disaster (post-disaster): Initiatives taken in response to a disaster with

a purpose to achieve early recovery and rehabilitation of affected communities,
immediately after a disaster strikes. These are called as response and recovery
activities.

34.4 Conclusion
Developing countries suffer the greatest costs when a disaster hits– more than 95 per
cent of all deaths caused by disasters occur in developing countries, and losses due to
natural disasters are 20 times greater (as a percentage of GDP) in developing countries
than in industrialised countries.1

In such cases, it is very essential to have a proper process of disaster management. Also
known as Emergency Management, Disaster management is a strategic process, and not
a tactical process, thus it usually resides at the Executive level in an organisation. It
1
RSOE EDIS: Emergency and Disaster Information Service An up-to-the-minute worldwide map showing
current disasters.
696 Urban Legal and Policy Frameworks

normally has no direct power, but serves as an advisory or coordinating function to

ensure that all parts of an organisation are focused on the common goal. Effective
Emergency Management relies on a thorough integration of emergency plans at all
levels of the organisation, and an understanding that the lowest levels of the organisation
are responsible for managing the emergency and getting additional resources and
assistance from the upper levels.

Disaster management involves not just post event repose but also pre-disaster planning,
preparedness, monitoring including relief management capability prediction and early
warning damage assessment and relief management. The various steps of disaster
management are:

A) Preparedness
A set of warning systems should be thought of, so that people are warned to take
safety measures. Thus, more loss of life and property can be avoided. The warning
systems may include: radio, television, loudspeakers, personal messages, beating of
drums, bells, etc. The people must be educated to cope with a disaster. They
should be taught to keep a survival kit. On the practical side, mock drill training
and practice should be undertaken.

B) Prevention
♦ The land use has to be so planned as to reduce the loss of life and property.
♦ Buildings should not be constructed in risk zones.
♦ Mobilising support of different co-ordinating agencies such as the local
government, voluntary organisation, the insurance companies, etc, to ensure
co-ordination at the time of a disaster.
♦ All buildings should be earthquake and landslide resistant.
The local community should be involved in making and implementing safety norms.
C) Response
♦ People should be informed of the disaster in time to avoid its serious
consequences.
♦ Emergency contact and operation centres should be opened.
♦ Help the injured and the needy.
♦ Involve local people at all levels of activities.
♦ Temporary shelters should be provided for the affected.
♦ Medical camps should be set up.
♦ Rescue teams should be deployed to look for those who are missing.
D) Rehabilitation
♦ Essential services such as providing drinking water, transport, electricity, etc.,
should be restored.
Disaster Management 697

♦ The people should be taught how to follow healthy and safety measures.
♦ The victims should be provided with temporary accommodation, financial
assistance and employment opportunities.
♦ Those who have lost their family members should be consoled.
♦ If there is a danger of epidemics, vaccination programme should be undertaken.

34.5 References and Recommended Readings

Aster, Henry George Liddell, Robert Scott, “A Greek-English Lexicon”, at Perseus.
B. Wisner, P. Blaikie, T. Cannon, and I. Davis (2004). At Risk - Natural hazards, people’s
vulnerability and disasters. Wiltshire: Routledge.
Dus, Henry George Liddell, Robert Scott, “A Greek-English Lexicon”, at Perseus.
Luis Flores Ballesteros. “Who’s getting the worst of natural disasters?” 54 Pesos May.
2010:54 Pesos 04 Oct 2008.
Quarantelli E.L. (1998). Where We Have Been and Where We Might Go. In: Quarantelli
E.L. (ed). What Is A Disaster? London: Routledge. Pp146-159.
World Bank: Disaster Risk Management.
698 Urban Legal and Policy Frameworks

UNIT 35
ENVIRONMENTAL AND HUMAN
RIGHT ISSUES
Contents
35.1 Introduction 698
35.2 Concept of Human Security 702
35.3 Human Rights and Disasters 706
35.4 Environmental Rights and Disasters 711
35.5 Natural and Man-made Disaster — Case Studies 716
35.6 Conclusion 724
35.7 References and Recommended Readings 725

35.1 Introduction
Humans cannot control natural disasters, thus, this is something beyond our reasonable
control. But post disaster mitigation measures are required to reduce human right
violations. Man-made disasters are, all together a fragment of human doing.

Disasters pose a number of unique problems not encountered in the routine practice of
public safety and emergency health care. For instance, there is an urgent need of
emergency crisis management that includes the need for warning and evacuation,
widespread urban search and rescue, triage and casualty distribution, and coordination
among multiple jurisdictions, government offices, and private sector organisations. The
effective management of these concerns requires special expertise. However, security
agencies, civil protection agencies, hospitals and other health care agencies must be
able to address these situations quickly and effectively.

Public health agencies must be concerned about the universal risk for disaster, the increase
in natural disasters across the world, the negative impact of disasters on public health,
and the likely increase of actual and potential effects of man-made disasters.

A significant proportion of Americans are at risk from only three classes of natural
disasters: floods, earthquakes and hurricanes. Twenty-five to 50 million people live in
floodplains that have been highly developed as living and working environments. Another
110 million people live in coastal areas of the United States, including the Great Lakes
Disaster Management 699

region. By the year 2010, 60 per cent of the US population may be living within 50 miles
of the East or West Coast. A category 4 hurricane has an 80 per cent chance of hitting the
coastal area from Maine to Texas.

Emerging and re-occurring natural and man-made disasters around the world reinforce
the potency of the forces of humanity’s destruction. These examples of devastation
caused by disasters abound in every region of the world are claiming massive economic
damage and are claiming thousands of lives. Hanshin Earthquake (“Kobe earthquake” as
it is commonly known outside of Japan) of 17 January 1995 with its epicentre in the Awaji
Island, Japan, claimed over 6000 lives, and devastated the city of Kobe. This was the
worst earthquake in Japan since the Kanto earthquake of 1923 that claimed 140,000
lives. The Indian Ocean tsunami of December 2004, with its epicentre off the west coast
of Sumatra, Indonesia, triggered a series of devastating tsunamis on the Indian Ocean
coasts killing over 200,000 people. In August 2006, hurricane Katrina, one of the deadliest
hurricanes caused extensive damage along the entire Mississippi coast, and led to the
loss of over 1500 lives. In May 2008, cyclone Nargis flattened buildings, claimed over
100,000 lives, and rendered over 1 million people homeless in Myanmar.

Natural or man-made disasters are numerous in this world, such as cyclones, tornado,
hurricane, floods, tsunami, earthquake, volcanic eruption, forest fire, chemical spills,
and climate change-induced drought, famine, rainfall variations, and the shrinking of
fresh watercourses, result in unimaginable human suffering, mass starvation, and
unquantifiable humanitarian catastrophe. These are crises that often bring together the
two components of human security. They are1 :

1) Freedom from fear - “Freedom from fear” is a state where the human mind at ease
to know that the risk of being harmed by a disaster or catastrophe is extremely
small as compared to other risks one faces in daily life. One of the main factors for
this fearlessness is when authorities take adequate measures to reduce or eliminate
your fear and anxiety. Best measure for this is to be prepared. Preparation isn’t the
same as prevention, and it can’t guarantee survival, but preparatory measures can
help greatly in several ways such as:
— Damage Control: Being prepared can blunt the impact of a disaster by slowing
or stopping the chain reaction that often occurs after a crisis. For example,
knowing how to safely escape a building after an explosion can help reduce
injuries. Having a meeting place for the family, employees or community, as
the case may be, in case of emergency makes it easier to regroup and move
forward quickly.
— Sense of Control: Fear and anxiety have the important purpose of causing us to
act in a situation that may be dangerous or threatening. Unfortunately, there’s
not always a clear action that can get you out of danger. However, taking what
measures one can, in the form of being prepared in the event of an emergency,
1
Commission on Human Security, Human Security Now (New York: Commission on Human Security, 2003);
Report of the UN Secretary-General, Kofi Annan, In Larger Freedom (New York: United Nations, 2005).
700 Urban Legal and Policy Frameworks

can lessen one’s feelings of anxiety by channelling that energy into some type
of constructive action. Feeling in control of your situation reduces stress and
allows you to act.

Case Study of Cyclone Nargis: How the postulate of ‘Freedom for Fear’ was violated
Cyclone Nargis was a strong tropical cyclone that caused the worst natural disaster
in the recorded history of Myanmar. The cyclone made landfall in the country on
Friday, May 2, 2008, causing catastrophic destruction and at least 138,000 fatalities.2

According to reports from various sources, the Labutta Township alone was reported
to have 80,000 dead, with about 10,000 more deaths in Bogale. There were around
55,000 people missing and many other deaths were found in other towns and areas,
although the Burmese government’s official death toll may have been underreported,
and there have been allegations that they stopped updating the death-toll after
138,000 to minimise political fallout.

Nargis is deemed the 8th deadliest cyclone of all time, but an uncertainty between
the deaths caused by Nargis and those caused by other cyclones could put Nargis
as 7th deadliest or higher due to ambiguity in the death and damage toll. Indian
authorities had warned Burma about the danger that Cyclone Nargis posed 48 hours
before it hit the country’s coast.

Relief efforts were slow due to political reasons as Myanmar’s military rulers initially
resisted large-scale international aid. Authorities finally accepted aid a few days
after India’s request was accepted. Continued hampering of relief efforts was the
fact that only ten days after the cyclone nearby central China was hit by a massive
earthquake, known as the Sichuan earthquake which measured 7.9 in magnitude
and it alone had taken 87,476 lives, and caused 85 billion dollars in damage (USD),
making it the costliest disaster in Chinese history and third costliest disaster ever
known. Furthermore, some donated aid items were found to be available in the
country’s black market, and Myanmar’s military junta warned on May 15 that legal
action would be taken against people who traded or hoarded international aid. In
this case, the State has clearly constituted an impediment to humanitarian assistance
from the international community thereby hampering relief measures.

The UN Human Settlements Programme (UN-HABITAT) reported the extent of the

international response to date as less than 7 per cent of the actual needs for shelter
after 15 months, although emergency shelter relief efforts were well funded. It
estimated about 209,000 families had rebuilt their own homes alone over the past
year. Out of US$150 million requested for shelter repair and reconstruction under
the Post Nargis Recovery Plan (PONREPP) — a three-year recovery strategy running
to 2011 — only US$50 million had been received.3

2
BBC News. 2008-05-16. Retrieved 2008-05-17.
3
‘Burma: Gimme Shelter’, Mike Hitchen Online. July 25, 2009. Retrieved 2009-07-26.
Disaster Management 701

2) Freedom from want - “Freedom from want” is essential as disasters lead to mass
starvation, breakdown of public health infrastructure, hunger, and lack of the essential
necessities of life. A holistic approach should be taken in achieving human security
and the threat agenda should be broadened to include hunger, disease and disasters
(whether natural or man-made) because they are inseparable concepts in addressing
the root of human insecurity. The post catastrophe after-effects when multiplied
due to non-meeting to wants (wants here should be understood as necessities like
aid and relief) kill far more people than war, genocide and terrorism combined. It is
different from “Freedom from Fear”, it expands the focus beyond violence with
emphasis on development and security goals.

Freedom from Fear vs Freedom from Want and beyond

UNDP’s 1994 Human Development Report draws attention to the concept of

human security and argues that the scope of global security should be expanded to
include threats in seven areas, namely, economic security, food security, health
security, environmental security, personal security, community security and political
security.4

In an ideal world, each of the UNDP’s seven categories of threats would receive
adequate global attention and resources. Yet attempts to implement this human
security agenda have led to the emergence of two major concepts or schools of
thought on how to best practice human security, i.e. “Freedom from Fear” and
“Freedom from Want”. While the UNDP 1994 report originally argued that human
security requires attention to both freedom from fear and freedom from want,
divisions have gradually emerged over the proper scope of that protection (e.g.
over what threats individuals should be protected from) and over the appropriate
mechanisms for responding to these threats.

Freedom from Fear — This concept seeks to limit the practice of Human Security
to protecting individuals from violent conflicts while recognising that these violent
threats are strongly associated with poverty, lack of state capacity and other
forms of inequities. This approach argues that limiting the focus to violence is a
realistic and manageable approach towards Human Security. Emergency assistance,
conflict prevention and resolution, peace-building are the main concerns of this
approach. Canada, for example, was a critical player in the efforts to ban landmines
and has incorporated the “Freedom from Fear” agenda as a primary component in
its own foreign policy. However, whether such “narrow” approach can truly serve
its purpose in guaranteeing more fruitful results remains to be an issue. For instance,

Contd...

4
UNDP.1994. Human Development Report 1994: New Dimensions of Human Security. http://
www.hrd.undp.org/en/content/human-development-report-1994
702 Urban Legal and Policy Frameworks

the conflicts in Darfur5 are often used in questioning the effectiveness of the
“Responsibility to Protect”, a key component of the Freedom from Fear agenda.

Freedom from Want — The school advocates a holistic approach in achieving

human security and argues that the threat agenda should be broadened to include
hunger, disease and natural disasters because they are inseparable concepts in
addressing the root of human insecurity and they kill far more people than war,
genocide and terrorism combined.
Despite their differences, these two approaches to human security can be
considered complementary rather than contradictory. Expressions to this effect
include:
♦ Franklin D. Roosevelt’s famous Four Freedoms speech of 1941, in which “Freedom
from Want” is characterised as the third and “Freedom from Fear” is the
fourth such fundamental, universal, freedom.
♦ The Government of Japan considers Freedom from Fear and Freedom from
Want to be equal in developing Japan’s foreign policy. Moreover, the UNDP
1994 called for the world’s attention to both agendas.
♦ Surin Pitsuwan, current Secretary-General of ASEAN cites theorists such as
Hobbes, Locke, Rousseau and Houme to conclude that “human security is the
primary purpose of organising a state in the beginning.” He goes on to observe
that the 1994 Human Development Report states that it is “reviving this concept”
and suggests that the authors of the 1994 HDR may be alluding to Franklin
Roosevelt’s Four Freedoms speech without literally citing that presentation.
Although “freedom from fear” and “freedom from want” are the most commonly
referred to categories of human security practice, an increasing number of
Contd...

5
The Darfur Conflict was a guerrilla conflict or civil war cantered on the Darfur region of Sudan that began
in February 2003 when the Sudan Liberation Movement/Army (SLM/A) and Justice and Equality Movement
(JEM) groups in Darfur took up arms, accusing the Sudanese government of oppressing non-Arab Sudanese
in favour of Sudanese Arabs.
One side of the conflict was composed mainly of the official Sudanese military and police, and the Janjaweed,
a Sudanese militia group recruited mostly from the Arab Abbala tribes of the northern Rizeigat region in
Sudan; these tribes are mainly camel-herding nomads. The other combatants are made up of rebel groups,
notably the SLM/A and the JEM, recruited primarily from the non-Arab Muslim Fur, Zaghawa and Masalit
ethnic groups. Although the Sudanese government publicly denies that it supports the Janjaweed, it is
reported that it has been providing financial assistance and weapons to the militia and has been organising
joint attacks targeting civilians.
There are various estimates on the number of human casualties, ranging from under twenty thousand to
several hundred thousand dead, from either direct combat or starvation and disease inflicted by the conflict.
There have also been mass displacements and coercive migrations, forcing millions into refugee camps or
over the border and creating a large humanitarian crisis and is regarded by many as a genocide.
Sudanese government and the JEM signed a ceasefire agreement in February, 2010, with a tentative
agreement to pursue further peace. However as per reports, in Darfur, over 5 million people have been
affected by the conflict.
Disaster Management 703

alternative ideas continue to emerge on how to best practice human security.

Many new world theorists define human security as one’s “expectation of years of
life without experiencing the state of generalised poverty”. In their definition,
the “generalised poverty” means “falling below critical thresholds in any domain
of well-being”.
Theorists define human security as “a condition of existence” which entails basic
material needs, human dignity, including meaningful participation in the life of the
community, and an active and substantive notion of democracy from the local to
the global.

35.2 Concept of Human Security

The objective of human security is to safeguard the vital core of all human lives from
critical pervasive threats, in a way that is consistent with long-term human fulfilment.
Human security take its shape from the human being: the vital core that is to be protected.
Institutions that undertake to protect human security will not be able to promote every
aspect of human well-being. But at very least they must protect this core of people’s
lives.
Human security has to be protective rather than being just reactive. It ought to recognise
that people and communities are fatally threatened by events well beyond their control:
a financial crisis, a violent conflict, AIDS, a national policy that undercuts public and
private investments in health care, a terrorist attack, water shortages, chronic destitution,
or pollution in a distant land. Many threats are far more destructive if they come as a
surprise. The damage and deaths of an earthquake can be minimised by producing
earthquake resistant buildings; the impoverishing effects of a financial crisis can be
mitigated if counter-measures are put in place in advance; early warning systems can
reduce the effect of famine. Yet many of these preparations require threats to be
acknowledged, before they occur (or at the very least, as they occur).
The human security approach urges institutions to offer protection which is
institutionalised, not episodic; responsive, not rigid; preventative, not reactive. In this
way, people will face inevitable downturns “with security”. Safeguarding human lives
implicates not only those institutions that intend to promote human security overtly, but
also institutions that unintentionally undermine it.
The strategies that are associated with providing human security identify the threats
and then seek to prevent threats from materialising, mitigate harmful effects for those
that eventuate, and help victims cope.

Scope of Human Security: Vital Core of Human Existence

Human security is contained in scope. It does not cover all necessary, important, and
profound aspects of human living. Rather, it identifies and protects a limited vital core
of human activities and abilities. These may be variously described by certain fundamental
human rights, basic capabilities, or absolute needs.
704 Urban Legal and Policy Frameworks

The “vital core” is a non-technical term for the concerns that lie behind human security.
It may be defined in the space of capabilities, the freedom people have to do and to be.
Elements of the vital core are fundamental human rights which all persons and institutions
are obliged to respect or provide, even if the obligations are not perfectly specifiable.
The rights and freedoms in the vital core pertain to survival, to livelihood, and to basic
dignity. Persons who enjoy rudimentary security as to their survival, livelihood and
dignity even during terrible circumstances of poverty or war or disaster, would be better
off than billions are today.

What is the concept of Human Security centred around? - All Human Lives
Human security is “people-centred”; it focuses the attention of institutions on human
individuals and their communities worldwide. This emphasis on human beings distinguishes
human security from the objective of protecting state territories that dominated security
policies in the nineteenth and twentieth centuries. Human security shifts that focus to
persons, regardless of gender, race, religion, ethnicity, citizenship, or other distinguishing
characteristics.

In this manner, the human security approach parallels the movement in economic
development and international law to shift the emphasis from instrumental objectives
(such as growth, or state rights) to human development and human rights. In doing so
the human being becomes the “end” of development, not only as a “means” to increased
economic productivity or legal coherence, and these various activities in turn become
“people- centred”.

It may be important to note that human security does not obviate state security, nor
does it encompass all of the security agenda (which also includes for example territorial
integrity and the distribution of power among nations). Furthermore, the focus on “all
human lives” does not require or assume a humanitarian or altruistic motivation. Actions
that protect human security will often be justified within a group’s or nation’s self-
interest, narrowly defined, and will often require this political appeal. At the same time,
human security sketches out how national governments can reorient their own security
policies, providing the same rigour and force, but with a somewhat different emphasis.

UNDP’s Definition of Human Security

The United Nations Development Programme’s 1994 Human Development Report gives a
broad definition to the concept of Human Security. It states that, “Human security can be
said to have two main aspects. It means, first, safety from such chronic threats as
hunger, disease and repression. And second, it means protection from sudden and hurtful
disruptions in the patterns of daily life – whether in homes, in jobs or in communities.
Such threats can exist at all levels of national income and development.”6

The 1994 report sought to influence the UN’s 1995 World Summit on Social Development
in Copenhagen. It argues that human security should be equated with people rather than
6
United Nations Development Programme (UNDP). Human Development Report 1994. New York: Oxford
University Press, 23.
Disaster Management 705

territories, with development rather than arms. It examines both the national and the
global concerns of human security. As per the UNDP concept of Human security, the
scope of global security should be expanded to include threats in seven areas:
1) Economic security - Economic security requires an assured basic income for
individuals, usually from productive and remunerative work or, as a last resort, from
a publicly financed safety net. In this sense, only about a quarter of the world’s
people are presently economically secure. While the economic security problem
may be more serious in developing countries, concern also arises in developed
countries as well. Unemployment problems constitute an important factor underlying
political tensions and ethnic violence.
2) Food security - Food security requires that all people at all times have both physical
and economic access to basic food. According to the United Nations, the overall
availability of food is not a problem, rather the problem often is the poor distribution
of food and a lack of purchasing power. In the past, food security problems have
been dealt with at both national and global levels. However, their impacts are
limited. According to UN, the key is to tackle the problems relating to access to
assets, work and assured income (related to economic security).
3) Health security - Health Security aims to guarantee a minimum protection from
diseases and unhealthy lifestyles. In developing countries, the major causes of death
traditionally were infectious and parasitic diseases, whereas in industrialised
countries, the major killers were diseases of the circulatory system. Today, lifestyle-
related chronic diseases are leading killers worldwide, with 80 per cent of deaths
from chronic diseases occurring in low- and middle-income countries. According to
the United Nations, in both developing and industrial countries, threats to health
security are usually greater for poor people in rural areas, particularly children.
This is due to malnutrition and insufficient access to health services, clean water
and other basic necessities.
4) Environmental security - Environmental security aims to protect people from the
short- and long-term ravages of nature, man-made threats in nature, and deterioration
of the natural environment. In developing countries, lack of access to clean water
resources is one of the greatest environmental threats. In industrial countries, one
of the major threats is air pollution. Global warming, caused by the emission of
greenhouse gases, is another environmental security issue.
5) Personal security - Personal security aims to protect people from physical violence,
whether from the state or external states, from violent individuals and sub-state
actors, from domestic abuse, or from predatory adults. For many people, the greatest
source of anxiety is crime, particularly violent crime.
6) Community security - Community security aims to protect people from the loss of
traditional relationships and values and from sectarian and ethnic violence. Traditional
communities, particularly minority ethnic groups are often threatened. About half
of the world’s states have experienced some inter-ethnic strife. The United Nations
706 Urban Legal and Policy Frameworks

declared 1993 the Year of Indigenous People to highlight the continuing vulnerability
of the 300 million aboriginal people in 70 countries as they face a widening spiral of
violence.

7) Political security - Political security is concerned with whether people live in a

society that honours basic human rights. According to a survey conducted by Amnesty
International, political repression, systematic torture, ill treatment or disappearance
was still practised in 110 countries. Human rights violations are most frequent during
periods of political unrest. Along with repressing individuals and groups, governments
may try to exercise control over ideas and information.

The Report seeks to deal with these concerns through a new paradigm of sustainable
human development, capturing the potential peace dividend, a new form of development
co-operation and a restructured system of global institutions.

It proposes that the World Summit for Social Development approve a world social charter,
endorse a sustainable human development paradigm, create a global human security fund
by capturing the future peace dividend, approve a 20:20 compact for human priority
concerns, recommend global taxes for resource mobilisation and establish an Economic
Security Council.
Increasing human security entails:
♦ Investing in human development, not in arms;
♦ Engaging policy makers to address the emerging peace dividend;
♦ Giving the United Nations a clear mandate to promote and sustain development;
♦ Enlarging the concept of development cooperation so that it includes all flows,
not just aid;
♦ Agreeing that 20 per cent of national budgets and 20 per cent of foreign aid be used
for human development; and
♦ Establishing an Economic Security Council.

35.3 Human Rights and Disasters

Recent humanitarian crises provoked by disasters have raised new challenges for all
those involved in prevention of such disasters, its management and recovery. It has
recently become increasingly evident that humanitarian interventions must integrate
human rights dimensions in order to ensure the most appropriate response to victims,
before, during and after disasters. However, despite this emerging realisation, the
awareness of human rights and implementation of rights-based approaches in disaster
management are still insufficient.

Critical issues that have been emerging in recent humanitarian crises include the following:
non-discrimination; equality; legal protection such as right to identity, security, etc.;
access to health services, shelter and housing, clean water and education; compensation
Disaster Management 707

and restitution; rights of internally displaced persons (IDPs); land and property issues.
Groups and individuals that may be in need of special consideration to ensure their
rights are protected may include: women, children, disabled, elderly, people living with
HIV (PLHIV) or affected by HIV, etc.

Disasters, particularly those related to climate change, are fast becoming a leading
cause of forced displacement although conceptual, normative and institutional
frameworks to provide human rights protection to the environmentally displaced are
not yet in place. While most environmentally displaced persons are expected to remain
within their own countries, there is a lack of clarity about the status and protection
needs of those uprooted by environmental degradation and other ‘slow-onset’ disasters
as opposed to those displaced by ‘sudden-onset’ disasters. By far the biggest protection
gap exists for those who cross borders. These individuals do not generally qualify as
refugees under the 1951 Refugee Convention, there is no normative framework to address
their specific needs and vulnerabilities and States have not been willing to commit to
more than temporary protection on an ad hoc basis.

The need is now critical for new approaches to be developed for the environmentally
displaced, including expanded normative and institutional frameworks, comprehensive
national policies, national and international monitoring, rights training, and more effective
ways of dealing with governments that fail to protect their populations.

It took one of the world’s deadliest disasters, the tsunami of 2004, to bring home to
governments and policymakers around the world the need to develop more effective
responses to natural disasters and the people uprooted by them. Five million people
were displaced and some 250,000 killed in 11 different countries in Asia and Africa. Even
today, reconstruction efforts are ongoing, while the impact on infrastructure, clean water,
sanitation, and livelihoods is expected to last for decades.7

The tsunami was caused by an earthquake, not climate change, but floods, hurricanes,
cyclones, landslides and other “sudden-onset” disasters are expected to become more
frequent and severe in the future as a result of climate change. Over the past two
decades, the number of recorded disasters has doubled from approximately 200 to over
400 per year; and nine out of 10 disasters have been climate-related.8 The total number
of people affected by natural disasters over the past decade has reportedly tripled to
two billion people, an average of more than 200 million people directly affected each
year.9

The increase in natural disasters is expected to produce massive displacement that will
change the worlds perception of forcibly displaced people, currently thought of primarily
as refugees and internally displaced people (IDPs) uprooted by persecution and conflict.
The vast majority will be displaced inside their countries, although significant numbers
7
United Nations Environment Program, GEO Yearbook 2004/2005.
8
J. Holmes, “The Need for Collaboration”, 31 Forced Migration Review 4 (2008), at 4
9
IFRC, World Disasters Report 2002: Focus on Reducing Risk, at Introduction http://www.ifrc.org/ publicat/
wdr2002/intro.asp (last accessed 17 February 2010)
708 Urban Legal and Policy Frameworks

will cross internationally recognised borders, especially when island States become
submerged.10 Although estimates of the numbers of those displaced will vary, another
2007 Aid report estimates that between 2007 and 2050, “climate change-related
phenomena” (floods, hurricanes and drought) will “permanently” displace 250 million
people. The United Nations and the Internal Displacement Monitoring Centre (IDMC) find
that while they cannot predict whether the people involved will be permanently or
temporarily displaced, in 2008 alone some 36 million people.11

Protection of the human rights of those uprooted by disaster has received far too little
attention. As Jan Egeland, former UN Under-Secretary-General for Humanitarian Affairs
and Walter Kälin, Representative of the Secretary-General on the Human Rights of
Internally Displaced Persons (RSG), have aptly observed, while the international response
to natural disasters “has become ever swifter and more sophisticated” in the rush to
deliver life- saving aid, “little attention” has been paid “to the rights of these displaced
people”. Efforts underway have focused on developing preventive and risk reduction
strategies, improving rescue actions, accelerating the delivery of relief, and undertaking
initiatives to “build back better” in recovery and reconstruction processes. Identifying
the human rights concerns of disaster victims and how best to provide them with
protection have received less focus. Yet recent disasters have exposed:
♦ unequal access to food and supplies, in particular by women;
♦ discrimination in provision of aid on ethnic, caste, racial, religious or gender grounds;
♦ evacuation plans that discriminate against poor and other vulnerable people;
♦ sexual and gender-based violence, especially in camps and shelters;
♦ exploitation, trafficking and military recruitment of separated children;
♦ neglect and exploitation of the elderly, poor, disabled and sick;
♦ forced relocations of people to unsafe areas with limited economic opportunity;
♦ lack of safety in areas of displacement, return or resettlement.
Right to Environment is Human Right

International environmental law and human rights law have intertwined objectives and
ultimately strive to produce better conditions of life on earth. They both seek to tackle
universal challenges that must often be solved at the same time at the individual and
global level. The necessity to link both fields stems from the different, complementary
and partial approaches each has attempted to follow. Environmental law seeks to protect
both natures for itself, and for the benefit of humankind on a local and global scale. It
has broadly been confined to regulating inter-state relations and, of late, the behaviour
of some economic actors. Human rights have centered on fundamental aspirations of

10
See Internal Displacement Monitoring Centre, Global Overview of Trends and Developments in 2008 (April
2009), at 9; and UNHCR, 2008 Global Trends: Refugees, Asylum-Seekers, Returnees, Internally Displaced
and Stateless Persons (2009), at 2.
11
R. Black, “Environmental Refugees: Myth or Reality”, UNHCR Working Paper 34.
Disaster Management 709

human beings with much more developed compliance mechanisms allowing individuals
and groups to claim their rights. The inclusion of an environmental dimension in the
human rights debate has become necessary in view of the recognition of the pervasive
influence of local and global environmental conditions upon the realisation of human
rights. In legal terms, the new linkages will come to enhance the protection in both
fields as the protection of the environment will benefit from the established machinery
whereas the human rights system will be enhanced by the inclusion of new interpretative
elements until recently ignored.

Today, the right to environment is enshrined in many domestic legal orders and the
importance of the relationship between environment and human rights is unquestionably
high in international law. However, given the opposition voiced in some quarters to the
inclusion of environmental consideration within a human rights framework, different
avenues towards environmental protection have been devised in an attempt to
progressively build up a comprehensive coverage of the relevant issues. In human rights
law, the first step has been to progressively reinterpret rights formulated before the
‘ecological era’ as some monitoring and supervisory human rights bodies have already
undertaken. Second, procedural rights embodied in the two UN human rights Covenants
and informed by developments in international environmental instruments can be used
on their own in some circumstances and finally, a full right to environment allows
environmental considerations to be looked at in their own right without reference to
other human rights and to take into account the global dimension of the problems.
These alternatives should be seen as complementary rather than incompatible as they all
tend towards the same goal. A right to environment represents in theory the ultimate
goal to attain in view of the special attention paid to internationally recognised human
rights, but practical considerations may dictate concentration on the ‘partial’ solutions
that have the significant advantage of allowing for some measure of protection as of
today.

Environmental deterioration could eventually endanger life of present and future

generations. Therefore, the right to life has been used in a diversified manner in India.
It includes, inter alia, the right to survive as a species, quality of life, the right to live
with dignity and the right to livelihood. In India, this has been expressly recognised as a
constitutional right. However, the nature and extent of this right is not similar to the
self-executor and actionable right to a sound and healthy ecology prescribed in the
Constitution of the Philippines. Article 21 of the Indian Constitution states: ‘No person
shall be deprived of his life or personal liberty except according to procedures established
by law.’

The Supreme Court expanded this negative right in two ways. Firstly, any law affecting
personal liberty should be reasonable, fair and just. Secondly, the Court recognised
several unarticulated liberties that were implied by Article 21. It is by this second
method that the Supreme Court interpreted the right to life and personal liberty to
include the right to a clean environment. In addition, the Constitution (Forty Second
Amendment) Act 1976 explicitly incorporated environmental protection and improvement
710 Urban Legal and Policy Frameworks

as a part of state policy. Article 48A, a Directive Principle of State Policy, provides that:
‘The State shall endeavour to protect and improve the environment and safeguard the
forests and wildlife of the country.’ Moreover, Article 51A (g) imposes a similar
responsibility on every citizen ‘to protect and improve the natural environment including
forests, lakes, rivers and wildlife, and to have compassion for living creatures’. Therefore,
protection of natural environment and compassion for living creatures were made the
positive fundamental duty of every citizen. Both the provisions substantially send the
same message. Together, they highlight the national consensus on the importance of the
protection and improvement of the environment. Link between environmental quality
and the right to life was first addressed by a constitutional bench of the Supreme Court
in the Charan Lal Sahu Case. In 1991, the Supreme Court interpreted the right to life
guaranteed by Article 21 of the Constitution to include the right to a wholesome
environment.

In M.C. Mehta vs. Union of India (1991) AIR SC 813): The case concerned the deterioration
of the world environment and the duty of the state government, under Article 21, to
ensure a better quality of environment. The Supreme Court ordered the Central
government to show the steps they have taken to achieve this goal through national
policy and to restore the quality of environment.
In M.C.Mehta v.UOI 1998 (4) SCALE 326, the Supreme Court dealt with the problem of air
pollution caused by motor vehicle operating in Delhi. It was a public interest petition
and the court made several directions towards the Ministry of Environment and Forests.
Decisions such as this indicate a new trend of the Supreme Court to fashion novel
remedies to reach a given result, although these new remedies seem to encroach on the
domain of the executive. Another expansion of the right to life is the right to livelihood
(Article 41), which is a directive principle of state policy. This extension can check
government actions in relation to an environmental impact that has threatened to dislocate
the poor and disrupt their lifestyles. A strong connection between Article 41 and Article
21 was established in the 1980’s. However, in a restrictive decision in 1993, the court
held that it is not feasible or appropriate to guarantee Article 41 as the country lacked
the economic capacity and development to honour such guarantee. However, in Kirloskar
Bros. Ltd vs. ESI Corporation the court opined that the expression ‘life’ assured in
Article 21 has a much wider meaning which includes a right to livelihood, better standard
of living, hygienic conditions in the workplace and leisure facilities and opportunities to
eliminate sickness and physical disability of the workmen. The third aspect of the right
to life is the application of public trust doctrine to protect and preserve public land. This
doctrine serves two purposes: it mandates affirmative state action for effective
management of resources and empowers the citizens to question ineffective management
of natural resources. Public trust is being increasingly related to sustainable development,
the precautionary principle and bio-diversity protection. Moreover, not only can it be
used to protect the public from poor application of planning law or environmental
impact assessment, it also has an intergenerational dimension.
When the Indian courts applied the public trust doctrine, they have considered it not
only as an international law concept, but also as one which is well established in their
Disaster Management 711

national legal system. Accepting public trust doctrine as part of common law, the Indian
Courts have applied this explicitly in three recent cases, one in 1997 and two cases in
1999. This concept has not been applied in any environmental litigation in Pakistan or
Bangladesh. However, their successful application in India shows that this doctrine can
be used to remove difficulties in resolving tribal land disputes and cases concerning
development projects planned by the government.

35.4 Environmental Rights and Disasters

Human beings are an integral part of their environment and the environment impacts on
all aspects of human life, including human rights. The 1972 United Nations Conference on
the Human Environment formally recognised the interrelation of environment and human
rights, affirming that ‘man’s environment, the natural and the man-made, are essential
to his well-being and to the enjoyment of basic human rights –even the right to life
itself’.12

The 1972 Stockholm Declaration on the Human Environment recognised the link between
human rights and environmental protection stating that “[man] has the fundamental right
to freedom, equality and adequate conditions of life, in an environment of a quality that
permits a life of dignity and well-being.”

The Stockholm Declaration “does not actually proclaim a right to the environment, but
implies that the exercise of other human rights indispensably requires basic environmental
health”. Human Right and Environment are interlinked . Especially from natural disaster
perspective. For example, the disasters which have taken place in recent times and post
disaster situation have made us think that a number of Human Right violations take
place soon after disaster. It can be displacement, left out cases of enumeration, lack of
aid, discrimination during distribution of aid, loss of property etc.
The right to life and the right to be free from interference with one’s home and property
are civil and political rights covered by various treaties. In environmental terms the
right to life may include a positive obligation on the state to take steps to prevent a
reduction of or an extension of life expectancy.
Human rights cannot be secured in a degraded or polluted environment. The fundamental
right to life is threatened by soil degradation and deforestation and by exposures to
toxic chemicals, hazardous wastes and contaminated drinking water. Environmental
conditions clearly help to determine the extent to which people enjoy their basic rights
to life, health, adequate food and housing, and traditional livelihood and culture. It is
time to recognise that those who pollute or destroy the natural environment are not just
committing a crime against nature, but are violating human rights as well.
Recent humanitarian crises provoked by disasters have raised new challenges for all
those involved in prevention of disasters, its management and recovery. It has recently
become increasingly evident that humanitarian interventions must integrate human rights
12
Report of the United Nations Conference on the Human Environment, Stockholm, 1972.
712 Urban Legal and Policy Frameworks

dimensions in order to ensure the most appropriate response to victims, before, during
and after the disasters.

International environmental agreements, especially since 1992, more commonly consider

certain human rights as essential elements to achieving environmental protection. This
approach is well illustrated by the Rio Declaration on Environment and Development,
adopted at the conclusion of the 1992 Conference of Rio de Janeiro on Environment and
Development. To formulates a link between human rights and environmental protection
largely in procedural terms, declaring in that access to information, public participation
and access to effective judicial and administrative proceedings, including redress and
remedy, should be guaranteed because “environmental issues are best handled with the
participation of all concerned citizens, at the relevant level”. These procedural rights,
contained in all human rights instruments, are thus adopted in environmental texts in
order to have better environmental decision-making and enforcement.
“Environmental security” was identified as a core component of the definition of human
security outlined in UNDP’s 1994 report. Nevertheless, human security debates and policies
tend to focus more on human-made disasters, such as armed conflicts and human rights
abuses. At the same time, strategies for disaster risk reduction (e.g. the Hyogo Framework
for Action 2005-2015) have largely avoided explicitly referring to human security.
Even so, as recent catastrophes like the earthquakes in Haiti and Japan have clearly
shown, the actual threats that people struggle with following a natural disaster are
similar to those of a human-made crisis such as armed conflict: “fear” (such as aftershocks
and deteriorating social order) and “want” (lack of food, water and shelter). Likewise,
many of the same actors are involved in the response, notably the UN and humanitarian
NGOs. Indeed, most of the organisations involved in natural disaster relief are working to
protect human security, even if they don’t label their work as such.
In post-conflict situations the practical value of the human security approach lies in its
ability to focus and coordinate the efforts of many different actors on actual human
needs, by providing a holistic and bottom-up perspective.
Clearly, this approach would also be beneficial in the response to natural disasters -
where coordination of relief efforts has been a recurring problem, as seen in the Indian
Ocean tsunami and the earthquakes in Haiti and Japan. A human security approach would
encourage systematic information sharing, common action plans, needs assessment, and
better coordination of responses and offers of assistance.
A human security perspective encourages us to consider the needs of the most vulnerable
parts of the population, most notably protecting women, children, and the elderly. Human
security also emphasizes empowerment strategies, enabling people — both individuals
and communities — to act on their own behalf, and on the behalf of others. Particularly
during rebuilding, it would suggest a bottom-up approach and incorporation of the voices
of all those affected. In disaster preparedness, human security would assist in guiding
policy development by ensuring resilience measures and scenarios include consideration
of human and community needs.
Disaster Management 713

Environmental degradation is one of the most severe problems human beings are suffering
from. Many people do not have access to clean air and drinking water and experience
health problems due to the increasing pollution. The environment impacts on people’s
human rights both positively and negatively. It plays an essential role in ensuring human
life, providing the raw materials for our food, industry and development. However,
environmental hazards, such as excess radiation or contaminated drinking water, can also
threaten the fundamental right to life. People exposed to pollution of the soil, air or
food and water supplies may be subject to human rights violations as well as bad health,
genetic, loss of livelihood and even death. Many fundamental human rights have significant
environmental dimensions: the right to health, to safe and healthy working conditions,
to adequate housing and food, to work and to an adequate standard of living.

Climate Refugee Crisis

The world today is gripped with the ever-increasing effects of climate change, which
include (but are not limited to) droughts, floods, forest fires, tsunamis, extreme climatic
conditions, etc., which also has a severely adverse effect on human beings. One of
these, which is becomes more and more evident in the recent years, is climate migration.
A climate refugee is someone forced from their home by the planet’s changing climate
or an extreme weather event.
According to a World Bank Report, extreme weather has already displaced an average of
24 million people by 2008. It further predicted that by 2050, a good chunk of the developing
regions of the world that lie in Sub-Saharan Africa, Latin America and South Asia will
have around 143 million climate refugees; who will be displaced primarily by expanding
deserts and rising sea levels. The most recent event that comes to mind are the Australian
bushfires, which have caused damage to both humans and animals on the continent at
catastrophic rates, which have led scientists to be believe that Australians in several
parts of the Continent can join the ranks of these refugees in the future.
Internationally, there has been a consensus that such crisis affect the developing region
of the world more than the developed regions; which will prompt migration from the
former (usually lying in the global south) to the latter (lying in the global north). This has
been reflected in debates around UNFCC and Kyoto Protocol that took place in the
earlier part of the decade. There was a further call for provision of financial and
technological aid from developed to developing countries, an area which still requires
greater action from governments of the developed world.
While the problem of climate migration has been gaining some international attention
lately, it has still not been taken up seriously under any legal or policy framework. The
leading international instruments for refugees -the 1951 Geneva Convention and the 1967
Protocol Relating to the Status of Refugees- both don’t recognise climate refugees, making
them ineligible for any protection under these frameworks. Moreover, the latest political
trends indicate that the world governments are becoming increasingly hostile to the
issue of refugees and migration; for which the current immigration debates in India and
U.S.A are examples. In such times, enabling international deliberation and negotiation on
the issue of climate refugees is a difficult task.
714 Urban Legal and Policy Frameworks

However, there have been policy initiatives taken up by some nations in this regard. The
biggest example is the case of New Zealand, which was considering, at one point of time,
the idea of issuing humanitarian visas to those who’ve migrated due to climate disasters.
Developing countries, on their part, have also started taking steps towards climate change
resilience. Fiji has agreed to National Relocation Guidelines that provide guidance for
both the government and communities affected by slow- and sudden-onset hazards. And
Vanuatu’s Ministry of Climate Change Adaptation has prepared a National Policy on Climate
Change and Disaster-Induced Displacement, which aims to ensure “movement takes place
with dignity and with appropriate safeguards and human rights protections in place.”

However, the same is not true for India, where discussion(and subsequent action) on this
issue seems to have a bleak future. India has not signed either of the two international
instruments in this regard. This might come as a surprise to many, because in today’s
time India has become a climate-vulnerable country. It has been estimated that sees
close to 1.5 million people(1.3 million in 2017) being internally displaced due to climate
change every year. Phenomenon like incessant flooding, tsunamis, cyclones and excessive
rainstorms have historically affected our coastal areas, like in Odisha and Southern India;
but have now moved on to cause damage in the interiors of the country too. The recent
deaths in UP, Bihar and Assam serve as examples of the same. With passing time, newer
issues are also popping up in this regard. For example, salt intrusion in the Sundarbans
Delta. A report estimates that in the future, a mammoth 50-120 million people might end
up becoming climate refugees travelling from Bangladesh to India.

This refugee crisis connects the two areas of environmental justice and human rights
very well. Climate change affects the vulnerable sections of the world the most; and
their migration into newer areas pushes them into another life of hardships and struggle
for survival. These refugees are faced with problems that affect all other refugees in the
world- lack of living areas, sub-standard access to basic needs, apathy from the local
population and governments, etc. The situation is no different for India. While certain
governments- like those in Orissa and Uttarakhand- have brought about policies to increase
adaption in times of climate change; this only one step that will help reduce the climate
refugee crisis. Administrative lethargy- even apathy, lack of planning and a complete
lack of policy protection are the main hurdles in this area; and thus will need to be
sorted out in order to improve the current situation.

Tribal crisis
One of the communities that bear the brunt of climate change are the indigenous or
tribal people of the land. Since they derive most of the livelihoods from the environment,
any change in this environment affects them as well.

One example of this is in the countries of the Pacific Islands(like Hawaii) which are
becoming increasingly vulnerable to the effects of climate change given their ocean-
based locations. These countries fear constant threat of submergence and extinction of
their wildlife due to these phenomena. These countries also have a significant tribal
population, many of which are scared of the cultural loss that will accompany any climate-
Disaster Management 715

related migration. This has led to these countries calling on greater action from the
developed regions of the world to help in reducing carbon-dioxide emission, which will
finally reduce global warming.

Another example is much more recent and comes from the Amazon Forest fires which hit
the South American Continent in mid-2019. This incident, which reduced several acres
of trees in one of the largest rainforests of the world, also affected the fauna and
humans in its surroundings- the most prominent of which were the indigenous communities
who lived in these forests. The apathy and subsequent inaction of the Brazilian government
in this regard; and the anti-environmental policies (like on land rights) since its inception
has made these communities highly vulnerable to political extinction. Tribals in these
areas have started reporting instances of criminal intimidation and police brutality on
them, both of which has seen a rise under the current government. In the light of these
events, the indigenous communities in the Amazon rainforest are also coming together
to fight against the government for their rights. Given the government’s hostility, this
might become a difficult task to achieve.

Problems with tribal communities continue in our country’s well. Environmental experts
from around the country are of the opinion that the current government’s stand on
promoting natural resource-extraction companies, which mostly work in tribal areas,
poses great dangers(including eviction and denial of access to these resources) to the
communities living over there. The country’s lack of a clear national forest policy and
inaction on deforestation has also affected their lives.

Governmental Hostility
Unfortunately, issues concerning environmental protectionism have started to receive
apathy and outright hostility from several world governments. US’s withdrawal from the
Paris Agreement, the Australian PM’s opinions on the recent bushfires, the Bolsonaro-led
Brazilian government’s response to a range of environmental issues(and not just the
forest fires) are all examples in this regard.

Naturally, this hostility has extended towards all those organisations and individuals who
have worked for raising environmental issues within their countries. This hostility has
not restricted itself to policy constraints, but has gone on to include outright violence
and persecution of the protesting parties. The Business and Human Rights Resource Centre
documented almost 100 prosecutions worldwide against environmentalists or activists
defending community land rights from corporate interests last year. A UN report suggests
that an average of three rights defenders was killed every week last year. Such prosecutions
were most common in countries like Peru, Russia, and the Philippines, but were also
becoming common in the US.

This problem is also widespread in Latin American countries like Columbia, where immunity
from persecution accountability is largely enjoyed by the government. According to the
United Nations, the single most targeted group in Columbia were the human rights
716 Urban Legal and Policy Frameworks

defenders advocating on behalf of community-based and specific ethnic groups such as

indigenous peoples and Afro-Colombians. Out of these, killings of women human rights
defenders increased by 50% in 2019 as compared to 2018.

Such incidents, however, are not restricted to only the developing countries. Recently(just
before the December bushfires) several leaders in Australia called for a clampdown on
environmental protests that were erupting all over the country in relation to the
government’s stance on fossil fuel industries like coal. They also succeeded in bringing
out legislations to reduce the rights of protestors. Such moves, , are ignorant of the
people’s rights to protest for a safer environment for themselves as well as their future
generations; which forms a very essential part of their human rights.

As is evident, these governments are increasingly opting for suppressing voices that
oppose their decisions, rather than recognise their mistakes and bring out institutional
reforms for the same. While it is easy to blame pro-business or conservative governments
of engaging in such actions, cases in Russia and China not only prove us wrong but also
gives us the message of avoiding taking such ideologically-oriented stance in this regard.
What is required instead is activism from the international community, who can mobilise
resistance and put pressure on these governments to follow the right path. Recently, the
United Nations has brought about an agreement to strengthen cooperation between the
UN Environment Programme and the Human Rights Office for protecting human and
environmental rights defenders across the world. Awareness and support from civil society
and environmental/human right organisations can be of help here; but at the end of the
day only the willingness to help, more empathy and greater accountability from world
governments will help make such initiatives a success.

35.5 Natural and Man-made Disaster — Case Studies

There is considerable debate regarding the definition of “natural” versus “man-made”
disasters. The disaster of the 2004 tsunami was not the earthquake which produced the
tidal surges, but rather the poorly-executed humanitarian response. Most humanitarians
recognise shared responsibility between natural phenomena and human actions. For
example, mudslides increase in Nepal as a result of both glacier runoff (a natural cause)
and deforestation (a man-made cause).

Recent humanitarian crises provoked by natural and man-made disasters have raised new
challenges for all those involved in prevention of natural disasters, its management and
recovery. It has recently become increasingly evident that humanitarian interventions
must integrate human rights dimensions in order to ensure the most appropriate response
to victims, before, during and after natural disasters. However, despite this emerging
realisation, the awareness of human rights and implementation of rights-based approaches
in disaster management are still insufficient.
Disaster Management 717

Some Natural disasters13

a) Hurricane Katrina Date: August 2005
Location: Louisiana, Mississippi, as well as other areas of the Southern United States
Fatalities: 1,300
Total losses/insured losses: $125 billion/$62.2 billion
Indelible media footage of people waiting to be rescued from rooftops as turbulent
water continued to rise around them made Hurricane Katrina one of the most
unforgettable natural disasters in recent American history. Today, an ongoing effort
to rebuild New Orleans keeps Hurricane Katrina at the forefront of American minds.

The hurricane itself claimed 1,300 lives, but property damage was far more
substantial. Total economic losses are calculated at $125 billion, and insured losses
amount to $62.2 billion, according to the Insurance Information Institute (III). Although
preliminary estimates from the March 11, 2011 earthquake in Japan are already
higher, Hurricane Katrina currently ranks as the 21st Century’s most expensive natural
catastrophe to date.

b) 2003 European heat wave Date: June-August of 2003

Location: France, Italy, Germany and throughout Europe
Fatalities: 70,000
Total losses/insured losses: $13.8 billion/$20 million
While the effects of hurricanes, tornadoes and many other natural disasters can be
seen and measured immediately, other catastrophes take an entire season before
death tolls and losses are clear. Such was the case in the summer of 2003 when a
heat wave killed more than 70,000 people throughout Europe; most deaths were
concentrated in the elderly population.

The idea that high temperatures could wreck deadly havoc may seem somewhat
strange, but air-conditioning is a rarity throughout much of Europe, and especially
in France. In these normally cooler climates, abnormally hot temperatures and the
government’s inability to locate those most vulnerable to hyperthermia combined
to cause many of the heat-related deaths.

c) 2005 Kashmir earthquake Date: October 2005

Location: Pakistan, India and Afghanistan
Fatalities: 88,000
Total losses/insured losses: $5.2 billion/$5 million
Measured at magnitude 7.6, the 2005 Kashmir earthquake devastated Pakistan, as
well as parts of India and Afghanistan. The fatalities attributed to this natural disaster
numbered 88,000 and the total losses amounted to $5.2 billion, according to the III.
13
All statistics are from the Article by Aric Mitchell, “7 worst natural disasters of the last decade”, posted on:
May 4, 2011. <http://blog.insure.com/2011/03/16/7-worst-natural-disasters-of-the- 21st-century/>
718 Urban Legal and Policy Frameworks

In addition, the U.S. Geological Survey estimated that more than 69,000 people
were injured and at least 32,000 buildings collapsed during this natural catastrophe.
d) Cyclone Nargis Date: May 2008
Location: Myanmar (Burma), Bay of Bengal
Fatalities: 140,000
Total losses/insured losses: $4 billion/not applicable
The Cyclone Nargis came out of the North Indian Ocean during the storm season of
2008 with winds as strong as 121 miles per hour. When the storm hit landfall, it
killed 140,000 people. In the process, about $4 billion worth of damage was sustained.
To make matters worse, international relief efforts were rebuffed by the country’s
military junta immediately after the storm hit Myanmar. That left many survivors of
the storm without necessary supplies.

e) 2008 Sichuan earthquake Date: May 2008

Location: Sichuan Province, China
Fatalities: 84,000
Total losses/insured losses: $85 billion/$300 million
In less than 2 minutes the 7.9 magnitude Sichuan earthquake affected 45.5 million
people in China, according to the U.S. Geological Survey (USGS). In this earthquake’s
aftermath, 15 million people were evacuated from their homes, more than 5 million
were left homeless and over 84,000 were killed. In fact, the number of deaths from
this terrifying temblor could be higher, as 18,000 people remain missing to this day.

f) Indian Ocean tsunami of 2004 Date: December 2004

Location: Sri Lanka, Indonesia, Thailand, India, Bangladesh, Myanmar, Maldives and
Malaysia
Fatalities: 220,000
Total losses/insured losses: $10 billion/$1 billion
Few disasters have had the same level of international impact as the Indian Ocean
tsunami of 2004. On Dec. 26, 2004, an undersea earthquake originating in Sumatra,
Indonesia caused a catastrophic tsunami that would claim the lives of more than
220,000 people. The earthquake and resulting tsunami affected Sri Lanka, India,
Thailand, Maldives, Indonesia and many other countries in Asia and northern Africa.
The deadly megathrust earthquake was estimated at magnitude 9.0.

If we take the case studies of different countries post tsunami 2004 we can see that
natural disasters can magnify and exacerbate existing human rights problems.
Vulnerable groups affected by disasters find it most difficult to claim their human
rights. Women and children are disproportionately affected by disasters and conflict;
and in the case of the tsunami, women and children were killed in greater numbers
and their voices and needs have not been included in decisions about relief allocation.
Lack of adequate health care, housing, and livelihood assistance to women has
Disaster Management 719

deprived them of their right to be treated with human dignity. Minority groups in
India and Burmese migrant workers in Thailand have reported to have suffered
discrimination in aid assistance, and lack of legal protection and enforcement of
their rights render them vulnerable to abuse. In Indonesia and Sri Lanka, ongoing
separatist conflicts in tsunami-impacted areas affect the human rights of survivors.
In Aceh, the exercise of control over those displaced by the tsunami interferes with
their access to aid. Similarly, in Sri Lanka after the tsunami the lack of an agreement
between rebel forces and the government over control of relief distribution has
interfered with aid delivery and progress on reconstruction. In the Maldives, the
lack of attention to the problems of distant islands made these more vulnerable to
the effects of the tsunami and has exposed vulnerabilities in the transport and
supply systems.

g) 2010 Haiti earthquake Date: January 2010 Location: Haiti Fatalities: 222,570
Total losses/insured losses: $8 billion/$200 million
Twelve days into 2010, the 7.0 magnitude Haiti earthquake killed close to 222,570
people and left an additional 3 million Haitians affected in some way. While the
intensity of the earthquake was not as pronounced as the March 11, 2011 earthquake
in Japan, Haiti’s shoddy construction standards and the absence of building codes
made the catastrophe particularly devastating. Following the earthquake, survivors
slept on the streets either out of necessity or for fear that standing structures were
unstable. Haiti is still in recovery in the aftermath of this quake.

Some Man-made disasters14

a) Chernobyl
April 26, 1986. Reactor 4 at Chernobyl was scheduled to be shut down, but a decision was
made to use the shut-down as an opportunity to test a theory. It had never been proven
that cooling could be maintained in the event of an external power failure. Engineers
believed that residual energy from the turbine rotation could be used to pump cooling
water until emergency generators kicked in. Unfortunately, the test was poorly conceived
and badly executed. The resulting run-away nuclear reaction, fire and explosion released
more than 400-fold the amount of radiation from the Hiroshima bomb, hitting Belarus
hardest and extending as far as Ireland. A total of 56 deaths and over 4,000 cancer cases
are attributed directly to the accident.

The greatest lessons arising from this event involve the response: Emergency personnel
were not informed of the risk, and the public was put at greater exposure due to poor
evacuation measures. Today, a 30-kilometer exclusion zone remains unoccupied around
the Chernobyl nuclear power plant, where large amounts of nuclear material in a decaying
sarcophagus continue to incite concern.

14
Statistics are from an Article by Christene Lepisto, ‘ 8 Worst Man-made Environmental Disasters of All
time’, October 21, 2009 at Treehugger <http://www.treehugger.com/natural-sciences/8- worst-man-made-
environmental-disasters-of-all-time.html>
720 Urban Legal and Policy Frameworks

b) Seveso

July 10, 1976. A plume of tetrachlorodibenzoparadioxin (TCDD) contaminated vapours is

released from a pesticide plant in the town of Seveso, Italy. Some 37,000 people were
exposed to the highest levels ever recorded of a dioxin, a class of chemicals believed to
be poisonous and carcinogenic even in micro-doses. Over 600 people were evacuated
and several thousand were treated for dioxin poisoning, evidenced mainly by severe
cases of chloracne. Over 80,000 animals were slaughtered to prevent the toxins entering
food chains.

The accident provided massive amounts of data on dioxin exposures that is still being
studied even today. Thanks to the foresight of attending physicians who saved blood
samples from all the victims, better quantification of the scope of the incident was
possible after test methods became available in 1987.

Moreover, the name Seveso is now used routinely in the European chemical industry: It
is the name of a law which requires all facilities handling, or even storing, quantities of
hazardous materials to inform the authorities, the community surrounding the plant, and
to develop and publicise measures to prevent and respond to major accidents.

After the Seveso accident, the immediate reaction of authorities led to the introduction
of European regulation for the prevention and control of heavy accidents involving
toxic substances. This regulation is now known as the Seveso Directive.

c) Bhopal Gas Tragedy - Man-made disaster

The disaster in Bhopal has been not just an environmental tragedy, but also a human
rights disaster. A slew of international human rights laws and standards were trampled
before the gas leak even happened, and Union Carbide, Dow Chemical, and the government
of India have continued to violate human rights laws and standards by refusing to clean
up, refusing to provide compensation, denying people clean water, denying them proper
medical care, and generally ignoring the plight of thousands upon thousands of people
in Bhopal who continue to suffer from the effects of the 1984 gas leak and the water
contamination that persists to this day.

On the night of December 2-3, 1984, a pesticide plant operated by the Union Carbide in
Bhopal, released methyl isocyanate (MIC) gas and other toxins, resulting in the exposure
of over 500,000 people.

Estimates vary on the death toll. The government of Madhya Pradesh confirmed a total
of 3,787 deaths related to the gas release. Other government agencies, however, estimate
15,000 deaths.

It is estimated that 20,000 have died since the accident from gas-related diseases.
Another 100,000 to 200,000 people are estimated to have permanent disabilities. A research
conducted by the BBC in 2004 pointed out that this pollution still causes people to fall ill,
and ten more die every year.
Disaster Management 721

d) Exxon Valdez
March 24, 1989. The tanker Exxon Valdez, captained by the now infamous Joseph
Hazelwood, ran aground on Prince William Sound’s Bligh Reef, spilling more than 10.8
million US gallons (40.9 million litres) of crude oil into the sensitive natural coastline. The
National Oceanic and Atmospheric Administration estimates that 26,000 gallons of Valdez
oil remains adhered to the rocks and soils of the spill site. The Exxon Valdez still plies
the waters of Asia as an ore ship under the name Dong Fang Ocean.

The oil spill killed approximately 250,000 sea birds, 2,800 sea otters, 250 bald eagles and
possibly 22 killer whales. This despite the mobilisation of more than 11,000 people and
1,000 boats as part of the clean-up.

e) Gulf of Mexico spill

Deepwater Horizon oil spill (also referred to as the BP oil spill, the Gulf of Mexico oil
spill, the BP oil disaster, or the Macondo blowout) is an oil spill in the Gulf of Mexico
which flowed unabated for three months in 2010. It is the largest accidental marine oil
spill in the history of the petroleum industry. The spill stemmed from a sea- floor oil
gusher that resulted from the April 20, 2010, explosion of Deepwater Horizon, which
drilled on the BP-operated Macondo Prospect. The explosion killed 11 men working on
the platform and injured 17 others.

On July 15, 2010, the leak was stopped by capping the gushing wellhead, after it had
released about 4.9 million barrels (780,000 m3) of crude oil. An estimated 53,000 barrels
per day (8,400 m3/d) escaped from the well just before it was capped. It is believed
that the daily flow rate diminished over time, starting at about 62,000 barrels per day
(9,900 m3/d) and decreasing as the reservoir of hydrocarbons feeding the gusher was
gradually depleted. On September 19, 2010, the relief well process was successfully
completed, and the federal government declared the well “effectively dead”. In August
2011, oil and oil sheen covering several square miles of water were reported surfacing
not far from BP’s Macondo well.

The spill caused extensive damage to marine and wildlife habitats and to the Gulf’s
fishing and tourism industries. Skimmer ships, floating containment booms, anchored
barriers, sand-filled barricades along shorelines, and dispersants were used in an attempt
to protect hundreds of miles of beaches, wetlands and estuaries from the spreading oil.
Scientists also reported immense underwater plumes of dissolved oil not visible at the
surface as well as an 80-square-mile (210 km²) “kill zone” surrounding the blown well.

In late November 2010, 4,200 square miles (11,000 km²) of the Gulf were re-closed to
shrimping after tar balls were found in shrimpers’ nets. The amount of Louisiana shoreline
affected by oil grew from 287 miles (462 km) in July to 320 miles (510 km) in late
November 2010. In January 2011, an oil spill commissioner reported that tar balls continue
to wash up, oil sheen trails are seen in the wake of fishing boats, wetlands marsh grass
remains fouled and dying, and crude oil lies offshore in deep water and in fine silts and
722 Urban Legal and Policy Frameworks

sands onshore. By July 9, 2011, roughly 491 miles (790 kilometres) of coastline in Louisiana,
Mississippi, Alabama and Florida remained contaminated by BP oil.
In October 2011, an official report stated that dolphins and whales continue to die at
twice the normal rate.
In January 2011 the White House oil spill commission released its final report on the
causes of the oil spill. They blamed BP and its partners for making a series of cost-
cutting decisions and the lack of a system to ensure well safety. They also concluded that
the spill was not an isolated incident caused by “rogue industry or government officials”,
but that “The root causes are systemic and, absent significant reform in both industry
practices and government policies, might well recur”. After its own internal probe, BP
admitted that it made mistakes which led to the Gulf of Mexico oil spill. In June 2010
BP set up a $20 billion fund to compensate victims of the oil spill. To July 2011, the fund
has paid $4.7 billion to 198,475 claimants. In all, the fund has nearly 1 million claims and
continues to receive thousands of claims each week.
In September 2011, the U.S. government published its final investigative report on the
accident. In essence, that report states that the main cause was the defective cement
job, and Halliburton, BP and Transocean were, in different ways, responsible for the
accident.

f) Love Canal Chemical Waste Dump

A seemingly regular neighbourhood, the only thing that distinguished Love Canal near the
Niagara Falls, was the strange odours that often hung in the air and an unusual seepage
noticed by inhabitants in their basements and yards. Children in the neighbourhood
often fell ill. Love Canal families regularly experienced miscarriages and birth defects.
In the mid-1970s Love Canal became the subject of national and international attention
after it was revealed in the press that the site had formerly been used to bury 21,000
tons of toxic waste by Hooker Chemical (now Occidental Petroleum Corporation).
Hooker Chemical had sold the site to the Niagara Falls School Board in 1953 for $1, with
a deed explicitly detailing the presence of the waste, and including a liability limitation
clause about the contamination. The construction efforts of housing development,
combined with particularly heavy rainstorms, released the chemical waste, leading to a
public health emergency and an urban planning scandal. Hooker Chemical was found to
be negligent in their disposal of waste, though not reckless in the sale of the land, in
what became a test case for liability clauses. The dumpsite was discovered and investigated
by the local newspaper, the Niagara Falls Gazette, from 1976 through the evacuation in
1978. Potential health problems were first raised by reporter Michael H. Brown in July
1978.
The waste mainly consisted of pesticide residues and chemical weapons research refuse.
The chemicals had entered homes, sewers and yards. More than 900 families were moved
away from the location. Eventually the then President Carter provided funds to move all
the families to a safer area.
Disaster Management 723

g) The Three Mile Island, USA

On March 28, 1979, the Three Mile Island nuclear reactor near Harrisburg partially melted
down causing a near nuclear disaster. Fortunately about 18 billion curies of radiation that
could have been released were held by the containment structure around the reactor.

But coming barely two weeks after the release of the Jane Fonda film The China
Syndrome, the Three Mile Island incident became the natural outlet for fears about the
nuclear-power industry.

Though it was uncertain how much radiation was exactly released, a few days after the
accident had occurred all children and pregnant women were evacuated from an 8 km
radius of Three Mile Island as a safety precaution.

Radiation from the Three Mile Island reactor has contributed to the premature deaths of
some elderly people that lived in the region. Dairy farmers reported that many animals
have died consequential to the accident and local residents have developed cancers.
Some studies suggested that premature deaths and birth defects also resulted from the
nuclear melt-down.

h) The death of the Aral Sea, Kazakhstan

This was once among the four largest lakes of the world with an area of 68,000 square
kilometres (as big as Ireland). The Aral Sea, however, has shrunk by 90% since the 1960s
after the rivers that fed it were diverted by Soviet Union irrigation projects.

What was once a vibrant, fish-stocked lake is now a massive desert that produces salt
and sandstorms that kill plant life and have negative effects on human and animal health
for hundreds of miles around. Scores of large boats sit tilted in the sand - a tableau both
sad and surreal.

i) Kuwaiti Oil fires, Gulf war

The Gulf War oil spill/ fires is regarded as the largest oil spill in history, resulting from
the 1990 Iraqi invasion of Kuwait. As the 1991 Persian Gulf War drew to a close, Hussein
sent men to blow up Kuwaiti oil wells. Approximately 600 were set ablaze, and the fires
— literally towering infernos — burned for seven months.

The oil spill, which began on January 23, 1991, caused considerable damage to wildlife
in the Persian Gulf especially in areas surrounding Kuwait and Iraq. Estimates on the
volume spilled usually range around 11 million barrels; the slick reached a maximum
size of 6787 km² and was 5 inches thick in some areas.

j) Minamata Disease, Japan

Minamata disease, sometimes referred to as Chisso-Minamata disease, is a neurological
syndrome caused by severe mercury poisoning.
724 Urban Legal and Policy Frameworks

Minamata disease was first discovered in Minamata city in Kumamoto prefecture, Japan
in 1956. It was caused by the release of methyl mercury in the industrial wastewater
from the Chisso Corporation’s chemical factory, which continued from 1932 to 1968.
This highly toxic chemical bioaccumulated in shellfish and fish in Minamata Bay and the
Shiranui Sea, which when eaten by the local populace resulted in mercury poisoning.

While cat, dog, pig and human deaths continued over more than 30 years, the government
and company did little to prevent the pollution.

As of March 2001, 2,265 victims had been officially recognised and over 10,000 had
received financial compensation from Chisso Corpo. By 2004, Chisso had paid $86 million
in compensation, and in the same year was ordered to clean up its contamination.

k) The Great London smog

The Great Smog or Big Smoke was a severe air pollution event that affected London in
December 1952. A period of cold weather combined with an anticyclone and windless
conditions, collected airborne pollutants mostly from the use of coal to form a thick
layer of smog over the city. It lasted from Friday 5th to Tuesday the 9th December
1952,and then quickly dispersed after a change in the weather.

Although it caused major disruption due to the effect on visibility, and even penetrated
indoor areas, it was not thought to be a significant event at the time. In the following
weeks however, medical reports estimated that 4,000 had died prematurely and 100,000
more were made ill due to the smog’s effects on the human respiratory tract. More
recent research suggests that the number of fatalities was considerably higher at around
12,000.

35.6 Conclusion
The relationship between human rights and the environment is a fascinating, uneasy, and
increasingly urgent one. It is time for the human rights community and the disaster
response community to work together to understand how protection can be integrated
into all phases of disaster management and how to include those affected by disasters as
the most important allies in disaster prevention and mitigation. The UN, governments
and non- governmental organisations must pull together to ensure a more consistent
response to combat discrimination and other forms of human rights violations that only
increase the terrible suffering that the victims of natural disasters already experience.
Protection monitoring mechanisms should be created and applied in natural disasters.
At present monitoring is neglected or based on methodology that does not produce
useful data for people in the field. The community is too often not involved in monitoring
and reporting. People don’t know how to report incidents or where to go or whom to call
to get help.
The suffering brought about by natural disasters may include death or separation from
family; loss of home, community and livelihood; loss of or damage to shelter; recruitment
Disaster Management 725

of children into fighting forces; unequal access to assistance; discrimination in aid

provision; forced relocation; sexual and gender-based violence; loss of documentation;
unsafe or involuntary return or resettlement; and issues of property restitution. These
are similar to the problems experienced by those displaced by conflicts. Protection
must be “factored in” when planning humanitarian activities, going beyond the narrow
focus of traditional responses to natural disasters. There is a need to formulate ways to
protect people’s rights and to plan ways to prevent discrimination before disaster strikes.
An operational priority should be placed on protection in all phases of disaster preparedness,
response and early recovery, adapting protection approaches to the changing situation as
necessary.

35.6 References and Recommended Readings

Report of the United Nations Conference on the Human Environment, Stockholm, 1972.

High Level Expert Meeting on the New Future of Human Rights and Environment: Moving
the Global Agenda Forward Co-organized by UNEP and OHCHR Nairobi, 30 November- 1
December 2009.

United Nations Environment Program, GEO Yearbook 2004/200.

726 Urban Legal and Policy Frameworks

UNIT 36
DISASTER MANAGEMENT:
PRACTICES AND RESPONSE
MECHANISMS
Contents
36.1 Introduction 726
36.2 Practices in Pre-disaster Situations 727
36.3 Practices in Post-disaster Situations and Responses 730
36.4 Law and Policy in Disaster Management 731
36.5 A Few Case Studies 742
36.6 Conclusion 748
36.7 References and Recommended Readings 750

36.1 Introduction
Disaster is a natural or man-made (or technological) hazard that has come to fruition,
resulting in an event of substantial extent causing significant physical damage or destruction,
loss of life, or drastic change to the environment. In response communities have tried to
battle disasters by developing various disaster response and management strategies. It
requires convergence of various expertise’s in diverse interdisciplinary fields for
contributions in disaster management.

Disaster Management is more than just response and relief. The whole concept assumes a
more proactive approach. It is a systematic process based on the key management
principles of planning, organising, and leading which includes coordinating and
controlling. It aims to reduce the negative impact or consequences of adverse events.

Disasters cannot always be prevented, however, the adverse effects can be minimised.
Disaster Management is a system with many components that aims exactly at this.
A hazard can become an emergency and when the emergency moves beyond the
control of the population, it becomes a disaster. Emergency is a situation generated by
the real or imminent occurrence of an event that requires immediate attention. Not
paying immediate attention to an event or situation can generate negative consequences
Disaster Management 727

and escalate into an emergency. The purpose of planning is to minimise those

consequences.

Disasters are emergencies gone awry. The Risk that these disasters pose is defined as
“the probability that loss will occur as the result of an adverse event, given the hazard
and the vulnerability of the event”. Vulnerability here is the extent to which a community’s
structure, services or environment is likely to be damaged or disrupted by the impact
of a hazard.

The emphasis of disaster management efforts should focus on communities and the people
who live in them. It is believed that unless the disaster management efforts are sustainable
at an individual and community level, it is difficult to reduce the losses and scale of the
tragedy. Involvement of communities is important in both pre-disaster mitigation and
post- disaster response and recovery process. The composite procedure involves pre-
disaster mitigation and post-disaster response and recovery process.

After any major disaster the local emergency services in the country affected respond
immediately. If the disaster is too big for them to cope alone, their governments may
request help from the rest of the world. At the same time, aid agencies already working
in the country will quickly gather information and requests for help from local people
including their staff. International aid agencies send specialist disaster assessment teams
to the affected country to work with local authorities to decide how best the world can
support the country. Once the initial assessment is made, governments, aid agencies,
international organisations such as the United Nations the European Union, and non-
government organisations provide equipment, medicines, food, shelter and personnel
to help the country cope with the disaster.

Following a disaster, rapid and effective action is needed to save lives, protect health
and stabilise the situation, to avoid making the emergency worse. But even in an acute
emergency, an assessment, however brief, is needed to ensure that any action undertaken
is effective. Rapid initial assessments to establish the nature and scale of the emergency
and the likely need for external assistance; and detailed sector assessments to plan
implement and coordinate a response. Other types of assessment are required at various
stages of the response, such as continual assessment (i.e. monitoring or surveillance) and
assessments for post emergency rehabilitation.

36.2 Practices in Pre-disaster Situations

Disasters whether natural or man-made can strike at any time. In general, the general
response to a disaster is in terms of relief and rescue operations - after the event.
However, if we are adequately prepared, it’s possible to severely reduce the impact of
a disaster. The impact can be reduced through a good understanding of preventive
actions, as well as having the knowledge of certain life-saving tools and techniques,
which when used at the time of the event of disaster can control the total damage to
life and belongings.
728 Urban Legal and Policy Frameworks

The biggest problem with the disasters is the suddenness and swiftness with which they
arrive. Hence, in order to reduce the severity of a disaster the response also has to
equally swift.
There are four steps in disaster management: mitigation, preparedness, response and
recovery. Every disaster is different and response is determined by the events at hand.
Disasters might be natural or unnatural in origin. Hurricanes are a natural disaster while
terrorism or chemical spills are unnatural. The type of emergency determines the response.
Some disasters might require evacuation or relocation. Others might demand quarantine
or decontamination.
The four steps to disaster management are as follows:
a) Mitigation: The mitigation phase of disaster management focuses on long-term
preparation or avoidance of disaster altogether. The accurate identification of
risks is paramount at this juncture. Risks are ranked through catastrophic modelling,
which uses mathematical formulas and computer calculations to weigh risk. Foreign
Exchange Management Act (FEMA) also offers free risk analysis software to assess
natural disaster risks. Mitigation includes preventive actions categorised as either
structural solutions, such as shoring up levees, to prevent flooding, or non-structural
solutions such as connecting with local and federal agencies to work out emergency
process flow.
b) Preparedness: Preparedness involves gathering supplies in anticipation of disaster
scenarios as well as training of emergency and nonemergency staff. Disaster
management focuses on ensuring shelter is available for displaced citizens as well as
maintenance and storage of equipment, training of staff and volunteers, and preparing
for resource mobilisation. Large-scale disaster training exercises are often conducted
to test preparedness and look for weaknesses in disaster response. Corporations
might also have emergency response teams composed of volunteers that undergo
disaster preparedness drills.
c) Response: First responders to a disaster are usually law enforcement officers,
firefighters and emergency medical technicians. From there, if a disaster warrants
a large-scale response, the chain of command and resource utilisation moves to
the District, then to the State and, finally, to the Central Government. Volunteer
organisations such as the Red Cross are often pivotal to the response effort as well.
Responders are connected through a FEMA-sponsored IT platform called Emergency
Information Management Systems. Response timing is critical as most disaster victims
die within the first two days of a catastrophic event.
d) Recovery: Once the initial crisis has passed, it is time to rebuild and restore what
was lost. This is known as the recovery phase of disaster management. The Central
government coordinates and provides the majority of post-disaster assistance as
determined by the National Response Plan, which is managed by the Department of
Homeland Security. As the recovery phase comes to a close, a thorough assessment
of what failed or succeeded should be taken and used to improve all phases of
disaster management.
Disaster Management 729

The first two steps constitute the practices of pre-disaster situations whereas, the last
two steps are a part of practices in post-disaster situations.

The main characteristics of a major disasters are that irrespective of the origin, after a
little while the scene is the same:
♦ total chaos all around
♦ lack of utilities – which we have always taken for granted
♦ no relief and rescue teams for several days
♦ lack of medical facilities
Thus, the sufferings are not just due to the disaster, but, post-disaster, many more
people die and suffer because of:
♦ lack of food, shelter
♦ lack of medical attention
♦ hygiene issues causing health hazards
Hence, even though we may not be able to avert some disasters, we can still be prepared
to effectively combat the adversities of the same.

Emergency preparedness is crucial for coming out from disasters with least damage. Just
the knowledge of what to do, may help save lives of many. Two concepts are relevant in
this context:

Trauma Management: Disaster stress may revive memories of prior trauma, as well as
possibly intensifying pre-existing social, economic, spiritual, psychological, or medical
problems. Trauma management is crucial and rescue workers as well as family members
should prepare themselves to handle trauma hit members in the family.

Disaster Preparedness: Preparedness has to be at all levels, be it governmental, aiding

authorities, local communities, organisations and institutions or at a family/individual
level. This step/phase illustrates the process by which governments, businesses, and
civil society plan for and reduce the impact of disasters, react during and immediately
following a disaster, and take steps to recover after a disaster has occurred. Appropriate
actions at all points in the phases lead to greater preparedness, better warnings, reduced
vulnerability or the prevention of disasters during the next iteration of the cycle. The
complete disaster management cycle includes the shaping of public policies and plans
that either modify the causes of disasters or mitigate their effects on people, property,
and infrastructure.

Another very important process is mitigation: Mitigation efforts attempt to prevent

hazards from developing into disasters altogether, or to reduce the effects of disasters
when they occur. The mitigation phase differs from the other phases because it focuses
on long-term measures for reducing or eliminating risk. The implementation of mitigation
strategies can be considered a part of the recovery process if applied after a disaster
730 Urban Legal and Policy Frameworks

occurs. Some activities that from a part of mitigation process are warning, evacuation,
containment of predicted (or disaster prone) area, installing safety measures, preparation
of disaster kits and so on.

36.3 Practices in Post-disaster Situations and Responses

In the immediate aftermath of disaster, the protection of life and provision of basic
necessities are the priorities while in the weeks and months that follow, the fuller range
of rights must be addressed. Protection activities that fall under the first group include
evacuations, relocations, protection against violence, camp security. The second group
covers access to humanitarian aid and the non-discriminatory provision of adequate
goods and services. The third group includes permanent housing, access to education,
restitution or compensation for property lost, and livelihoods and employment
opportunities, while the fourth group encompasses documentation, family reunification,
electoral rights, free movement, freedom of expression and assembly and other political
freedoms.

Rescue
The first step involved in any disaster is the rescue and evacuation. Though quite a lot of
things go under the caption of disaster preparedness, evacuation and a tentative blue
print for dealing with the calamity are the basic ingredients of any pre-disaster
preparedness plan. Evacuation is a pre-emptive move to protect life and property, whereas
rescue is a post-disaster phenomenon of helping people to move from areas that have
been hit by disaster to a safer place. However, the situation of evacuation and rescue
comes along with numerous unanswered queries in mind. Very often, due to lack of
information or in haste, living during evacuation and rescue becomes difficult and painful.
However, during such the situations, following precautionary norms should be kept in
mind.

The response phase includes the mobilisation of the necessary emergency services and
first responders in the disaster area. This is likely to include a first wave of core emergency
services, such as firefighters, police and ambulance crews. They may be supported by a
number of secondary emergency services, such as specialist rescue teams. When the
situation of emergency is brought under control, the affected population then is deemed
capable of undertaking a growing number of activities aimed at restoring their lives and
the infrastructure that supports them. That is when immediate relief changes into recovery
and then into long term sustainable development. Recovery activities continue until all
systems return to normal or better. Recovery measures, both short and long term, include
returning vital life support systems to minimum operating standards; temporary housing;
public information; health and safety education; reconstruction; counselling programmes;
and economic impact studies. Information resources and services include data collection
related to rebuilding, and documentation of lessons learned. Additionally, there may be
a need to provide food and shelter for those displaced by the disaster.
Disaster Management 731

Rehabilitation
The aim of the recovery phase is to restore the affected area to its previous state. It
differs from the response phase in its focus; recovery efforts are concerned with issues
and decisions that must be made after immediate needs are addressed. Recovery efforts
are primarily concerned with actions that involve rebuilding destroyed property,
reemployment, and the repair of other essential infrastructure. An important aspect of
effective recovery efforts is taking advantage of a ‘window of opportunity’ for the
implementation of mitigative measures that might otherwise be unpopular. Citizens of
the affected area are more likely to accept more mitigative changes when a recent
disaster is in fresh memory.

36.4 Law and Policy in Disaster Management

It is believed that the emergence of modern disaster management in terms of global
standards to address preparedness, mitigation and response activities for a wide range
of disasters did not begin to egress until the mid-twentieth century. In most countries
this change materialised as a response to specific disaster events. At the same time, it
was further galvanised by a shift in social philosophy in which the government played an
increasing role in preventing and responding to disasters.

The most eminent proclamation that actually discusses about the efforts in the
international sphere was International Decade for Natural Disaster Reduction(IDNR). The
stated mission as was improvised by this proclamation was to improve each UN (member
country’s) especially developing countries’ capacity to prevent or diminish adverse effects
from natural disasters and to establish guidelines for applying existing science and
technology to reduce the impact of natural disasters and also emphasized on coordination
of efforts of developing countries to reduce material losses and social and economic
disruption. In the UN Resolution 44/236, the General Assembly set forth the goals they
wished to achieve during the IDNDR.

Further to accentuate the disaster mitigation procedures another conference was held in
Yokohama (Japan) on 23-27 May 1994. The conference was the first of its kind to be held
on a global level it provided a platform for the exchange of experiences between Decade
partners at national, regional and international levels.

The message that emanated from this international decade underlined the need for an
emphatic shift in the strategy for disaster mitigation. It was stressed that disaster
prevention, mitigation; preparedness and relief are four elements which are required
for successful implementation of the sustainable development policies. These elements
provide an interface of environmental protection and sustainable development. It was
also suggested that the member nations should incorporate these in their development
plans and ensure efficient follow up measures at the community, sub-regional, regional,
national and international levels. The Yokohama Strategy also emphasized that disaster
prevention, mitigation and preparedness are better than disaster response in achieving
the goals and objectives of vulnerability reduction. Disaster response is deemed to be
732 Urban Legal and Policy Frameworks

insufficient as it yields to only temporary results at a very high cost. On the other hand
Prevention and mitigation measures contribute to lasting improvement in safety and
are essential to integrated disaster management.

Modern approach of disaster mitigation: Disaster management in modern context can be

discussed as a cyclical process, wherein one phase progresses after another one. It
involves basically four phase’s mitigation, preparedness, response and recovery. Although
at international as well as national level mitigation and preparedness for the disasters
are promoted, owing to their cost effectiveness and more sustainable than the other
response and recovery mechanisms.

a) Mitigation
Mitigation refers to all actions taken before a disaster to reduce its impacts, including
preparedness and long-term risk reduction measures. Mitigation activities fall broadly
into two categories:
Structural mitigation – construction projects which reduce economic and social impacts.
For instances construction of embankments, dams and barrages for flood mitigation.
Non-structural activities – policies and practices which raise awareness of hazards or
encourage developments to reduce the impact.

For instance, constitution of a National Core Group for Earthquake Mitigation. This group
has been assigned with the responsibility of drawing up a strategy and plan of action for
mitigating the impact of earthquakes; providing advice and guidance to the States on
various aspects of earthquake mitigation; developing/organising the preparation of
handbooks/pamphlets/type designs for earthquake resistant construction; working out
systems for assisting the States in the seismically vulnerable zones to adopt/integrate
appropriate Bureau of Indian Standards codes in their building byelaws; evolving systems
for training of municipal engineers as also practicing architects and engineers in the
private sector in the salient features of Bureau of Indian Standards codes and the
amended byelaws; evolving a system of certification of architects/engineers for testing
their knowledge of earthquake resistant construction; evolving systems for training of
masons and carry out intensive awareness generation campaigns.

The primary focus of disaster management is to prevent disasters wherever possible or

to mitigate those which are inevitable. Four sets of tools that could be used to prevent
or mitigate disasters include:

Hazard management and vulnerability reduction: A hazard can cause the full range of
natural disasters, major man-made incidents, and resource crises that become the concern
of the entire community, not just emergency management personnel. The ideal is for
communities to be prepared at all times for all types of hazards. Vulnerability reduction
refers to correct assessment of situations and people who would be more prone to
damage in certain peculiar situations than the others. For instance people who sell
their farm products via means of a particular route may suffer in case that route gets
Disaster Management 733

blocked. Hence it is advisable that another substitute route is built which allows movement
of people and resources.

Economic diversification: Some economic activities are relatively unaffected by disasters.

For instance, situating warehouses in flood plains may be more appropriate than
manufacturing plants in the same location. Coconut palms could be more suitable than
other fruit trees in cyclone-prone coastal areas. Efforts should be made to identify and
encourage the development of enterprises that are less vulnerable to the hazards.

Political intervention and commitment: That actually refers to the initiatives that need
to be undertaken by the policy makers to curtail the devastation.

Public awareness: It is imperative that the local community is foretold and trained to
face disasters. Communities are the fore-fronts of any disaster management. Hence it is
always advised that community involvement in disaster mitigation is there. To enhance
this process it is imperative that knowledge about a particular disaster or the disasters
that a particular area would be prone to and there mitigation is imparted to the
people concerned.

The first two apply exclusively to disasters caused by natural phenomena while the latter
are used to mitigate any other hazards.

b) Preparedness
The goal of emergency preparedness programmes is to achieve a satisfactory level of
readiness to respond to any emergency situation through programmes that strengthen
the technical and managerial capacity of governments, organisations and communities.
These measures can be described as logistical readiness to deal with disasters and can
be enhanced by having response mechanisms and procedures, rehearsals, developing
long-term and short-term strategies, public education and building early warning systems.
During the preparedness phase, governments, organisations, and individuals develop
plans to save lives, minimise disaster damage, and enhance disaster response operations.
Preparedness measures include: Preparedness plans, Emergency exercises/ training,
Warning systems, Emergency communications systems, Evacuations plans and training,
Resource inventories, Emergency personnel/contact lists, mutual aid agreements and
Public information/education. As with mitigation efforts, preparedness actions depend
on the incorporation of appropriate measures in national and regional development plans.

c) Response
The concept of response involves all those activities that are undertaken by people and
institutions in the face of disaster. The aim of emergency response is to provide immediate
assistance to maintain life, improve health, and to support the morale of the affected
population. This sort of assistance may range from providing specific but limited aid,
such as assisting refugees with transportation, temporary shelter and food, to establishing
semi-permanent settlement in camps and other locations that is addressing to their
needs that have aspects such as: humanitarian (aid to relieve pain and suffering),
734 Urban Legal and Policy Frameworks

remittance (Cash sent to victims), relief assistance (food, medication, tents), networking
(contacting organisations),volunteerism (internal and external groups of people
volunteering help or community-based approach) and mutual aid agreements (pre-drawn
up agreements to provide resources) that also may involve initial repairs to damaged
infrastructure. The focus in the response phase is on meeting the basic needs of the
people until more permanent and sustainable solutions can be found. Humanitarian
organisations are often strongly present in this phase of the disaster management cycle.
But the actual trouble that arises during these situations is that the prominent
stakeholders especially the government and various humanitarian agencies are present
during the response and the recovery phase only. They are not present to see the
aftermath of the policies and the constructive work so done by them. So in majority
of cases the effect of such activities is not long term.

In order to have proper implementation both modern and traditional response mechanisms
are practiced. Further these mechanisms could be divided into pre- disaster response
mechanisms and post-disaster response assessments.

Pre-disaster response mechanisms include warning, evacuation and migration and SAR
(search and rescue) operations. The main motive of these activities is to curtail the
number of victims of any disaster. For instance the people in coastal areas especially
those involved in fishing industry are warned against the tides which could prove to be
fatal to them in case they go fishing at that particular time. Similar, is the case with SAR
which is carried on to protect the people who are in vicinity of flood prone areas by
moving them to safer areas. These could also be done by using modern modes such as
cell phones and social networking to inform the people about the upcoming hazard. For
this purpose the mode of spatial information is also undertaken that is satellites are
utilised to decipher the affected areas and also can be used for post disaster mechanisms
to actually evaluate the damage and the assistance so required.

Post-disaster response mechanisms involve provision of a clear, concise picture of the

post-disaster situation, to identify relief needs and to develop strategies for recovery. It
determines options for humanitarian assistance that is utilisation of existing resources,
or developing requests for further assistance. These include activities such as; Response
and relief, Logistics and supply, Communication and information management,
Rehabilitation and reconstruction.

It is to be noted that for proper implementation of response mechanisms there should be

coordination between both the governmental and non-governmental agencies. But at
the same time it is also required that community participation is there as these are the
people who are well aware of the circumstances and situations so present in their affected
vicinities. Thereby they can entail requisite action for the same. For example, one
charitable organisation, (World Vision) has a rich network of local partnerships with
churches, community organisations and government agencies that often call on this
organisation when families in the community suffer a disaster. Local police precincts
and politicians’ offices refer to World Vision to assist them after an emergency.
Disaster Management 735

d) Recovery
The recovery phase starts after the immediate threat to human life has subsided. During
reconstruction it is recommended to consider the location or construction material of
the property.

The most extreme home confinement scenarios include war, famine and severe epidemics
and may last a year or more. Then recovery will take place inside the home. Planners
for these events usually buy bulk foods and appropriate storage and preparation
equipment, and eat the food as part of normal life. A simple balanced diet can be
constructed from vitamin pills, whole-meal wheat, beans, dried milk, corn, and cooking
oil.

Let us now examine the role of some international organisations working in the field of
Disaster Management.

♦ International Association of Emergency Managers

The International Association of Emergency Managers (IAEM) is a non-profit educational
organisation dedicated to promoting the goals of saving lives and protecting property
during emergencies and disasters. The mission of IAEM is to serve its members by providing
information, networking and professional opportunities, and to advance the emergency
management profession.

It currently has seven Councils around the World, namely, Asia, Canada, Europa,
International, Oceania, Student and USA.

♦ Red Cross/Red Crescent

National Red Cross/Red Crescent societies often have pivotal roles in responding to
emergencies. Additionally, the International Federation of Red Cross and Red Crescent
Societies (IFRC) may deploy assessment teams, e.g. Field Assessment and Coordination
Team – (FACT) to the affected country if requested by the national Red Cross or Red
Crescent Society. After having assessed the needs Emergency Response Units (ERUs) may
be deployed to the affected country or region. They are specialised in the response
component of the emergency management framework.

♦ United Nations
Within the United Nations system responsibility for emergency response rests with the
Resident Coordinator within the affected country. However, in practice international
response will be coordinated, if requested by the affected country’s government, by the
UN Office for the Coordination of Humanitarian Affairs (UN-OCHA), by deploying a UN
Disaster Assessment and Coordination (UNDAC) team.

♦ World Bank
Since 1980, the World Bank has approved more than 500 operations related to disaster
management, amounting to more than US$40 billion. These include post-disaster
736 Urban Legal and Policy Frameworks

reconstruction projects, as well as projects with components aimed at preventing and

mitigating disaster impacts, in countries such as Argentina, Bangladesh, Colombia, Haiti,
India, Mexico, Turkey and Vietnam to name only a few.

Common areas of focus for prevention and mitigation projects include forest fire
prevention measures, such as early warning measures and education campaigns to
discourage farmers from slash and burn agriculture that ignites forest fires; early- warning
systems for hurricanes; flood prevention mechanisms, ranging from shore protection and
terracing in rural areas to adaptation of production; and earthquake- prone construction.

In a joint venture with Columbia University under the umbrella of the Pro Vention
Consortium the World Bank has established a Global Risk Analysis of Natural Disaster
Hotspots. In June 2006, the World Bank established the Global Facility for Disaster Reduction
and Recovery (GFDRR), a longer term partnership with other aid donors to reduce disaster
losses by mainstreaming disaster risk reduction in development, in support of the Hyogo
Framework of Action. The facility helps developing countries fund development projects
and programmes that enhance local capacities for disaster prevention and emergency
preparedness.

♦ European Union
Since 2001, the EU adopted Community Mechanism for Civil Protection which started
to play a significant role on the global scene. Mechanism’s main role is to facilitate co-
operation in civil protection assistance interventions in the event of major emergencies
which may require urgent response actions. This applies also to situations where there
may be an imminent threat of such major emergencies.

The heart of the Mechanism is the Monitoring and Information Centre. It is part of
Directorate-General for Humanitarian Aid and Civil Protection of the European Commission
and accessible 24 hours a day. It gives countries access to a platform, to a one-stop-shop
of civil protection means available amongst the all the participating states. Any country
inside or outside the Union affected by a major disaster can make an appeal for assistance
through the MIC. It acts as a communication hub at headquarters level between
participating states, the affected country and despatched field experts. It also provides
useful and updated information on the actual status of an ongoing emergency.

♦ International Recovery Platform

The International Recovery Platform (IRP) was conceived at the World Conference on
Disaster Reduction (WCDR) in Kobe, Hyogo, Japan in January 2005. As a thematic platform
of the International Strategy for Disaster Reduction (ISDR) system, IRP is a key pillar
for the implementation of the Hyogo Framework for Action (HFA) 2005– 2015: Building
the Resilience of Nations and Communities to Disasters, a global plan for disaster risk
reduction for the decade adopted by 168 governments at the WCDR.

The key role of IRP is to identify gaps and constraints experienced in post disaster
recovery and to serve as a catalyst for the development of tools, resources and capacity
Disaster Management 737

for resilient recovery. IRP aims to be an international source of knowledge on good

recovery practice.

The Indian Perspective

The role of emergency management in India falls to National Disaster Management
Authority of India, a government agency subordinate to the Ministry of Home Affairs. In
recent years there has been a shift in emphasis from response and recovery to strategic
risk management and reduction and from a government-cantered approach to
decentralised community participation.
The Ministry of Science and Technology supports an internal agency that facilitates
research by bringing the academic knowledge and expertise of earth scientists to
emergency management.
A group representing a public/private has recently been formed by the Government of
India. It is funded primarily by a large India-based computer company and aimed at
improving the general response of communities to emergencies, in addition to those
incidents which might be described as disasters.
Some of the groups’ early efforts involve the provision of emergency management training
for first responders (a first in India), the creation of a single emergency telephone
number, and the establishment of standards for EMS staff, equipment and training. It
operates in three states, though efforts are being made in making this a nation-wide
effective group.
The Government of India has adopted mitigation and prevention as their developmental
strategy. The 10th five year plan exclusively deals with this approach. This plan lays
stress on the fact that development cannot be sustainable without mitigation being built
into developmental process. According to this plan, each state is supposed to prepare a
plan scheme for disaster mitigation in accordance with this approach. In other words it
can be said that mitigation is institutionalised into developmental planning under this
plan. A Mitigation Fund is also proposed via means of memorandum submitted to 12 th
Finance Commission after consultation with the states. The Financial Commission has
been mandated to look after mitigation and prevention apart from its existing mandate
of looking at relief and rehabilitation.

Law and Policy in India

Government of India has taken several initiatives for strengthening disaster reduction
strategies. Government of India constituted an Expert Group to examine the related
issues and evolve recommendations for improving preparedness and prevention with
respect to natural disasters caused by earthquakes, floods and cyclones. The legal and
policy instruments that are in place in India are as follows:

I) Disaster Management Act, 2005

The Government of India (GOI), in recognition of the importance of Disaster Management
as a national priority, has set up a High-Powered Committee (HPC) in August 1999 and
738 Urban Legal and Policy Frameworks

also a nation committee after the 2001 Gujarat earthquake, for making recommendations
on the preparation of Disaster Management plans and suggestion effective mitigation
mechanism. The Tenth Five-Year Plan Document also had, for the first time, a detailed
chapter on Disaster Management. Similarly, the Twelfth Finance Commission of India was
also mandated to review the financial arrangements for Disaster Management.
Following this, on 23 December 2005, the Government of India enacted the Disaster
Management Act, which was a direct response the Indian Ocean Tsunami of 26th December
2004. The Government of India enacted the act to provide the statutory legitimacy for
the required institutional mechanisms at the national, state and district levels for drawing
up and monitoring the implementation of disaster management plans, ensuring measures
by the arms of the Government for prevention and mitigating effects of disasters and for
undertaking a holistic, coordinated and prompt response to any disaster situation.
The DM Act, 2005 recognises that sometimes the development patterns that do not
recognise disaster risk and vulnerability in the specific geographic areas may induce
disasters. The proactive approach in the DM Act, 2005 to address disaster risk and
vulnerability through pre-disaster preparedness and mitigation activities also envisions
accountability and multi stakeholder participation, including coordination of the activities
of the NGOs at various levels. Sections 38 (2)(a), 22(2)(j) and 30(2)(xix) of the Act
mandate every State Government, for collaboration with stakeholder agencies including
NGOs for the purpose of improving the effectiveness of DM.
Similarly the Act mandates NGOs to act in an equitable and non-discriminatory manner
for the purpose of assisting or protecting the disaster affected communities or for providing
relief to the affected communities or while dealing with any effects of threatening
disaster situations and has fixed the responsibility to monitor this on State Executive
Committee and DDMAs of the State vide Sections 24(j) and 34 (l) respectively. The
above provisions ensure that the concerned DM interventions being addressed are
supported and facilitated by the civil society organisations working at the grass root
level and also takes care of the ground realities.

II) National Disaster Management Authority (NDMA)

The Disaster Management Act, 2005 envisaged the creation of the National Disaster
Management Authority (NDMA), headed by the Prime Minister of India, and State Disaster
Management Authorities (SDMAs) headed by respective Chief Ministers of the States, to
spearhead and implement a holistic and integrated approach to Disaster Management in
India. Similarly, District Disaster Management Authorities (DDMAs) were established under
the Chairmanship of the District Collectors, Deputy Commissioners or District Magistrates
respectively and were co-chaired by the elected representative of the respective District.
In order to ensure a holistic approach involving the concerned ministries and/or
departments, mainstreaming of disaster management into their plans as well as drawing
up of department wise plans for disaster management has been made mandatory.
The institutional framework for DM envisages policy formulation and preparation of
Guidelines and Plans by National Disaster Management Authority at the national level and
implementation of the same through state, district and sub–district level government
Disaster Management 739

departments and agencies. The Disaster Management Act, 2005 provides for the specific
roles for Local Bodies in DM including Panchayati Raj Institutions (PRIs) as well as Urban
Local Bodies (ULBs) such as Municipalities and Municipal Councils.

NDMA as the apex body is mandated to lay down the policies, plans and guidelines for
Disaster Management to ensure timely and effective response to disasters. Towards this,
it has the following responsibilities:
♦ Lay down policies on disaster management;
♦ Approve the National Plan;
♦ Approve plans prepared by the Ministries or Departments of the Government of
India in accordance with the National Plan;
♦ Lay down guidelines to be followed by the State Authorities in drawing up the
State Plan;
♦ Lay down guidelines to be followed by the different Ministries or Departments of
the Government of India for the Purpose of integrating the measures for prevention
of disaster or the mitigation of its effects in their development plans and projects;
♦ Coordinate the enforcement and implementation of the policy and plan for disaster
management;
♦ Recommend provision of funds for the purpose of mitigation;
♦ Provide such support to other countries affected by major disasters as may be
determined by the Central Government;
♦ Take such other measures for the prevention of disaster, or the mitigation, or
preparedness and capacity building for dealing with the threatening disaster situation
or disaster as it may consider necessary;
♦ Lay down broad policies and guidelines for the functioning of the National Institute
of Disaster Management.
III) National Disaster Response Force (NDRF)
As per the Disaster Management Act, 2005, the Central Government provides the overall
coordination of emergency response in disaster situations, in close cooperation with
National Disaster Management Authority; emergency response has been made the
responsibility of the National Disaster Response Force (NDRF). The Disaster Management
Act, 2005 has mandated constitution of NDRF, a Specialist Response Force, for the purpose
of specialised response to natural and man-made disasters. This Force will function under
the National Disaster Management Authority which has been vested with its control,
direction and general superintendence. This will be a multi-disciplinary, multi-skilled,
high-tech force for all types of disasters capable of insertion by air, sea and land. All the
eight battalions of National Disaster Response Force (NDRF) are equipped and trained
for all natural disasters including four battalions in combating nuclear, biological and
chemical disasters.
740 Urban Legal and Policy Frameworks

IV) National Disaster Management Plan

The National Disaster Management Plan (NDMP) provides a framework and direction to
the government agencies for all phases of disaster management cycle. The NDMP is a
“dynamic document” in the sense that it will be periodically improved keeping up with
the emerging global best practices and knowledge base in disaster management. It is in
accordance with the provisions of the DM Act 2005, the guidance given in the National
Policy on Disaster Management (NPDM) 2009, and the established national practices.

The NDMP recognizes the need to minimize, if not eliminate, any ambiguity in the
responsibility framework. It therefore, specifies who is responsible for what at different
stages of managing disasters. It is meant to be implemented in a flexible and scalable
manner in all phases of disaster management: a) Mitigation (prevention and risk
reduction), b) Preparedness, c) Response and d) Recovery (immediate restoration and
build-back beer). While the names of ministries/ departments of the Centre and State/
UT having specific roles and responsibilities are mentioned in the Plan, in the spirit of
the DM Act 2005 and the exigencies of humanitarian response, every ministry/ department
and agency is expected to contribute to DM going beyond their normal rules of business.
The NDMP, in a sense, has five main pillars:
I) Conforming to the national legal mandates—the DM Act 2005 and the NPDM 2009
II) Participating proactively to realising the global goals as per agreements to which
India is signatory—Sendai Framework for DRR, Sustainable Development Goals (SDGs)
and Conference of Pares (COP21) Paris Agreement on Climate Change
III) Prime Minister’s Ten Point Agenda for DRR articulating contemporary national priories
IV) Social inclusion as a ubiquitous and cross-cutting principle
V) Mainstreaming DRR as an integral feature
V) National policy on Disaster Management, 2009
Disaster management occupies an important place in this country’s policy framework as
it is the poor and the under-privileged who are worst affected on account of calamities/
disasters. The steps being taken by the Government emanate this approach. The approach
was translated into a National Disaster Framework [a roadmap] covering institutional
mechanisms, disaster prevention strategy, early warning system, disaster mitigation,
preparedness and response and human resource development. The expected inputs,
areas of intervention and agencies to be involved at the National, State and District
levels were identified and listed in the roadmap. This roadmap was shared with all the
State Governments and Union Territory Administrations. Ministries and Departments of
Government of India, and the State Governments/UT Administrations were been advised
to develop their respective roadmaps taking the national roadmap as a broad guideline.

The Expert Group appointed by the Govt. of India examined the status of work being
carried out in these areas, namely:
♦ Monitoring of Hazards
Disaster Management 741

♦ Vulnerability Assessment
♦ Prediction and Forecasting
♦ Retrofitting of Existing Unsafe Structures and Buildings
♦ Hazard Mapping
♦ Disaster Risk Assessment and Mapping
♦ Preparation of Building Guidelines
After assessing Gaps in the above and filling them as much as possible the Report covered
the following issues:
♦ Identification of various hazard prone areas
♦ Vulnerability and Risk Assessment of Buildings
♦ Disaster damage scenarios
♦ Technical Guidelines for Hazard Resistant Construction of Buildings
♦ Upgrading of Hazard Resistance of Existing Housing Stock by Retrofitting, and
♦ Techno-Legal Regime to be adopted
Based on the findings as above, the Group recommended strategies to be adopted and
Action Plan for consideration of the Government. The Group felt strongly that these
need to be urgently considered for evolving a national policy keeping in view of the
Govt. of India’s commitment to the Yokohama Strategy for Natural Disaster Reduction.
Groups recommendations and proposed Action Plan highlighted certain issues, namely:
♦ The first and the foremost is to restructure the National Policy on disaster management
reflecting the holistic approach involving prevention, mitigation and preparedness
in pre-disaster phase with appropriate additional funding, along with the so far
existent policy of the post-disaster relief and rehabilitation under crisis management.
♦ Creation of awareness for disaster reduction is urgently needed amongst policy
makers, decision makers, administrators, professionals (architects, engineers and
others at various levels) financial institutions (banks, insurance, house financing
institutions) and NGOs and voluntary organisations.
♦ Creating awareness for improving preparedness amongst the communities, using
media, school education and the network of the building centre.
♦ Appropriate amendments in the legislative and regulatory instruments (state laws,
master plans, development area plan rules, building regulations and bye-laws of
local bodies) along with strengthening of the enforcement mechanisms at different
levels.
♦ Capacity building at local and regional levels for undertaking rapid-assessment
surveys and investigations of the nature and extent of damage in post disaster
situations.
742 Urban Legal and Policy Frameworks

♦ Conducting micro-zonation surveys of large urban areas falling in the disaster prone
regions and preparing appropriate preparedness and mitigation plans on an urgent
basis.
♦ To ensure use of disaster resistant construction techniques in all housing and other
buildings to be undertaken under the Central and State schemes.
♦ Making mandatory, the use of disaster resistant codes and guidelines related to
disaster resistant construction in the houses and buildings in all sectors of the society
by law and through incentives and disincentives.
♦ To create a suitable institutional mechanism at national/state level to advise and
help the existing disaster relief set up in formulation and updating of short and
long range action plans for the preparedness, mitigation and prevention of natural
disasters. (the mechanisms suggested are establishment of a National Scientific and
Technical Committee at Central level and Natural Disaster Mitigation Centres at
State levels).
♦ To promote the study of natural disaster prevention, mitigation and preparedness as
subjects in architecture and engineering curricula.
♦ To create detailed database on hazard occurrences, damage caused to buildings and
infrastructure and the economic losses suffered and ensure its accessibility to interested
researchers for effective analysis of costs of disasters and benefits of mitigative
actions.
♦ To devise appropriate policy instrument and funding support for urgent disaster
preparedness and prevention actions in high risk areas including upgrading the
resistance of existing housing and related structures and systems.
♦ To include R&D work in disaster preparedness, mitigation and prevention as a
thrust area so that adequate funds are earmarked for the schemes of R&D organisations
as well as the concerned Central Ministries and State Governments.

Based on this, the National Policy for Disaster management was enacted in 2009.

36.5 A Few Case Studies

a) Nicaragua
Nicaragua has always appeared high on the list of disaster prone countries not only in
Latin America but also at a world scale. The disaster risk context has been compounded
historically by recurrent problems of conflict and poor governance, leading to a permanent
process of social, economic and political struggle for many years. Occurrence of a “Natural”
disaster adds to the already pertinent unpropitious situations. In October of 1998,
Hurricane Mitch hit the Central American region, with a path of destruction that in
Nicaragua alone affected over 800,000 people (19 per cent of the population) with over
$900 million in damages, 45 per cent of Nicaragua’s GDP. This devastation led government
present at that time as well as the international community to draft durable solutions to
the devastations that occur due to disasters.
Disaster Management 743

Effects of Hurricane Mitch brought to light institutional weaknesses that flawed

development processes, and a generalised perception that natural disasters are unusual,
isolated events which required forecasting and fast reactions. Considering this various
policies were made which emphasized more on risk reduction frameworks by means of
risk management activities than reactive response. The main focus of institutions involved
was: to improve the inter-institutional coordination and to integrate disaster reduction
as a permanent activity for a wide spectrum of development stakeholders, to facilitate
the establishment of a national risk reduction system in Nicaragua and to develop a legal
framework to regulate the various sectors’ participation in risk management on a
permanent basis, within the development framework and not only in post-event situations.
It was observed that the greater number of stakeholders took active part in management
activities such as the vice-president office from the government side, the technical
expertise, UN Resident coordinator. A full time UNDP advisor was also assigned to the
project. The Vice-Presidency, along with institutions with more extensive experience in
this area such as the Civil Defence, INETER, CEPREDENAC National Committee, and
various non-governmental organisations, were summoned to work in partnership. Each
Ministry and government institution designated a focal point and a preparatory workshop
was conducted to develop the national risk reduction programme. The programme was
launched by the Vice President in June of 1999. A specific role was assigned at various
levels of the government, municipalities, private sector and citizens. As a result of this
Preparatory Assistance and a close collaboration with the National Assembly, the law
number 337 was approved in April of 2000 that established the national system for
disaster response, mitigation and prevention. This is considered the most advanced
proposal for risk reduction in the region today.

Conclusion
Thus, considering as a positive aftermath of Mitch Hurricane, in less than a year, and
with scarce financial resources, Nicaragua endorsed a new legal and institutional
framework for disaster reduction. The permanent support provided by the UN Resident
Coordinator and the technical backstopping provided by UNDP led to the establishment
of an institutional model for natural disaster risk reduction in Nicaragua.

Observations
Although this is considered as a positive step in development of regional centres for
disaster mitigation but it shall be observed that this also poses many challenges such as;
Promotion of coherence amongst sectoral and territorial levels i.e. coordination between
various levels of the government. The continuation of the disaster risk reduction
mainstreaming, ensuring that appropriate information about disaster risk is available
and factored in all aspects of the decision-making process and that appropriate measures
to manage and reduce risks are included in development programmes. The capacities of
the government and civil societies are required to be increased through requisite training
programmes and regulatory measures. A strong commitment of high levels of government
is a mandatory prerogative for successful implementation.
744 Urban Legal and Policy Frameworks

It shall be noted that in present time the main focus is on coherence of levels of the
government, which in turn implies that communities are also to be involved in disaster
management process. The governments now prefer risk mitigation and preventive measures
than actual response and recovery mechanisms, considering their sustainability and cost
effectiveness. The Disaster Management Act, 2005 of India also focus on the same. The
motive behind the involvement of the communities is to avoid red-tapism and also
better and effective implementation because the communities work at the grass root
level and are able to address the issues in a more conducive manner. But at the same
time the communities cannot be left to act on their own as there would be lack of
expertise and in most case lack of technical know-how. Moreover there are also full
chances of lack of resources which in most cases are provided by the governments.
Citizens all over the world look upon their governments for reprisals and security, but in
all circumstances none of these stakeholders can work on their own. Hence it is imperative
that there is coherence at all levels of the government so that more secure environment
could be provided to the people.

b) Floods in the State of Maharashtra

Due to the unprecedented rainfall on 26th July 2005, life came to standstill in Mumbai,
the financial capital of India. The Pestom Sagar Housing Society got inundated like several
other hundreds of housing societies of Mumbai. After the normalcy was restored, the
office bearers of this society put in efforts to actually find a lasting solution. They were
determined to do something but they were searching for an effective guidance.

In state of Maharashtra there has been a paradigm shift in Disaster Management recently
as prevention, preparedness and mitigation are being given more importance compared
to the traditional rescue, relief and rehabilitation. Under this paradigm, Government of
India and UNDP launched the ‘Disaster Risk Management’ (DRM) programme in 169 districts
across 17 states in the country, including in Maharashtra. In Maharashtra, the DRM is
being implemented in 14 districts and seven Municipal Corporations. The Relief and
Rehabilitation Department, Government of Maharashtra is the nodal agency for the
implementation of this programme in the State. During the course of implementation of
the programme, a number of innovative strategies and processes have been adopted
which in turn lead to very interesting and encouraging results.

The MCGM (Municipal Corporation of Greater Mumbai) and Relief and Rehabilitation
Department, Government of Maharashtra organised a series of training and capacity
building programmes on Search and Rescue [SAR] including flood management for the
NGOs and CBOs under the Government of India-UNDP Disaster Risk Management
[DRM]programme.

One of the office bearers of the Pestom Sagar Housing Society, attended this programme
and got acquainted with first-aid skills, basic level search and rescue techniques, and
flood management. He also came to know about the emergency rescue kit including
flood rescue operation from the literature given to the participants.
Disaster Management 745

Participants got hands on experience of the first-aid and basic SAR techniques. The
resource persons were drawn from the Civil Defence, Mumbai, UNDP and MCGM. The
office bearers of the Pestom Sagar recount this training programme as the ignition point.
The Pestom Sagar Housing Society, an association of 120 buildings, has approx. 25000
inhabitants. The officer bearers decided that the first step for flood preparedness should
be the availability of the basic level emergency rescue equipment mentioned in the
training material. The Society procured some equipment from its own source and also
received a few from a corporate house. Now the Society has an emergency rescue kit
which includes life buoys, life jackets, stretcher, rescue ropes, fire extinguisher, fogging
machines, tree cutters, claws, hooks, drain cleaners, etc.

This initiative by Pestom Sagar was covered and applauded by a number of print as well
as electronic media. A corporate house gifted one mechanised rubber inflatable boat to
the society. This unprecedented initiative of the Housing Society has been embarked as,
one of the foremost ideals in ‘the pursuit for Self-reliance’. It was further elaborated
that to counter situations such as 26/7 in Mumbai, the housing societies should equip
themselves with requisite first training as well various other disaster plans as it was
impossible for any single agency to counter such problems.

Society has also created a disaster management cell where the equipment is stocked.
This cell has a telephone so that any member requiring assistance of the disaster
management team of the society can contact and get the required assistance. Some of
the youths of the society are being trained in search and rescue. The police personnel of
the nearby police station are also being imparted training on rescue operations including
floods, lifesaving skills; etc. as police is among the first responders in any disaster. The
office bearers also plan to train the nearby slum dwellers and youth in disaster
management.

Conclusion
It can be deciphered from this case study that a housing society which can be referred as
a community in itself took an initiative on its own to counter the problem of disaster
caused by flooding. it has also been emphasized that local participation is imperative
but proper guidance and training has to be provided by the government concerned. In
this case not only the state but UNDP as well municipalities were involved. The private
sector took an equal part by providing donations. Training as one of the important mode
of disaster preparedness has also been illustrated.

Observation
It can thus be concluded that disaster mitigation and preparedness is a far more efficient
mitigation strategy than response and recovery mechanisms. The involvement of
communities at local level is one of the most important criterions of disaster mitigation.
But at the same time it is also imperative that there is coordination amongst various
levels of the government. Specialised agencies such as FEMA (USA) and National Disaster
Management Authority (India) have been advised to be created. The man- made disasters
746 Urban Legal and Policy Frameworks

such as terrorism are also required to be addressed by the world community as a whole
which presently is being dealt by nations on their own prerogatives.

c) Gujarat - Earthquake
The earthquake that struck western and central Gujarat on January 26, 2000 caused
enormous loss of life, and near total destruction of physical assets, affecting around 20
million people. The state was totally unprepared for the disaster and immediate response
was very poor.

The health and education infrastructure was severely damaged. Two district hospitals,
over 1,200 health clinics (mostly in rural areas), and over 11,600 schools were destroyed
or damaged.

There was similar destruction of both rural and urban water supply schemes. Over 240
earthen dams that provided water for irrigation, rural and urban domestic needs, and
industry were damaged. Other infrastructure services like electricity and
telecommunications were extensively damaged. Small enterprises especially single-
family artisans, shopkeepers and rural industries were also affected.

Although Gujarat is relatively richer and has grown faster than other Indian states, the
area most severely affected by the earthquake is economically poor. The main areas
affected were the districts of Kutch, where over 90 per cent of the deaths and 85 per
cent of asset losses occurred, and the districts of Jamnagar, Rajkot, and Surendranagar.

Kutch is a sparsely populated, resource poor, arid region, vulnerable not only to earthquakes
but also to cyclones and drought. The main sources of employment are agriculture,
animal husbandry, salt mining and refining, handicrafts and trade. Kutch accounts for less
than two per cent of industrial employment in the state and there is little large-scale
industry. Agriculture is largely rain-fed and there are few perennial crops. The agriculture
and dairy sectors have little mechanisation and thus low levels of capital intensity. Although
some households benefit from money transfers from relatives working in Mumbai and
abroad, poverty is higher and social indicators are the worst in the earthquake-affected
areas than in the rest of the state. Kutch also has the largest proportion of scheduled
caste people in Gujarat - 12 per cent, compared to seven per cent in Gujarat as a whole.
The earthquake struck here in the wake of two consecutive years of drought in 1999 and
2000.

The large number of human deaths and injuries has devastated the social fabric of the
earthquake-hit areas. In addition to the immediate suffering, large numbers of families
have been torn by the death or a serious disability of a family member. Other social
consequences of the earthquake include deep insecurity among those who have lost
assets, including property, increasing their vulnerability to poverty. The livelihoods of
many families have been disrupted. About 19,000 handicraft artisans in the district of
Kutch appear to be the most severely-affected group. In addition, several thousand salt
farmers are faced with the collapse of their brine wells, destruction of salt fields, and
Disaster Management 747

damage to their refineries. The Government of Gujarat, as well as a large number of

non-governmental organisations including philanthropic groups, development agencies
and private businesses, have stepped in to provide short-term as well as long-term relief
and rehabilitation.

The Government of Gujarat has set up the Gujarat State Disaster Management Authority
to coordinate relief and rehabilitation activities in the state.

The government’s water supply, electricity, public works, telecommunications and health
departments came to a virtual standstill for about 48 hours after the quake, due to the
collapse of buildings on a large scale. This led to a sense of panic and helplessness. There
was no disaster management at all for the first two days. The first slow signs of life in
relief operations appeared on the third day, i.e. January 28, 2001. Sporadic signs of
rescue came from the Indian Army, which swung into action almost immediately after
the quake - about an hour after the disaster had struck.

All the government bodies lamented that they did not have adequate equipment to help
in the rescue operations - not even generators to assist the rescue work at night. The
army reported that they could hear victims crying out from under the debris, but in the
absence of electricity they could do little to extricate them. Without heavy machines,
relief personnel could do nothing to remove huge concrete blocks and rubble.

There was a total absence of communication between the district and state headquarters.
Loss of time in critical decision-making meant more loss of lives, disabilities and despair.
Ultimately, decision-making was delegated, with officials of the rank of collectors
being posted at the taluka level.

d) Bhopal – Chemical Industrial catastrophe

Bhopal’s gas tragedy is one of the saddest example of ‘things-went-wrong’ due to human
negligence. We primarily blame the company, the management but one thing we often
overlook is that other than human error it is the system (machines) that failed us too. If
the quality was given its due importance, the crisis could have possibly been averted.

The Bhopal disaster or Bhopal Gas Tragedy is the world’s worst industrial catastrophe. It
occurred on the night of December 2-3, 1984 at the Union Carbide India Limited (UCIL)
pesticide plant in Bhopal, Madhya Pradesh, India, Government agencies estimate 15,000
deaths. Attempts to reduce expenses affected the factory’s employees and their
conditions. During the night of December 2–3, 1984, large amounts of water entered tank
610, containing 42 tons of methyl isocyanate (MIC). The resulting exothermic reaction
increased the temperature inside the tank to over 200°C (392°F), raising the pressure to
a level the tank was not designed to withstand. This forced the emergency venting of
pressure from the MIC holding tank, releasing a large volume of toxic gases into the
atmosphere. The gases flooded the city of Bhopal, causing great panic as people woke up
with a burning sensation in their lungs. Thousands died immediately from the effects of
the gas and many were trampled in the panic.
748 Urban Legal and Policy Frameworks

Factors leading to the gas leak include:

♦ The use of hazardous chemicals (MIC) instead of less dangerous ones
♦ Plant’s location near a densely populated area
♦ Poor capacity planning.
Over utilisation of resources can lead to fatigues and fatal outcomes as it happened in
this case. It is crucial to understand the threshold of each resource (software, hardware
or humans) and understanding how much you can stretch them before they will collapse
or explode.
♦ The MIC tank alarms had not worked for four years
♦ There was only one manual back-up system, compared to a four-stage system used.
Observation
Policymakers in the development and poverty reduction sector need to recognise that
disasters are not just “setbacks” or “roadblocks” to development, but result from the
paths that development is pursuing. Thus by changing our planning processes, and
incorporating disaster risk assessment in the planning of all new development projects,
we can make sure that the future natural hazards will encounter resilient communities
that are capable of withstanding their impact and therefore remain mere emergencies
rather than disasters. We need to recognise that we can mitigate the impact of disaster
and make mitigation the cornerstone of our disaster management interventions. We must
shift the focus to the most poor and vulnerable sections of our society, and ensure that
our interventions are community-based and driven. With its pioneering and leading role
in development in the region, and its emphasis on poverty reduction.

36.6 Conclusion
Disasters disrupt progress and destroy the hard-earned fruits of painstaking developmental
efforts, often pushing nations, in quest for progress, back by several decades. Thus,
efficient management of disasters, rather than mere response to their occurrence has,
in recent times, received increased attention both within India and abroad. This is as
much a result of the recognition of the increasing frequency and intensity of disasters
as it is an acknowledgement that good governance, in a caring and civilised society,
needs to deal effectively with the devastating impact of disasters.

Disaster Management is the body of policy and administrative decisions and operational
activities which pertain to various stages (pre-disaster, disaster occurrence and post-
disaster) of disaster at all levels. Disaster management aims to reduce, or avoid, the
potential losses from hazards, assure prompt and appropriate assistance to victims of
disaster, and achieve rapid and effective recovery.

India is vulnerable, in varying degrees, to a large number of natural as well as man-

made disasters. 58.6 per cent of the landmass is prone to earthquakes of moderate to
Disaster Management 749

very high intensity; over 40 million hectares (12 per cent of land) is prone to floods and
river erosion; of the 7,516 km long coastline, close to 5,700 km is prone to cyclones and
tsunamis; 68 per cent of the cultivable area is vulnerable to drought and hilly areas are at
risk from landslides and avalanches1. Vulnerability to disasters/ emergencies of Chemical,
Biological, Radiological and Nuclear (CBRN) origin also exists. Heightened vulnerabilities
to disaster risks can be related to expanding population, urbanisation and industrialisation,
development within high-risk zones, environmental degradation and climate change.

In the context of human vulnerability to disasters, the economically and socially weaker
segments of the population are the ones that are most seriously affected. Within the
vulnerable groups, elderly persons, women, children - especially women rendered
destitute and children orphaned on account of disasters and the differently abled persons
are exposed to higher risks.

Two major events made it apparent that a multi-dimensional disaster management

programme was needed. The Orissa super cyclone in 1999 and the Bhuji Gujarat earthquake
in 2001 were two catalysts for the implementation of a large scale disaster management
reform with a focus on risk reduction as well as developmental plans and mitigation
efforts. Over that past decade, India has been able to build a new disaster management
policy that puts an importance on disaster mitigation as a way of further developing the
country. Another factor of the Indian disaster management programme, is that the approach
is “multi-disciplinary” approach spanning many different sectors. In the past, India’s
disaster management has been a top-down approach, yet that is shifting to a bottom-up
approach.

The ministry of Home Affairs is responsible for all disaster management and the Central
Relief Commissioner (CRC) in the Ministry of Home affairs is responsible for all coordination
of relief efforts for natural disasters. From this point, there are a handful of ministries,
organisations and departments that have a direct or indirect role in disaster management,
ranging from the Ministry of the Railways to the Department of Food. Each of these
groups nominates an officer for the Crisis Management Group who is led by the Central
Relief Commissioner. Each member and their respective group is responsible for disaster
relief within their given roles.

The National Crisis Management Committee (NCMC), heads all the other secretaries of
all the ministries and departments. This committee gives oversight to the Crisis
Management Group. The Secretary of the Ministry of Home Affairs is responsible for
making sure that all pertinent information is brought to the NCMC.

Overall, disaster management in India has made great strides in dealing with problems
that may occur in a natural disaster. With the occurrence of natural disasters in India
being so frequent, it is clear that clear and precise contingency plans are needed in
India. The Indian government has seemingly been able to take major steps in providing
efficient disaster management. One paradigm shift that has occurred within the Indian

1
National Policy on Disaster Management, 2009.
750 Urban Legal and Policy Frameworks

natural disaster management is the focus on mitigation and prevention efforts that
help development outside of emergency management, while still making disaster relief
efficient. This shift seems to speak to the idea that in both disaster management and
development long-term results are far more valuable than short-term gains.

36.7 References and Recommended Readings

http://www.who.int/water_sanitation_health/hygiene/emergencies/em2002chap4.pdf
Jha,Madan, Natural and Anthropogenic Disasters: Vulnerability, Preparedness and Mitigation,
Capital Publishing Co., New Delhi, 2010.
Thomas, Schneid D. and Collins Larry, Disaster Management and Preparedness, Lewis
Publishers, Boca Raton Florida,2001.
Eruption of Mount Pinatubo in the Philippines in June 1991 - Emmanuel M. de Guzman
Consultant (Philippines).
Disaster management practices using ArcGIS, ArcIMS, ArcSDE and Oracle K. Selvavinayagam.
Compendium of Laws On Disaster Management, National Disaster Management Authority
Government of India, 2015
National Policy on Disaster Management(NPDM).
Disaster Risk Management and Vulnerability Reduction: Protecting the Poor Suvit Yodmani.
National Disaster Management Guidelines , role of NGO’s in Disaster Management,
September 2010.
National Disaster Management Plan, Revised Edition - November, 2019
Disaster Management 751

COURSE 5:
URBAN DEVELOPMENT AND
ENVIRONMENT PROTECTION
MECHANISMS
752 Urban Legal and Policy Frameworks
Infrastructure and Resource Management 753

UNIT 37
INTRODUCTLON TO URBAN
DEVELOPMENTAL PROJECTS
Contents
37.1 Introduction 753
37.2 Urban Infrastructure Requirement 754
37.3 Special Economic Zone (SEZ) 757
37.4 Scheme 758
37.5 Urban Planning 760
37.6 Government Policy on Infrastructure Development: Public-Private 762
Partnership
37.7 Conclusion 762
37.8 References and Recommended Readings 763

37.1 Introduction
Cities can be tremendously efficient. It is easier to provide water and sanitation to
people living closer together, while access to health, education, and other social and
cultural services is also much more readily available. However, as cities grow, the cost
of meeting basic needs increases, as does the strain on the environment and natural
resources. To avoid burden on cities, Urban planning (urban, city and town planning) has
to be efficiently done as well as effectively implemented.
Formulated and is a technical and political process concerned with the control of the use
of land and design of the urban environment, including transportation networks, to guide
and ensure the orderly development of settlements and communities. It concerns itself
with research and analysis, strategic thinking, urban design, public consultation, policy
recommendations, implementation and management.
A plan can take a variety of forms including strategic plans, comprehensive plans,
neighbourhood plans, regulatory and incentive strategies, or historic preservation plans.
Planners are often also responsible for enforcing the chosen policies.
The modern origins of urban planning lie in the movement for urban reform that arose
as a reaction against the disorder of the industrial city in the mid-19th century. Urban
754 Urban Development and Environment Protection Mechanisms

planning can include urban renewal, by adapting urban planning methods to existing
cities suffering from decline. In the late-20th century, the term sustainable development
has come to represent an ideal outcome in the sum of all planning goals.

Urbanisation is a concept that emerged in the twentieth century. Only two cities, Rome
and London, were populated with more than 1 million people prior to 1800 BC. Only two
per cent of the total populations were urbanised in the 18th century which increased to
fifteen per cent in the 19th century and to forty nine per cent in the 20th century. India
has yet to join the urban century, as India is still a mosaic of 500,000 villages1 with sixty
per cent of the population dependent on agriculture.

The urban population of India is growing at a much faster rate than the overall rate of
population growth. Many people are migrating to cities because of the availability of
opportunities and of infrastructure facilities. However, infrastructure facilities are staging
behind population growth and which is creating a bottleneck situation. The public and
private sector together are taking measures to avoid the failure of big cities. Along with
the rebuilding of the old cities, the public and private sectors are developing new cities
across India. Some of these cities are being planned on the Special Economic Zone (SEZ)
model, essentially creating a “country within a country” by buffering the new SEZ-
contained city from the old bureaucratic institutions.2

The Economic Survey of India 2017-18 estimated that India will require $4.5 trillion
infrastructure investment by 2040. It is estimated that substantial infrastructure
investment will need to be focused on urban India, as by 2030, it is estimated that 40% of
the country’s population will reside in cities. Estimates by Rail India Technical and
Economic Services (RITES) indicate that the amount required for urban transport
infrastructure investment in cities with population 100,000 or more during the next 20
years would be of the order of Rs.207,000 crores. Obviously, sums of these magnitudes
cannot be located from within the budgetary resources of Central, State and Local
Governments.3

37.2 Urban Infrastructure Requirement

Urban infrastructure consists of drinking water, sanitation, sewage systems, electricity
and gas distribution, urban transport, primary health services and environmental
regulation. Many of these services are in the nature of ‘local’ public goods with the
benefits of improved urban infrastructure in a given city limited to the citizens living in
that city. Three decades of rapid economic growth would normally have propelled
migration from rural areas but growth in India has not had this effect thus far. This is
because industrialisation has been capital intensive and the services boom fuelled by
the knowledge economy has also been skill intensive. As more cities provide economies
1
“A tale of two Indias” - The Guardian, http //www.guardian.co.uk/india/story/0,,1746948,00.html
2
Large-Scale Urban Development in India - Past and Present Sagar S. Gandhi Working Paper #35 November
2007
3
Lok Sahab Secretariat, Reference Note No. 3/RN/Ref./2013, pg 4. http://164.100.47.193/Refinput/
New_Reference_Notes/English/challengesofurbanization.pdf
Urban Developmental Projects and Environment 755

of agglomeration and scale for clusters of industries and other non-agricultural economic
activity, the urban sector will become the principal engine for stimulating national
economic growth. Industrialisation will absorb more people as India advances further in
its integration with the world economy. At the present juncture, India faces the challenge
of continuing on its high growth trajectory while making growth more broad-based and
labour-intensive.4
Cities and towns of India are visibly deficient in the quality of services they provide,
even to the existing population. Considering that the Indian economy is now one of the
fastest growing economies in the world, and standards are rising, current service levels
are too low relative to the needs of urban households. They are also low relative to
what will be required to sustain the economic productivity of cities and towns. Preparing
India’s cities for a rapid growth scenario will require a paradigm shift in the planning for
urban infrastructure and reforming the institutions for service delivery. Regional and
urban planning have an important role to play in generating new spaces and in rejuvenating
existing city spaces so that a healthy socio-economic environment can be created in
which the fast-growing urban population of India can live with higher standards of public
service delivery and contribute to growth. The Fourth and the Fifth Five Year Plans
covering the period 1969- 79 explicitly envisaged the creation of smaller towns in order
to prevent further growth of population in large cities. The National Commission on
Urbanisation in its report in 1988 had stressed the need to reap the benefits of
agglomeration economies. The Seventh Five Year Plan (1987-92) recognised that
‘urbanisations is a phenomenon which is part and parcel of economic development.
Certain activities are best performed in, indeed require, agglomeration of people.’
Subsequently, at the time that India launched market-oriented economic reforms in the
early 1990s, the Eighth Five Year Plan (1992-97) identified the widening gap between
the demand and supply of urban services, the rapid growth of urban population aggravating
the accumulated backlog of shortages of housing and infrastructure, and high incidence
of urban poverty. But even then, urban planning received inadequate attention.
A beginning was made with the 74th Constitutional Amendment Act of 1992, which
mandated the setting up of elected municipalities as institutions of self-government
thereby creating political space for Urban Local Bodies (ULBs) within India’s federal
framework, and recommended that state governments devolve a specified set of functions
to the local governments. The ability of the ULBs to deliver urban services depends not
only on devolution of functions (including planning of land use) and funds, which is very
important, but also on helping them build capacities to fulfil their responsibilities. The
Megacity Programme for Infrastructure Development in the Ninth Plan and the Urban
Reform Incentive Fund (URIF) in the Tenth Plan were attempts at building capacity, but
they proved to be ineffective and were short-lived.
Water supply - Inadequate coverage, intermittent supplies, low pressure and poor quality
are some of the most prominent features of water supply in the cities of India. With
rapid increase in urban population and continuing expansion of city limits, the challenge
of delivering water in Indian cities is growing rapidly.
4
Report on Indian Urban Infrastructure and Services March 2011.
756 Urban Development and Environment Protection Mechanisms

Sewerage and sanitation - The challenge of sanitation in Indian cities is acute. With very
poor sewerage networks, a large number of the urban poor still depend 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. Over 50 million people in urban
India defecate in the open every day. The cost in terms of Disability Adjusted Life Years
(DALY) of diarrheal disease for children from poor sanitation is estimated at Rs 500
crores.
The problem of sanitation is much worse in urban areas than in rural due to increasing
congestion and density in cities. Indeed, the environmental and health implications of
the very poor sanitary conditions are a major cause for concern. The WSP study observes
that when mortality impact is excluded, the economic impact for the poorest 20 per
cent of urban households is the highest.
Solid waste management - The management and disposal of solid waste generated in
Indian cities leaves a great deal to be desired although the generation of solid waste is at
much lower rates than in most countries. Neither households nor municipalities in India
practice segregation of biodegradable waste from the rest, and public awareness on the
benefits of segregation is low. The collection of the garbage from dumpsites is infrequent,
processing is not done in most cases, and disposal rules are followed more in the breach.
The Solid Waste Management Rules (SWM), 2016 have been put in place but their
enforcement has been poor. Disposal practices at the open dumping sites are highly
unsatisfactory.
The poor management of solid waste has led to contamination of groundwater and surface
water through leachate and pollution of air through unregulated burning of waste.
Unscientific practices in processing and disposal compound the environmental hazards
posed by solid waste.
Urban transport and roads - Indian cities are increasingly faced with the twin challenges
of providing adequate road space for future use and improving the poor condition of
existing roads due to the neglect of maintenance over the years. Current road designs do
not adequately provide for facilities such as footpaths and cycle tracks. The available
road space gets encroached by commercial establishments, street vendors and on-street
parking due to poor enforcement of the existing regulations. The variety of vehicles on
the roads moving at different speeds without any demarcated lanes also adds to the
challenges of urban transport.
The highly inadequate and poor quality of the public transport system in Indian cities not
only poses a major challenge to realising the growth potential of the economy but also
has an adverse impact on the health and wellbeing of the people. Long hours spent on
road journeys, lives lost in road accidents and air pollution are only some of the effects
of the acute problem of transportation facilities in and around cities. India’s road network
(including national highways etc.) has grown by a third in the last decade whereas
vehicle registrations have increased by almost three times. The Boston Consulting Group
(BCG) study has estimated that severe road congestion in the four big cities of Delhi,
Mumbai, Kolkata and Bengaluru added up to $22 billion in congestion costs.
Urban Developmental Projects and Environment 757

Our ability to build the cities of tomorrow will require not only large investments in
urban infrastructure but also a fundamental shift in the mechanisms of service delivery.
Indeed, financing the large sums required to meet the investment needs of urban
infrastructure is crucially dependent on the reform of institutions and on upgrading the
skills of those who run the institutions which are responsible for service delivery and
revenue generation. Residents of Indian cities have over decades accepted the poor and
deteriorating quality of urban services without much protest. There is evidence to suggest
that this is beginning to change especially over the past few years with rapid economic
growth, rising aspirations, and increased demand for accountability.

The Town and Country Planning Organisation (TCPO)5 - The Town and Country Planning
Organization (TCPO), technical arm of the Ministry of Urban Development, Government
of India, is an apex technical advisory and consultant organisation on matters concerning
urban and regional planning strategies, research, appraisal, and monitoring of central
government schemes and development policies. TCPO not only assists the Central
Government but also provides assistance to the State Governments, Public Sector
Undertakings and Local Bodies / Development Authorities on the matters pertaining to
urbanisation, town planning, urban transportation, metropolitan planning, human settlement
policies, planning legislation. The Organisation also undertakes consultancy works on
urban development, urban design, spatial planning, etc., besides, conducting a training
programme on computer application in planning, GIS, etc., in collaboration with other
national and international agencies. Functions of TCPO include
i) Appraisal and monitoring of central sector projects / programmes.
ii) Advice to the Ministry of Urban Development, Planning Commission and other Central
Ministries in Urban Development policies and strategies.
iii) Technical advice and assistance to State Town and Country Planning Departments.
iv) Undertaking applied research in areas of topical interest.
v) Preparation of Manuals and Guides on various aspects of planning and development.
vi) Organising training programmes, conferences and workshops for in-service planners
and officials in the field of urban and regional planning and development.
vii) Providing consultancy services in planning projects at various levels.
viii) Developing Urban and Regional Information System.

37.3 Special Economic Zone (SEZ)

Special Economic Zone (SEZ) is an engine for economic growth supported by quality
infrastructure complemented by an attractive fiscal package, both at the Centre and the
State level, with the minimum possible regulations. SEZs in India functioned from 1.11.2000
to 09.02.2006 under the provisions of the Foreign Trade Policy and fiscal incentives were
made effective through the provisions of relevant statutes.

5
http://tcpo.gov.in/
758 Urban Development and Environment Protection Mechanisms

To instil confidence in investors and signal the Government’s commitment to a stable

SEZ policy regime and with a view to impart stability to the SEZ regime thereby generating
greater economic activity and employment through the establishment of SEZs, a
comprehensive draft SEZ Bill was prepared after extensive discussions with the
stakeholders. A number of meetings were held in various parts of the country both by
the Minister for Commerce and Industry as well as senior officials for this purpose. The
Special Economic Zones Act, 2005, was passed by Parliament in May, 2005 which received
Presidential assent on the 23rd of June, 2005. The draft SEZ Rules were widely discussed
and put on the website of the Department of Commerce offering suggestions/comments.
Around 800 suggestions were received on the draft rules. After extensive consultations,
the SEZ Act, 2005, supported by SEZ Rules, came into effect on 10th February, 2006,
providing for drastic simplification of procedures and for single window clearance on
matters relating to central as well as state governments. The main objectives of the SEZ
Act are:
♦ generation of additional economic activity;
♦ promotion of exports of goods and services;
♦ promotion of investment from domestic and foreign sources;
♦ creation of employment opportunities;
♦ development of infrastructure facilities.
The SEZ Rules provide for different minimum land requirement for different class of
SEZs. Every SEZ is divided into a processing area where alone the SEZ units would come
up and the non-processing area where the supporting infrastructure is to be created.6

37.4 Scheme
Of late, the Governments are seized of the danger in neglecting the urban areas and
resultantly schemes such as Atal Mission for Rejuvenation and Urban Transformation (AMRUT),
Heritage City Development and Augmentation Yojana (HRIDAY), Smart Cities Mission (SCM),
Swachh Bharat Mission (SBM) and Pradhan Mantri Awas Yojana (PMAY) have been framed.
Still, the allocation on these schemes are far below the requirement. Our urban areas are
in severe crisis. The Planning process is slowly but steadily trying to overcome the
deficiencies in urban policies. However, we still have a long way to go as there is a lot to
do to overcome urban problems. The cities are overcrowded, urban land has become
extremely scarce. To avoid severe problems, it is suggested that city services and city
management must be strengthened. The present urban infrastructure has become outdated.
This needs to be rectified i.e. roads, water supply, drainage and sewerage have collapsed.
Providing ample parking space and open space have been totally neglected. Enforcement
of municipal laws has miserably failed.
Atal Mission for Rejuvenation and Urban Transformation (AMRUT) - India has to improve
its urban areas to achieve objectives of economic development. In this context, the
Government has launched AMRUT.
6
http //www.sezindia.nic.in/about-introduction.asp
Urban Developmental Projects and Environment 759

AMRUT is a focused urban infrastructure development mission aiming to encourage

capacity building and reform implementation. The main objective of AMRUT is to ensure
universal access to water supply and sewerage. The mission also includes other
components, such as improving storm water drains to reduce flooding; pedestrian,
nonmotorized and public transport facilities; parking spaces; and green spaces, parks
and recreation centres, especially for children.
AMRUT focus on the following Thrust Areas:
1) Water Supply
2) Sewerage and septage management
3) Storm Water Drainage to reduce flooding
4) Non-motorized Urban Transport
5) Green space/parks
Reforms: Besides creating infrastructure for basic amenities, the Mission also focuses on
Reforms and capacity building of the ULBs. The reforms aim at improving delivery of
citizen services, bringing down the cost of delivery, improving financial health,
augmenting resources and enhancing transparency. The Mission has set aside 10% of annual
budgetary allocation to be given away as incentive to States/UTs for accomplishing the
reforms within specified timelines.

The Capacity Building is being focused on improving the capabilities of cities to deliver
the citizen services and to improve the health of ULBs.
The key expected outcomes under the Reform agenda are:
1) Energy efficient LED street lights in cities.
2) Energy audit of water pumps followed by replacement of inefficient pumps.
3) Conducting credit ratings and issuance of Municipal Bonds.
4) Reuse of treated wastewater.
5) Single Window Clearance System for Construction Permits.
6) Capacity building.
Urban Transport: Under AMRUT Mission, Urban Transport components which are admissible
are;
i) Ferry vessels for inland waterways (excluding port/bay infrastructure) and buses;
ii) Footpaths/walkways, sidewalks, foot over-bridges and facilities for non-motorised
transport (e.g. bicycles);
iii) Multi-level parking;
iv) Bus Rapid Transit System (BRTS).
7
Urban Infrastructure Development scheme for small and medium towns (UIDSSMT) guidelines, 2005, Ministry
of Urban Development.
760 Urban Development and Environment Protection Mechanisms

37.5 Urban Planning

Cities are probably the most complex things that human beings have ever created. They
are the wellsprings of culture, technology, wealth and power. People have a love-hate
relationship with cities. We are torn between our needs for community and privacy and
the conflicting attractions of urban and rural life. Urban Planning can be defined as the
design and regulation of the uses of space that focus on the physical form, economic
functions, and social impacts of the urban environment and on the location of different
activities within it. The need of the hour is sustainable development. With increasing
population and growing pollution, we can’t ignore the ill effects of planning on the
environment.
Sustainable development refers to utilising the present resources keeping in mind the
future needs of the society, so as not to exhaust the resources. It should not disturb the
ecological cycle and hence preserve the environment.
City planning has always been of chief concern since times immemorial. Evidence of
planning has been unearthed in the ruins of cities in China, India, Egypt, Asia Minor, the
Mediterranean world, and South and Central America. Early examples of efforts towards
planned urban development include orderly street systems that are rectilinear and
sometimes radial; division of a city into specialised functional quarters; development of
commanding central sites for palaces, temples and civic buildings; and advanced systems
of fortification, water supply, and drainage. Most of the evidence is in smaller cities that
were built in comparatively short periods as colonies. Often the central cities of ancient
states grew to substantial size before they achieved governments capable of imposing
controls.
On the state level, some progress has been made in enacting planning legislation and
setting up planning agencies. The results have not all been entirely satisfactory. In
several cases, efforts were made by some states to abolish or merge planning departments
with the public works department. Nevertheless, the Second Plan largely places the
onus of planning on the states. If planned urban development is to be undertaken, said
the Planning Commission, “each state should have a phased program for the survey and
preparation of Master Plans for all important towns”. The Commission noted that, in
order that this might be accomplished, town and country planning legislation should be
enacted in all states and the necessary machinery for its implementation should be set
up.8
Key Features of Urban Planning in India:
Urban Planning in India includes (but is not confined to) the following
♦ Town planning
♦ Regulation of land use for residential and commercial purposes
♦ Construction of buildings
8
S. Shrey, H. Kandoi, and Srivastava S. Urban Planning in India. Technical report, Centre for Environment
and Development, 2011.http //www.cedindia.org/wp-content/uploads/2011/03/urban-planning-in-india.pdf
Urban Developmental Projects and Environment 761

♦ Planning for economic development

♦ Planning for social development
♦ Construction of roads
♦ Constructions of bridges
♦ Water supply for domestic use, industrial and commercial purposes
♦ Public health care management
♦ Sewerage, sanitation and solid waste management
♦ Proper fire services
♦ Urban forestation and maintenance
♦ Protection of environment through sustainable development
♦ Promotion of ecological balance and maintenance
♦ Safeguarding the interests of weaker sections of society
♦ Offering proper infrastructural help to the handicapped and mentally retarded
♦ Population of the society
♦ Organised slum improvement
♦ Phased removal or alleviation of urban poverty
♦ Increased provision of basic urban facilities like public urinals, subways, footpaths,
parks, gardens, and playgrounds
♦ Increased public amenities including street lighting, parking lots, bus-stop and public
conveyances
♦ Continual promotion of cultural, educational and aesthetic aspects of the environment
♦ Increased number of burials, burial grounds, cremation grounds and electric crematoria
♦ Proper regulation of slaughterhouses and tanneries
♦ Absolute prevention of / zero tolerance of cruelty to animals
♦ Proper maintenance of population statistics, including registration of births and deaths
records.
It is imperative that the states enact workable legislation for planning, housing and slum
clearance. Since only the larger municipalities will be in a position to recruit a qualified
planning staff, the states must largely assume the task of preparing and carrying out plans
for the smaller towns, villages and development areas. In this, the Central Government
must assume greater leadership. Support and technical advice must be given to the
states to enable them to organise and administer effective planning programmes. In
turn, the Central Government must crystallise its own housing, slum clearance and
urban development programmes within the context of comprehensive urban planning
schemes.
762 Urban Development and Environment Protection Mechanisms

A better working relationship together with a sufficient and equitable distribution of

funds is needed to meet the development needs of the cities and towns. Additional
schools of planning are required to increase the output of trained planners and to undertake
research in manifold problems of urban growth and development. Above all, on all levels
of government and elsewhere, there is a pressing need to recognise the urgency of the
urban problem.

Development-wise or unwise will take place with or without planning. Boldness, imagination
and resourcefulness are needed to solve the problems faced by urban areas just as they
are for national economic progress. India’s plans for urban development or her schemes
for rural welfare, or her efforts toward exploitation of resources and industrialisation to
raise the standard of living are all part of one pattern. If the rewards of economic
development are to be realised, far greater attention must be given to the urban areas
which, after all, are the centre of the country’s productive machine, and the fountainhead
of economic progress.

37.6 Government Policy on Infrastructure Development: Public-

Private Partnership
India has created specialised institutions for long-term infrastructure financing and there
are certainly many arguments for establishing a regional investment bank, similar to the
line of India’s IIFC. Viability Gap Financing (VGF)9 is likely to be a successful instrument in
managing much needed gaps in road development in developing Asia and LDCs where
domestic resources are limited and suffer from capacity constraints. While this institution
could certainly play an important role by tapping into global financial markets and
channelling funds to infrastructure projects, their mere existence will not increase
investment if the underlying obstacles precluding investor confidence are not addressed.

Public-Private Partnership (PPPs) in Infrastructure

The Government is actively pursuing PPPs to bridge the infrastructure deficit in the
country. Several initiatives have been taken during the last three years to promote PPPs
in sectors like power, ports, highways, airports, tourism and urban infrastructure. Under
the overall guidance of the Committee of Infrastructure headed by the Prime Minister,
the PPP programme has been finalised and the implementation of the various schemes is
being closely monitored by the constituent Ministries/Departments under this programme.

37.7 Conclusion
Provision of quality and efficient infrastructure services is essential to realise the full
potential of the emerging Indian economy. Indian government’s first priority is, therefore,
rising to the challenge of maintaining and managing high growth through investment in
the infrastructure sector, among others. There are substantial infrastructure needs in

9
Tojo Jose, What is Viability Gap Funding?, India Economy and Finance, (2016) https://
www.indianeconomy.net/splclassroom/what-is-viability-gap-funding-vgf/
Urban Developmental Projects and Environment 763

the infrastructure sector in India, which, in other words, also offers large investment
opportunities. Public- Private Partnership (PPP) is emerging as the preferred instrument,
where the private sector gets its normal financial rates of return while the public sector
partner provides concessional funding based on the long-term direct and indirect benefits
to the economy. New instruments such as Viability Gap Funding (VGF) through a special
purpose vehicle (SPV) set up recently by the Government of India to fund mega
infrastructure projects may be relevant for other Asian countries as well. The cross-
border infrastructure component is an important determinant of regional integration. If
countries are not inter-linked to each other through an improved transportation network,
regional integration process will not move ahead at a desired pace. In India, development
of cross-border infrastructure, especially transportation linkages and energy pipelines
with neighbouring countries is underway and expected to contribute to the regional
integration in Asia by reducing transportation costs and facilitating intra-regional trade
and services.

37.8 References and Recommended Readings

Sustainable urban development in India Some issues by Basudha Chattopadhyay. Report
on Indian Urban Infrastructure and Services March 2011.
Compendium of primers for undertaking reforms at ulb level for the scheme of urban
infrastructure development in satellite towns around seven million plus cities town and
country planning organisation government of India ministry of urban development.
Large-Scale Urban Development in India - Past and Present Sagar S. Gandhi Working
Paper #35 November 2007.
Subversive Urban Development in India Implications on Planning Education Darshini
Mahadevia Rutul Joshi - December 2009.
Scheme and Guidelines for India Infrastructure Project Development Fund Department of
Economic Affairs Ministry of Finance - Government of India.
http //www.eria.org/research/images/pdf/PDF%20No.2/No.2-part2-4.India.pdf
India Infrastructure Report 2018: Making Housing Affordable, IDFC Institute, Mumbai, June
2018
Unlocking Cities: The impact of ridesharing across India, a study published by the Boston
Consulting Group and can be accessed at http://image-src.bcg.com/Images/BCG-Unlocking-
Cities-Ridesharing-India_tcm9-185213.pdf
764 Urban Development and Environment Protection Mechanisms

UNIT 38
INFRASTRUCTURE PROJECTS
AND ENVIRONMENT
Contents
38.1 Introduction 764
38.2 Major Urban Projects 765
38.3 Environment Impact Assessment 767
38.4 Urban Infrastructure and Impact on Environment 769
38.5 Sustainable Development 770
38.6 References and Recommended Readings 771

38.1 Introduction
In recent times, India has stepped up its development agenda. One explicit indicator of
this is the aggressive pace of construction activity in the country. It is believed that if
the current national level initiatives are consistently supported along with a few new
initiatives in the areas of education, health and labour, this country will be in the driving
seat and on a one-way street of growth. The particular emphasis on infrastructure
development will put India on a road map with Brazil, China and Russia towards becoming
a developed nation by 2050.
The construction industry is the second largest industry of the country after agriculture.
It makes a significant contribution to the national economy and provides employment to
a large number of people. The use of various new technologies and deployment of
project management strategies has made it possible to undertake projects of mega
scale. In its path of advancement, the industry has to overcome a number of challenges.
However, the industry is still faced with some major challenges, including housing, disaster
resistant construction, water management and mass transportation. Recent experiences
of several new mega-projects are clear indicators that the industry is poised for a bright
future. It is the second homecoming of the civil engineering profession to the forefront
amongst all professions in the country.1
A human being is not only dependent on the physical environment for livelihood, but also
in a number of ways they are capable of controlling and influencing the physical
1
Challenges before Construction Industry in India Arghadeep Laskar and C. V. R. Murty Department of Civil
Engineering Indian Institute of Technology, Kanpur.
Urban Developmental Projects and Environment 765

environment. However, in the quest to improve their standard of living and to fulfil their
ever-increasing diversified and sophisticated needs, human use of the physical
environment is often excessive and uncontrolled. Environmental degradation is often
mentioned as the consequence of human negligence on the one hand, but on the other
hand, it is more often than not, the intentional individual or collective actions that have
put economic gains as of utmost importance. As such, in the process of economic and
infrastructural development, environment has not been given its due respect and has
often been side-lined which leads to further degradation of the environment.2

The concept of environmental clearances for projects after conducting an environment

impact assessment (EIA) study was started in 1978 as a directive of the Planning Commission
for the Government of India funding. In 1994, obtaining environmental clearances for
projects was made mandatory for most major projects (both state and private funded).
Consequently, any person who desires to undertake such a project in any part of India or
the expansion or modernisation of any existing industry or project has to make an
application for environmental clearance to the central government or the state government,
as the case may be, and support such application with an EIA report of the proposed
project activity and an environment management plan (EMP).

The statutory framework for the environment includes the Indian Forests Act, 1927, the
Water (Prevention and Control of Pollution) Act, 1974, the Air (Prevention and Control of
Pollution) Act, 1981, the Forest (Conservation) Act, 1980, and the Environment (Protection)
Act, 1986. Other enactments include the Public Liability Insurance Act, 1991, the National
Environment Tribunal Act, 1995 and the National Environment Appellate Authority Act,
1997.

38.2 Major Urban Projects

India’s rise in recent years is the most prominent development in the world economy.
India has re-emerged as one of the fastest growing economies in the world. India’s
growth, particularly in manufacturing and services, has boosted the sentiments, both
within the country and abroad. With an upsurge in investment and robust macroeconomic
fundamentals, the future outlook for India is distinctly upbeat. According to many
commentators, India could unleash its full potentials, provided it improves the
infrastructure facilities, which are at present not sufficient to meet the growing demand
of the economy. Failing to improve the country’s infrastructure will slow down India’s
growth process.3 Therefore, the Indian government’s first priority is rising to the challenge
of maintaining and managing high growth through investment in infrastructure sector,
among others. The provision of quality and efficient infrastructure services is essential
to realise the full potential of the growth impulses surging through the economy. India,
while stepping up public investment in infrastructure, has been actively engaged in
involving private sector to meet the growing demand. The demand for infrastructure
investment during the 11th Five Year Plan (2007- 2011) had been estimated to be USS
2
European Journal of Social Sciences - Volume 9, Number 2 (2009).
3
See, Government of India (2007, p. 16).
766 Urban Development and Environment Protection Mechanisms

492.5 billion.4 To meet this growing demand, Government of India had planned to raise
the investment in infrastructure from the present 4.7 per cent of GDP to around 7.5 to
8 per cent of GDP in the 11th Five Year Plan. In general, efforts towards infrastructure
development is continued to focus on the key areas of physical and social infrastructure.

Performance of physical infrastructure in the Indian economy in the last one and half
decades has been mixed and uneven. Over years, India’s soft infrastructure grew much
faster than the hard infrastructure. For example, India’s rising trade has been reflected
in growing container cargo traffic, which increased from less than 187 million tonnes in
2007 to about 529 million tonnes in 2019.5 In contrast, hardware components, like railways,
roadways and airways, witnessed little expansion. In general, performances of these
sectors (hardware) are nevertheless poor, when counted, their densities in terms of the
country’s surface area or population. Densities in terms of access or spread of rail and
road length clearly indicate that the road sector has been successful, compared to railways,
in spreading the network as well as providing an access in the economy.

Delhi Metro Rail Project

This project of developing a Mass Rapid Transit System (MRTS) in Delhi started in phases.
The estimated completion cost of phase 1 and 2 was Rs. 10,571 Crores and Rs. 18,783
Crores respectively. The estimated cost of phase 3 is Rs. 41,079 Crores. This project
involves construction of surface lines, elevated routes and underground routes. The
construction of underground segments involves tunnelling through hard rock strata.

Highway Projects
Until recently, India lacked proper highway network across the length and breadth of the
country, which severely affected the pace of growth. The development agenda of the
nation and the projected industrial growth demanded a world-class road network for
safer, faster and efficient movement of men and material. The government of India has
recently approved a highway construction plan to develop approximately 83,677 km of
roads at an investment of Rs 6.92 lakh crore by 2022. The government has launched
Bharatmala, which will provide NH linkage to 550 districts, and be a major driver for
economic growth in the country. A total of around 24,800 km are being considered in
Phase I of Bharatmala. In addition, Bharatmala Pariyojana phase –I also includes 10,000
km of balance road works under NHDP, taking the total to 34,800 km at an estimated cost
of Rs.5,35,000 crore. Bharatmala Phase I – is to be implemented over a five years period
of i.e. 2017-18 to 2021-22.

River Inter-Linking Project6

This project of developing a mega-network of canals linking major Indian rivers is a long-
term, multi-crore solutions of Country’s drought, flood, inter-state water dispute, chronic
4
Planning Commission, 2007.
5
India Brand Equity Foundation, Ports, 2019. https://www.ibef.org/download/ports-mar-2019.pdf
6
http://mowr.gov.in/schemes-projects-programmes/schemes/interlinking-rivers
Urban Developmental Projects and Environment 767

power shortage and pollution. It would open-up windows of opportunities like water
transport and tourism, which have ample geo-political and socio-economic benefits.
The total project is expected to cost Rs.560,000 Crores, which is expected to irrigate an
additional 15,00,00,000 hectares land. Presently, out of the total geographic area of 32,
80,00,000 hectares of the country, 14,20,00,000 hectares is irrigated. Thus, with the
implementation of this project, the irrigated land in the country would double covering
almost the entire nation. The project is also expected to generate 35,000 MW of electricity.
This would increase the power generating capacity of the nation by 33% of the present
capacity of 104,918 MW.

Sea-Ports Project
This project of upgrading existing ports along the gigantic coastline of the country will
be an invitation to traders from all directions to conduct business with India; the project
is therefore called as the Sagarmala Project and sometimes as the Necklace Project.
Under Sagarmala, a total of Rs. 1,821 Cr has been sanctioned and Rs. 1,102 Cr has already
been released for the development and implementation of 93 projects for a total project
cost of Rs 5,528 Cr. The projects include various infrastructure projects, coastal berth
projects, fishery harbours and skill development projects.

Air-Taxi Project
Another mega-project that is under plan preparation is one that will enhance air
connectivity between various places in the country. It is expected that the enhancement
of existing airports to higher standards and capacity, and addition of new airports at
critical locations will lead to more hubs for traffic exchange, in contrast to just Delhi and
Bombay currently. It is also proposed to have a high capacity airport at Nagpur, which
will offload and carry passengers from any corner of the country to another such destination
without having to necessarily reach one of the already busy airports of Delhi and Bombay.
This project along with other national level initiatives of the Central Government is
expected to result in a sharp drop in the current air travel cost in the country. The
financial outlay for this project is expected to far exceed some of the ongoing mega-
projects like the highways project or the sea-ports project.

38.3 Environment Impact Assessment

The Indian experience with Environmental Impact Assessment began over 20 years back.
It started in 1976-77 when the Planning Commission asked the Department of Science and
Technology to examine the river-valley projects from an environmental angle. This was
subsequently extended to cover those projects, which required the approval of the
Public Investment Board.
Till 1994, environmental clearance from the Central Government was an administrative
decision and lacked legislative support.
On 27 January 1994, the Union Ministry of Environment and Forests (MEF), Government of
India, under the Environmental (Protection) Act 1986, promulgated an EIA notification
768 Urban Development and Environment Protection Mechanisms

making Environmental Clearance (EC) mandatory for expansion or modernisation of any

activity or for setting up new projects listed in Schedule 1 of the notification. Since then
there have been 12 amendments made in the EIA notification of 1994.

The Ministry of Environment Forest notified new EIA legislation in September 2006. The
notification makes it mandatory for various projects such as mining, thermal power
plants, river valley, infrastructure (road, highway, ports, harbours and airports) and
industries including very small electroplating or foundry units to get environment
clearance. However, unlike the EIA Notification of 1994, the new legislation has put the
onus of clearing projects on the state government depending on the size/capacity of the
project.

Certain activities permissible under the Coastal Regulation Zone Act, 1991 also require
similar clearance. Additionally, donor agencies operating in India like the World Bank
and the ADB have a different set of requirements for giving environmental clearance to
projects that are funded by them.
EIA is an exercise to be carried out before any project or major activity is undertaken to
ensure that it will not in any way harm the environment on a short term or long term
basis. Any developmental endeavour requires not only the analysis of the need of such a
project, the monetary costs and benefits involved but most importantly, it requires a
consideration and detailed assessment of the effect of a proposed development on the
environment.
The EIA process really took off after the mid-1980s. In 1989, the World Bank adopted EIA
for major development projects, in which a borrower country had to undertake an EIA
under the Bank’s supervision.
The environment impact process was introduced with the purpose of identifying/evaluating
the potential beneficial and adverse impacts of development projects on the environment,
taking into account environmental, social, cultural and aesthetic considerations. All of
these considerations are critical to determine the viability of a project and to decide if
a project should be granted environmental clearance.
An EIA concentrates on problems, conflicts and natural resource constraints which might
affect the viability of a project. It also predicts how the project could harm people,
their homeland, their livelihoods and the other nearby developmental activities. After
predicting potential impacts, the EIA identifies measures to minimise the impacts and
suggests ways to improve the project viability.
The aim of an EIA is to ensure that potential impacts are identified and addressed at an
early stage in the project’s planning and design. To achieve this aim, the assessment
findings are communicated to all the relevant groups who will make decisions about the
proposed projects, the project developers and their investors as well as regulators,
planners and the politicians. Having read the conclusions of an environmental impact
assessment, project planners and engineers can shape the project so that its benefits can
be achieved and sustained without causing adverse impacts.
Urban Developmental Projects and Environment 769

In recent years, major projects have encountered serious difficulties because insufficient
account has been taken of their relationship with the surrounding environment. Some
projects have been found to be unsustainable because of resource depletion. Others
have been abandoned because of public opposition, financially encumbered by unforeseen
costs, held liable for damages to natural resources and even been the cause of disastrous
accidents.

Under the Environment Protection Act (EPA), 1986, various rules have been promulgated
to control pollution and manage environmental issues. EIA Notification, 2006 imposes
certain restrictions and prohibitions on new projects or activities, or on the expansion
or modernisation of existing projects or activities based on their potential environmental
impacts. These project categories are listed in the notification and clearance process
defined, based on their capacities to obtain prior environmental clearance.

38.4 Urban Infrastructure and Impact on Environment

As the number of projects and private investments increased, bureaucratic delays became
a concern. Laws were modified to overcome these delays. Between 1980 and 1998, nine
Acts, Bills and Amendments related to environment were enacted. These included the
Forest Conservation Act, 1980, the Environment Protection Act, 1986, the National
Environment Appellate Authority Act, 1997, and the Coastal Regulation Zone notification,
1991.

The Environment Protection Act (EPA) 1986 came into existence soon after the Bhopal
gas tragedy. It became an umbrella legislation, and attempted to seal the existing gaps
in the law. It empowered the central government to take measures to protect and
improve the quality of the environment, by setting standards for emissions and discharges,
by regulating the location of industries, and by protecting public health and welfare
(EPA, 1986).

The need for the Environmental Impact Assessment (EIA) was formally recognised at the
Earth Summit held at Rio de Janeiro in 1992. In India, the EIA Notification was enacted
in 1994, with the EPA as its legislative foundation (MoEF, 2008). The Act has been amended
in 1997, 2006, and 2007. Thirty-two categories of developmental projects require EIA
approval. In addition, all developmental projects, whether or not mentioned in the
schedule, and if located in an environmentally fragile region, must obtain clearance
from the Ministry of Environment and Forest (MoEF), a central government entity set up
in 1985. Prior to this clearance, they must also obtain clearance from the State Pollution
Control Board (SPCB). If the location involves forestland, a No Objection Certificate
(NOC) shall be obtained from the State Forest Department (SFD). Both SPCB and SFD are
the state entities functioning in the geographical region where the project exists. Over
the years, regulations have been simplified with an aim to reduce the total time required
for the approval process. The simplifications include reducing the number of interfacing
agencies and approvals, and allowing parallel activities for clearances. As per the EPA
Amendment Act 2007, environmental clearance for project proposals were to be granted
770 Urban Development and Environment Protection Mechanisms

usually within the mandated time frame of 120 days from the date of receipt of complete
information from the project authorities. As the number of projects and private
investments increased, bureaucratic delays became a concern. Laws were modified to
overcome these delays. Between 1980 and 1998, nine Acts, Bills and Amendments related
to environment were enacted. These included the Forest Conservation Act, 1980, the
Environment Protection Act 1986, and the National Environment Appellate Authority
Act, 1997, and the Coastal Regulation Zone notification, 1991.7

The preserving of the environment is a great challenge in a developing country like

India, which has a fragile environment that is faced with high levels of land degradation
(e.g., erosion, aridity, desertification, drought, flooding, and alkalinity and salinity of
ground). The rapid urbanisation alongside associated problems like pollution of air and
pressure on existing infrastructure with regard to waste management, pose a race against
time. Many countries, mainly industrialised ones, have taken steps to ensure that the
reduced use of construction materials, techniques and practices, which result in operations
and products that have lower environmental impact. Developing countries like India can
derive valuable lessons from these steps. Some of the desirable steps are:
a) Government action: The Government needs to enforce legislation and regulations
on environmental performances. Licenses and approvals need to be regulated with
transparency to ensure that all organisations in the industry operate in an environment
friendly manner. Tax holidays and special grants may be introduced to encourage
environment protection. A policy of certification and labelling of products needs to
be brought into practice.
b) Market forces: Project clients need to insist on better environmental performance
of construction companies. Experience from other construction firms adopting or
benefiting from good environmental practices needs to be disseminated to all.
c) Institutional initiatives: Professional bodies need to take interest in providing support
services to construction firms to function in an environment friendly manner.
d) Operational environment: Pressure groups and informed users need to work continually
to prevent deterioration of the environment.

The practice of being engaged in a continuous search for inputs and ways of working
which will minimise the negative impact of construction activity on the environment
should be encouraged among construction companies and practitioners. Also, openly
discussing detailed case studies of good practices would be useful. The feasibility of
preparing good-practice manuals suitable for use in various contexts may be investigated.

38.5 Sustainable Development

Sustainable development means attaining a balance between environmental protection
and human economic development and between the present and future needs. It means
7
Megaprojects in India Environmental and Land Acquisition Issues in the Road Sector G. Raghuram Samantha
Bastian Satyam Shivam Sundaram W.P. No. 2009-03-07 March 2009.
Urban Developmental Projects and Environment 771

equity in development and sectoral actions across space and time.8 It requires an
integration of economic, social and environmental approaches towards development.
Sustainable urban development refers to attaining social equity and environmental
protection in urbanisation while minimising the costs of urbanisation.

The UN General Assembly convened a conference on the “human environment” at

Stockholm in June 1972, which came out with guiding principles on “human environment”.
It emphasized that humans have the fundamental right to a quality environment and also
that a responsibility towards protecting the environment for present and future
generations. It also maintained that natural resources of the earth must be safeguarded
for the benefit of present and future generations. Sustainable urban development
specifically means achieving a balance between the development of the urban areas and
protection of the environment with an eye to equity in employment, shelter, basic
services, social infrastructure and transportation in the urban areas. Concerns are raised
at environmental damages and depletion of non-renewable resources and rising levels
of pollution in urban areas. In recent times, cities have become places of urban
environmental degradation and wasteful use of resources, which is proving to be costly
to generations present and future. In order to mitigate the problem, we require to
minimise the depletion of non-renewable resources and resort to environmentally
sustainable economic development. While planning for sustainable development of the
towns, we should also consider the factor of climate change. Explaining implications of
climate change for sustainable development, the Intergovernmental Panel on Climate
Change notes “Sustainable development represents a balance between the goals of
environmental protection and human economic development and between the present
and future needs. It implies equity in meeting the needs of people and integration of
sectoral actions across space and time”.9

38.6 References and Recommended Readings

Challenges before Construction Industry in India Arghadeep Laskar and C. V. R. Murty
Department of Civil Engineering Indian Institute of Technology, Kanpur.
Sustainable Urban Development in India Some issues by Basudha Chattopadhyay.
Delhi MRTS Cost & Funding Plan for Phase I, II & III, Access:
http://www.delhimetrorail.com/otherdocuments/funding.pdf
Sagarmala, Post Led Prosperity, Ministry of Shipping: http://sagarmala.gov.in/projects/
projects-funded-under-sagarmala

8
Cruz et al, 2007.
9
Cruz et al, 2007.
772 Urban Development and Environment Protection Mechanisms

UNIT 39
GOOD GOVERNANCE:
BEST PRACTICES
Contents
39.1 Introduction 772
39.2 Some Best Practices 773
39.3 Best Practices: States 775
39.4 Role of Judiciary and Good Governance 778
39.5 Sustainable Development 781
39.6 Concluding Remark 782
39.7 References and Recommended Readings 782

39.1 Introduction
Good governance is an indeterminate term used in development literature to describe
how public institutions conduct public affairs and manage public resources in order to
guarantee the realisation of human rights. Governance is described as “the process of
decision-making and the process by which decisions are implemented (or not
implemented)”.The term governance can apply to corporate, international, national,
local governance or to the interactions between other sectors of society.1 The concept
of “good governance” often emerges as a model to compare ineffective economies or
political bodies with viable economies and political bodies. Because the most “successful”
governments in the contemporary world are liberal democratic states concentrated in
Europe and the Americas, those countries’ institutions often set the standards by which
to compare other states’ institutions. Because the term good governance can be focused
on any one form of governance, aid organisations and the authorities of developed
countries often will focus the meaning of good governance to a set of requirements that
conform to the organisation’s agenda, making “good governance” imply many different
things in many different contexts.

It has been defined as the use of power and authority by those in government to provide
goods and services to the people to uphold the common good and fulfil the aspirations
and needs of the common man. Governance, therefore, is concerned with power,

1
UNESCAP, 2009.
Urban Developmental Projects and Environment 773

strategies, policies, plans and projects that aim at improving the substance or quality of
life. The people expect their government to proceed.

Governance, in modern times, has been becoming an important means for achieving
societal development objectives. Although governance improvements are perceived
differently in the developed and developing worlds, it is also becoming an area of
convergence where both developed and developing societies could learn from experiments
and make use of it for transforming respective societies.

Governance is a concept which is used in different meanings in different contexts; it

varies from a narrow structural definition of its management of public affairs by government
constituents i.e., legislation, executive and judiciary, to the processes that ensure
deliveries, participation, justice, respect of rights, innovation and networking. The
World Bank defined it as follows: Governance, in general, has three distinct aspects,
a) the form of a political regime;
b) the processes by which authority is exercised in the management of a country’s
economic and social resources;
c) the capacity of governments to design, formulate and implement policies, and, in
general, to discharge governmental functions.2
As per the United Nation’s Commission on Human Rights, the key attributes of good
governance include transparency, responsibility, accountability, participation and
responsiveness to the needs of the people. Good governance is thus, linked to an enabling
environment conducive to the enjoyment of Human Rights and promoting growth and
sustainable human development. The expectation of every civil society of its Government
is that it would fulfil its commitments and provide an equitable atmosphere contributing
to an individual’s growth. A Government is expected to be fully accountable to its people
and transparent in the use of public resources. It enforces the Human Rights including
economic, social and cultural rights and has no place for corruption of any kind since
dishonesty is anathema to economic wellbeing as it transmits public money allocated for
development unjustly into private coffers depriving the citizenry of its use for their
welfare. In nutshell, Good Governance entails effective participation in public policy-
making, the prevalence of the rule of law and an independent judiciary, besides a system
of institutional checks and balances through horizontal and vertical separation of powers,
and effective oversight agencies.

39.2 Some Best Practices

Good governance has 8 major characteristics. It is participatory, consensus oriented,
accountable, transparent, responsive, effective and efficient, equitable and inclusive
and follows the rule of law. It assures that corruption is minimised, the views of minorities
are taken into account and that the voices of the most vulnerable in society are heard in
decision-making.3
2
World Bank 1992, cited in La Porte 2000.
3
OECD, 2001.
774 Urban Development and Environment Protection Mechanisms

Participation: Participation by both men and women is a key cornerstone of good

governance. Participation could be either direct or through legitimate intermediate
institutions or representatives. It is important to point out that representative democracy
does not necessarily mean that the concerns of the most vulnerable in society would be
taken into consideration in decision making. Participation needs to be informed and
organised. This means freedom of association and expression on the one hand and an
organised civil society on the other hand.
Transparency: Transparency means that decisions taken and their enforcement are done
in a manner that follows rules and regulations. It also means that information is freely
available and directly accessible to those who will be affected by such decisions and
their enforcement. It also means that enough information is provided and that it is
provided in easily understandable forms and media.
Effectiveness and efficiency: Good governance means that processes and institutions
produce results that meet the needs of society while making the best use of the resources
at their disposal. The concept of efficiency in the context of good governance also
covers the sustainable use of natural resources and the protection of the environment.
Responsiveness: Good governance requires that institutions and processes try to serve all
stakeholders within a reasonable timeframe.
Accountability: It is a key requirement of good governance. Not only governmental
institutions but also the private sector and civil society organisations must be accountable
to the public and to their institutional stakeholders. Who is accountable to whom varies
depending on whether decisions or actions taken are internal or external to an organisation
or institution. In general, an organisation or an institution is accountable to those who
will be affected by its decisions or actions. Accountability cannot be enforced without
transparency and the rule of law.
Consensus oriented: There are several actors and as many viewpoints in a given society.
Good governance requires mediation of the different interests in society to reach a
broad consensus in society on what is in the best interest of the whole community and
how this can be achieved. It also requires a broad and long-term perspective on what is
needed for sustainable human development and how to achieve the goals of such
development. This can only result from an understanding of the historical, cultural and
social contexts of a given society or community.
Equity and inclusiveness: A society’s well-being depends on ensuring that all its members
feel that they have a stake in it and do not feel excluded from the mainstream of
society. This requires that all groups, but particularly the most vulnerable, have
opportunities to improve or maintain their well-being.
Rule of Law: Good governance requires fair legal frameworks that are enforced impartially.
It also requires full protection of human rights, particularly those of minorities. Impartial
enforcement of laws requires an independent judiciary and an impartial and incorruptible
police force.4
4
UNESCO nd. Web World, E-Governance Capacity Building http //portal.unesco.org/ci/en/ev.php-
URL_ID=5205&URL_DO=DO_TOPIC&URL_SECTION=201.html
Urban Developmental Projects and Environment 775

39.3 Best Practices: States

India has been experiencing several changes in the political and economic space, which
have some implications to governance and, so also, to urban governance. India had
followed a mixed economic model with the public sector leading the economy and
public spending determining the welfare of the society. There was a significant deviation
in this approach through economic policy reforms in 1991 that were brought as a necessity
to make India emerge as a strong economy in line with competition from other countries.
With this added pressure on services, in addition to the pressures from rapid urbanisation
gripping the country in the 1980s, markets emerged as an important institution in the
wider allocation of resources, in their ability to mop-up and bring-in private resources in
economic activities and in representing the needs (and aspirations) of growing consumer
class in cities. Urban planning is an important function of urban local governments in
which the authorities will have to plan allocation of land for various uses, particularly for
housing the population, and ensure that the basic infrastructure services such as transport,
water and sanitation, health, education and recreation are well planned and provided to
the citizens. This is an important task which requires the strategic visioning and deployment
of organisational, financial and technical skill sets, wherein little attention is paid and
the physical as well as financial estimates are considered unrealistic, therefore, they call
for alternative governance mechanisms for achieving it. Nevertheless, the planning process
has to ensure strategic visioning and public participation in the plans, and the
implementation of plans has to reflect the adherence to principles of good urban governance
i.e., transparency, accountability, equity, efficiency, acknowledgement of rights, rule of
law etc.

Indian cities are no exception to and no different from the status of developing countries’
cities in the first section i.e., they are facing severe pressures on service delivery and
not fully responsive to the needs. Therefore, urban governance reforms and innovations
are assuming greater importance. Undoubtedly, city governance is more challenging also
because spatial structures keep changing.

Governance reforms are becoming essential to ensure that these agents are made
accountable through alternate institutional structures and are monitored to ensure the
movement of development.

In Bangalore, it has been happening in the form of a spurt of non-profit initiatives, which
led to the reactivation of improvements in urban governance. Here, the major institutional
innovations are the Bangalore Forward (Blr For), which undertook several initiatives for
improving Bangalore city and its management; the Bangalore Agenda Task Force (BATF),
which contributed to an overall improvement of the city in a significant manner by
acting as a decision making and accountability instrument; the Public Affairs Centre
(PAC) has emerged both as a think tank body and an independent monitoring institution
on behalf of the citizenry; and Janagraha emerged as an institution to voice community
concerns. Bangalore Forward is a private non-profit initiative that works towards better
Bangalore with an active support of the private corporates in the city and with the
776 Urban Development and Environment Protection Mechanisms

encouragement of the State government. It works hand-in-hand with the Bangalore

Agenda Task Force (BATF), which was established by the state government as a statutory
body to strategies, look after, coordinate and monitor the development activities in
Bangalore. An important element of its working strategy is the stakeholder meetings
held in public to bring-in accountability of the seven major service providing agencies
concerned with Bangalore city that have a greater stake in the city development.
Bangalore Forward (Blr For) has undertaken several other voluntary initiatives that
have led to an overall improvement of Bangalore city. Interestingly, in all these initiatives,
private corporates as well as individuals have contributed. Though the scale of
achievement could be less than that of government, it demonstrates the potential of
private sector contribution to city development, and, hence, its engagement. This also
led to an active support of media and the general public. There were an overwhelming
proportion of citizens who perceived that Bangalore city infrastructure and amenities
improved in just one year. Also, there had been a consistently increasing share of population
positively perceived about developments in Bangalore, which gets reflected in the public
report cards based on the citizen perception surveys.
The Public Affairs Center (PAC), a non-profit policy research organisation, emerged as a
watchdog of the civil society to express citizen satisfaction with respect to major
service providers in the city periodically through large scale public surveys. It established
an independent system of citizen report cards for continuous performance monitoring of
public agencies. At the same time, Janaagraha was initiated by a group of concerned
citizens of the city to express their voice and concerns on the development projects of
the government on one hand and undertake micro- level intervention with or without
external financial support. It also took forward the FBAS to the citizens through launching
Public Record of Operations and Finance (PROOF) campaign, thereby, extending it to
improved public accountability and citizen empowerment through discussion of revealed
knowledge of civic finances. However, it primarily acts as a public opinion gathering
institution; thereby, it seeks to provide inputs to policy-making in the government.
Incidentally, these institutes came into existence primarily due to the efforts of few
individuals, who sought to play a catalyst role in city development through mobilising
civil society.
Public Affairs Center (PAC) instituted a citizen report card system on Bangalore’s public
service providers, in which users (or, citizens) provide feedback on the quality, efficiency
and adequacy of services and the problems they face in their interactions with service
providers. This involves drawing a number of large samples and conducting surveys based
on questionnaires. The assessment was done with the objectives of (i) demonstrating
that citizen feedback on services could be used to rate the performance of public
service providers and highlighting the aspects of their services that needed improvement
(ii) sensitising the public at large about the state of public services and exerting pressure
on government and service provides to improve the quality of services and public
accountability in general.
Moreover, it could also act as a benchmarking device when it is carried out periodically.
The first report card was published in 1993, the second was published in 1999 and the
Urban Developmental Projects and Environment 777

third was published in 2003. All of them reported a widespread public dissatisfaction
with public service providers with only one of them receiving satisfaction by over 50% of
the people. Majority of them reported the bureaucratic delays and hurdles, and also the
prevalence of corruption. The report card was an eye- opener and the service providers
came under public scrutiny through such system, which pressurised them to undertake
measures to improve the performance.5

Urban Governance in Mumbai

Mumbai has actually found some novel institutions emerging in response to the failure
of local government in delivering goods and services to citizens’ satisfaction; in a way,
it gave inspiration to the spurt of institutions in Bangalore. The Partnership Institutions
in Mumbai are Bombay First (BF), a non-profit initiative of private corporates, and
Citizens’ Action Group (CAG), a State appointed institution to strategize and monitor
the initiatives for Mumbai city development. Further, initiatives like Action for Good
governance Network of India (AGNI) and PRAJA emerged as civil society watchdog groups
that partnered with local and State governments. Bombay First (BF) is a private non-
profit initiative that was formed by private corporates under the umbrella of Bombay
Chamber of Commerce and Industry with a vision of transforming the city into a globally
competitive city through improvements in economic growth, infrastructure and the
quality of life. It drew inspiration from London First and structured its organisation in
line with London First. The mission of Bombay First, however, has been larger to address
the issues and problems confronting the city through partnerships with government,
business and civil society.

Also, Bombay First is different from London First in terms of methods; it proposed to use
research, catalysis, advocacy and networking as the means of achieving the mission,
whereas London First uses the means of dialogue, expert assistance and advocacy to
influence the decisions. Bombay First, under the guidance of Bombay City Policy Research
Foundation, began its work with a comprehensive diagnosis of the city development - its
economic and social structure, the causes of decline of certain activities and infrastructure,
possible solutions and pilot scale projects. It commissioned relevant studies and carried
out surveys, which led to a renewed understanding of structure and nature of employment,
sectoral growth patterns and hindering factors like critical infrastructural bottlenecks.
Also, later these studies indeed helped in understanding the city problems to search for
solutions. Bombay First (BF) spent considerable time in understanding and groping with
issues concerning Mumbai city. The Citizens’ Action Group (CAG) is an important
development of the post-Vision Mumbai plan, which was constituted to act as a monitoring
and review group concerned with Mumbai’s development through a special government
order. The CAG is a statutory body and a Special Secretary coordinates its meetings. This
group has about 30 eminent citizens who meet and discuss both internally and together
with the Chief Minister, the status of ongoing projects and the new plans envisaged by
various agencies. It, thus, emerged as a partnership institution between government and
private sector in city- level decision making through setting agenda and monitoring the

5
Paul and Sekhar (2000), Sekhar and Shah (2006).
778 Urban Development and Environment Protection Mechanisms

progress of government agencies concerned with Mumbai city, with respect to the plans,
initiatives and projects. Apart from the CAG as an instituted group to monitor city
development activities, PRAJA, a non-profit initiative, acts as a partnership institute to
communicate citizens’ grievances and opinions to the Municipal Corporation of Greater
Mumbai (MCGM).

Citizen interface improvement initiatives in Mumbai

The Municipal Corporation of Greater Mumbai (MCGM) instituted a system of interface
with public in collaboration with PRAJA to check the department-wise and ward-wise
performance and to take some remedial actions for improving service provision. The
first project performance survey was carried out in 2000 and continued in 2001. It expressed
the public perception of MCGM at large in terms of the responsibilities the citizens
believe it was obliged to and the relative satisfaction of the services of the seven
departments - water supply, traffic/transport, roads, sewerage, solid waste management
and license departments.

Moreover, performance of wards was also planned to be measured using the citizen
satisfaction scores. In general, water supply and traffic departments fared better, and
sewerage and environment departments fared poorly in service provision. Likewise, the
satisfaction was better in the prime suburbs rather than in island city. The survey also
revealed that bribes were paid for getting some services done and that many citizens
were not aware of corporator’s funds for improvement. Apart from measuring citizen
satisfaction, a complaint audit system was established in all 24 wards. It was first executed
in the year 2000. BMC-PRAJA Online Complaint Management (OCMS), an electronic interface
between citizens and MCGM through internet. These complaints were categorised
according to their nature, ward and departments. Moreover, the redressal of complaints,
both the proportion of complaints redressed and the speeds of redressal, were also
checked through surveys and so do monitoring of general perception about the MCGM.
This system provided the citizens to have an electronic interface to explain the problems
and get them redressed and while doing so to express their satisfaction with the way
they were dealt with and the outcomes. Citizens were also given an opportunity to state
the reasons for delay like corruption.6

39.4 Role of Judiciary and Good Governance7

The concept of governance is as old as human civilization. Good governance signifies
the way an administration improves the standard of living of the members of its society
by creating and making available the basic amenities of life; providing its people security
and the opportunity to better their lot; instil hope in their heart for a promising future;
providing, on an equal and equitable basis, access to opportunities for personal growth;
affording participation and capacity to influence, in the decision-making in public affairs;

6
Executive Summaries of Reports of PRAJA (2005).
7
Relevant extract was taken from Role of Judiciary in good governance By Justice Y.K. Sabharwal, Chief
Justice of India.
Urban Developmental Projects and Environment 779

sustaining a responsive judicial system which dispenses justice on merits in a fair, unbiased
and meaningful manner; and maintaining accountability and honesty in each wing or
functionary of the Government. The “participation” in order to be effective, needs to
be informed and organised and, therefore, depends upon the availability to the subjects
“freedom of association and expression” on one hand and existence of “an organised
civil society” on the other. This necessarily is a pointer to “representative democracy”.

The attribute of “rule of law” in here is a prerequisite to “fair legal frameworks” which
should be enforced impartially and with “full protection of human rights”, especially of
the vulnerable sections of the society. The factor of “transparency” requires that
information is freely available and the decisions are taken or enforced in a manner that
adheres to the rules and regulations. The attribute of “responsiveness” necessitates that
all public institutions and their processes strive “to serve all stakeholders within a
reasonable time frame”.

Democracy, liberty and the rule of law together represent the troika that is universally
accepted now as the index of a civil society. Democracy signifies a government of, by
and for the people. The protection of individual liberties follows the notion of democracy
as a natural corollary. This entails the espousal of a methodical configuration of laws by
which society might be regulated and different conflicting interests can be harmonised
to the fullest extent. This is why “the rule of law” is indispensable. It envisages the pre-
eminence of law as opposed to anarchy or capricious dictates. It involves equal
accountability of all before the law irrespective of high or low status.

Democracy has been evolved through centuries of experience amongst the people, who
care for human person, dignity and rights as the best and most acceptable form of good
governance. It is a concept that occasions the idea that all citizens have a right to
participate in the decision-making processes that lead to adoption of policies that are
applicable to the societies.8 It also means that there are some limits on majority decision-
making and, hence the inevitability of certain basic rights being protected. It rests on
maintaining a necessary equilibrium between the numerous competing interests, demands,
constraints and compulsions that exist in any civic society eager for development. India
was founded as a democratic welfare State which would allow equal opportunity to one
and all, irrespective of caste, creed, colour, sex or any other form of discrimination; a
State where everyone would have equal opportunity for personal growth and for
contributing to the cause of the nation. Democracy has been defined as “a Government
by the people, of the people and for the people”.

The Directive Principles have been used as fundamental principles of governance tempered
by the Fundamental Rights. From time to time, adjustments have been made in the
Fundamental Rights - through legislative measures, executive action or judicial
pronouncements - so as to further the object sought to be achieved by the Directive
Principles. After all, the purpose of the Fundamental Rights on the one hand and the

8
Article 25 of the International Covenant on Civil and Political Rights European Convention on Human Rights;
and Article 23 of the International American Convention on Human Rights.
780 Urban Development and Environment Protection Mechanisms

Directive Principles on the other is common; viz., to provide for an environment that
can ensure dignified growth and development of each individual as a useful human
being. In order to guarantee that the role of law would inure to, and for, everyone and
the promises made by the Constitution would not remain merely on paper, the Constitution
makers made provisions for independence of the judiciary.

The Judiciary in India enjoys a very significant position since it has been made the
guardian and custodian of the Constitution. It not only is a watchdog against violation of
fundamental rights guaranteed under the Constitution and thus, insulates all persons,
Indians and aliens alike, against discrimination, abuse of State power, arbitrariness etc.

Liberty and Equality have well survived and thrived in India due to the pro-active role
played by the Indian judiciary. The rule of law, one of the most significant characteristics
of good governance prevails because India has an independent judiciary that has been
sustained, amongst others, because of support and assistance from an independent bar
which has been fearless in advocating the cause of the underprivileged, the cause of
deprived, the cause of such sections of society as are ignorant or unable to secure their
rights owing to various handicaps, an enlightened public opinion and vibrant media that
keeps all the agencies of the State on their respective toes. One of the most important
principles of just democratic governance is the presence of constitutional limits on the
extent of government power. Such limits include periodic elections, guarantees of civil
rights, and an independent judiciary, which allows citizens to seek protection of their
rights and redress against government actions. These limits help make branches of
government accountable to each other and to the people. An independent judiciary is
important for preserving the rule of law and is, therefore, the most important facet of
good governance. The judicial system has an important role to play ultimately in ensuring
better public governance. There may be a plethora of regulations, rules and procedures
but when disputes arise, they have to be settled in a court of law. There is no area where
the judgments of Supreme Court have not played a significant contribution in the
governance, good governance - whether it be - environment, human rights, gender
justice, education, minorities, police reforms, elections and limits on constituent powers
of Parliament to amend the Constitution. This is only illustrative. Indian Judiciary has
been pro-active and has scrupulously and overzealously guarded the rights fundamental
for human existence.

The scope of right to life has been enlarged so as to read within its compass the right to
live with dignity, right to healthy environment, right to humane conditions of work,
right to education, right to shelter and social security, right to know, right to adequate
nutrition and clothing and so on. This has been achieved by filling the vacuum in municipal
law by applying, wherever necessary, International instruments governing human rights.
The Supreme Court has, over the years, elaborated the scope of fundamental rights
consistently, strenuously opposing intrusions into them by agents of the State, thereby
upholding the rights and dignity of individual, in the true spirit of good governance. In
case after case, the Court has issued a range of commands for law enforcement, dealing
with an array of aspects of executive action in general, and of police at the cutting edge
Urban Developmental Projects and Environment 781

level in particular. Democratic form of Government of the kind adopted by India depends
on its success of a system of free and fair elections regulated, monitored and controlled
by an independent agency.

39.5 Sustainable Development

While many factors play an important role in development, good governance is now
recognised as playing an essential role in the advancement of sustainable development.
Good governance promotes accountability, transparency, efficiency, and rule of law in
public institutions at all levels. In addition, it allows for sound and efficient management
of human, natural, economic and financial resources for equitable and sustainable
development. Moreover, under good governance, there are clear decision-making
procedures at the level of public authorities, civil society participation in decision-
making processes, and the ability to enforce rights and obligations through legal
mechanisms.

These aspects of good governance do not in themselves ensure that society is run well
nor do they guarantee sustainable development. However, their absence severely limits
that possibility and can, at worst, impede it. Without proper functioning institutions of
governance based on the rule of law that promote social stability and legal certainty,
there cannot be investment and assumption of risk that form the basis of market economy
development, let alone sustainable development.

Indeed, the strength of the rule of law is the best predictor of a country’s economic
success.

Furthermore, deficiency in the rule of law encourages high rates of corruption, with
further devastating consequences on the confidence of economic actors. This lack of
investment, in turn, slows economic growth and consequently deprives the governments
of resources to invest in education, social safety nets, and sound environmental
management, all of which are critical for sustainable development. Introduction of good
governance and rule of law, however, cannot be done overnight. The process is often a
gradual one, involving changes to long-standing practices, entrenched interests, cultural
habits, and social and even religious norms. A significant step was taken in this endeavour
in 1998 when countries adopted the Convention on Access to Information,

Public Participation in Decision-making and Access to Justice in Environmental Matters.

The Convention recognises that sustainable development can only be achieved through
the involvement of all stakeholders and seeks to promote greater transparency and
accountability among government bodies by guarantying three pillars for the public
1) The rights of citizen access to information.
2) Citizen participation in decision-making.
3) Citizen access to justice in environmental matters.
In other words, the Convention guarantees freedom of access to information on the
782 Urban Development and Environment Protection Mechanisms

environment, gives citizens a right to participate in environmental decision-making,

and provides for recourse to judicial and administrative remedies when these rights are
denied by state authorities.9

39.6 Concluding Remark

The phenomena of urbanisation, globalisation and liberalisation are increasing pressure
on service delivery in the cities of developing countries that are engulfed by a vast
number of problems. Unfortunately, most of the cities are ill- equipped to tackle the
problems and pressures because either they gave inadequate thought about the trajectories
of city growth or because they did not plan and allocate resources to do it; even otherwise,
there are inefficiencies built-in through traditional designs of institutions of service
delivery made on political and bureaucratic forces.
This is leading to government failures in service delivery, which can be addressed by
institutional innovations under partnership mode (apart from governance reforms) to
steer urban governance in the right direction. However, policy reforms are also needed
so that the right kinds of incentives prevail for nurturing new institutions.
The institutional innovations in Bangalore and Mumbai presented above show the way for
other cities on what kind of role can be played and how partnerships between public,
private and civil society sectors can be forged. The success of these institutions lies in
(a) undertaking initiatives to improve city governance and ensuring service delivery (b)
bringing together the stakeholders under one platform to work towards a common vision
(c) discussing public policies and reporting citizen opinion on service providers
functioning. These are perhaps worth emulating in other cities as well, but they need to
be well structured and target oriented to be effective.
Here, it may be observed that while institutional innovations in Bangalore were impacting
city governance strong and fast in Bangalore, their impact in the case of Mumbai has
been somewhat weak and slow. Much has to be seen on the long-term sustainability of
these innovations.10

39.7 References and Recommended Readings

BATF (2004), Bangalore Agenda Task Force (BATF).
Bombay First -McKinsey (2003), Vision Mumbai Transforming Mumbai into a World Class
City, Report submitted to the Government of Maharashtra, Mumbai.
Developing Countries’, Technical Paper No. 254, The World Bank, Washington DC. Role
of Judiciary in good governance Justice Y.K. Sabharwal, Chief Justice of India
Rule of law, good governance, and sustainable development Morita, Sachiko and Zaelke,
Durwood, Washington, DC 2007.

9
Rule of law, good governance, and sustainable development Morita, Sachiko and Zaelke, Durwood,
Washington, DC 20007
10
Urban India Vol XXV, No. 2 (2005)
Urban Developmental Projects and Environment 783

UNIT 40
DECENTRALISATION:
EMPOWERMENT OF LOCAL PEOPLE
Contents
40.1 Introduction 783
40.2 Concept of Urban Development 784
40.3 Need of Urban Development 784
40.4 Strategies to Deal with Urban Planning 787
40.5 Concept of Empowerment of Local People 787
40.6 Concept of Decentralisation 788
40.7 Relationship between Decentralisation and Empowerment 790
40.8 Some Observations 793
40.9 Conclusion 794
40.10 References and Recommended Readings 794

40.1 Introduction
Urban development (urban, city and town planning) refers to a technical and political
process concerned with the control of the use of land and design of the urban environment,
including transportation networks, to guide and ensure the orderly development of
settlements and communities. It is concerned with research and analysis, strategic thinking,
urban design, public consultation, policy recommendations, implementation and
management.1 One of the main requirements of having urban planning is the rapid growth
of urbanisation. Urban planning can be seen in earliest civilisations, such as Harappa,
Lothal, Dholavira, and Mohenjo-daro in the Indus Valley Civilisation. It has undergone
manifold changes since. These changes have been discussed in detail in this unit. It is
suggested that both the centre and regional governments shall work in unison to bring
about proper development in any city. But, at the same time, it is also important that
the Urban Local Bodies (ULB) are sufficiently empowered so that they could take certain
decisions requisite for the development of cities by themselves without any subsequent
delay and ensure the citizens transparency, certainty and accountability. For this purpose,

1
Taylor, Nigel, Urban Planning Theory since 1945, London, Sage, 2007.
784 Urban Development and Environment Protection Mechanisms

decentralisation of powers of centre has been focused on. This unit, in other words,
discusses the need for decentralising and empowering the local bodies along with the
present practices.

40.2 Concept of Urban Development

A plan dealing with urban development can take a variety of forms including strategic
plans, comprehensive plans, neighbourhood plans, regulatory and incentive strategies,
or historic preservation plans. The modern origins of urban planning lie in the movement
for urban reform that arose as a reaction against the disorder of the industrial city in the
mid- 19th century. Urban planning can also include urban renewal, by adapting urban
planning methods to existing cities suffering from decline. In the late-20th century, the
term sustainable development represented an ideal outcome in the sum of all planning
goals.
One of the main requirements of having urban planning is the rapid growth of urbanisation.
That is the requirement of settlement of population which migrates from rural to urban
areas thereby leading to uncontrolled growth of the city. For instance, the state of
Himachal Pradesh which is predominantly a hilly region, due to the development of a
network of various infrastructures, the Urban areas in the State are now fast growing. As
per 2011 census, the population of Himachal Pradesh is 68.65 lacs out of which 89.97%
are living in rural regions and remaining 10.03% are living in urban regions. During the last
decade, the urban population increased by 10.03% and this upward trend is likely to
continue in the future which would further lead to more and more areas coming under
the definition of towns. This in turn brings out new challenges in the administration of
Local Self Government. In order to meet out these challenges of urbanisation, the
Directorate of Urban Development is a step forward towards efficient urban administration
in a phased and coordinated manner.2
This directorate was formulated keeping in mind the objectives of the Planning Commission
that further dealt with development plans and their integration with the state plans for
preparation of a city which would not be fulfilled unless a small cell is created in each
state taking up these problems and for guiding the local bodies in the preparation of
their schemes and plans. It was resolved that while the state Government should meet
the full cost of setting-up of the Directorate of Urban Local Bodies, the expenditure
connected with the setting-up of a city development Plan cell in these Directorates
should be met from a 100% grant from the centre. Such a grant was attributed to be
conditional on the setting- up of a Directorate of Urban Local Bodies.

40.3 Need of Urban Development

The concept of planning of cities can be traced back to the earliest civilisations. The
distinct features of urban planning can be deciphered from the remains of the cities of
2
Directorate of urban development, cited from <http // hpurbandevelopment.nic.in>
3
Davreu, Robert (1978), Cities of Mystery The Lost Empire of the Indus Valley, The World’s Last Mysteries.
2nd ed, Sydney pp. 121-129.
Community Development 785

Harappa, Lothal and Mohenjo-daro in the Indus Valley Civilisation (in modern- day north
western India and Pakistan). They have been considered by the archaeologists as the
earliest examples of deliberately planned and managed cities. The streets of many of
these early cities were paved and laid out at right angles in a grid pattern, with a
hierarchy of streets from major boulevards to residential alleys. Archaeological evidences
suggest that many Harappan houses were laid out to protect from noise and enhance
residential privacy. It was also noted that many houses had their own water wells,
probably for both sanitary and ritual purposes. These ancient cities were unique in that
they often had drainage systems, seemingly tied to a well-developed ideal of urban
sanitation.3Another similar observation can be made by referring to Greek Hippodamus
(c. 407 BC) who in one sense has been dubbed as the “Father of City Planning” for his
design of Miletus. He was commissioned by Alexander to lay out a new city of Alexandria,
which can be designated as the grandest example of idealised urban planning of the
ancient Mediterranean world, where the city’s regularity was facilitated by its level site
near a mouth of the Nile. The Hippodamian, or grid plan, was the basis for subsequent
Greek and Roman cities.4

These setups underwent a lot of change over the centuries owing to the growing population
and the subsequent needs of people. It was then observed that the cities then started
spreading randomly without any set pattern thus leading to congestion, disorder and
mismanagement. To curtail this problem, modern methods came into being in the 1920s.
In the 1920s, the ideas of modernism began to surface in urban planning. Based on the
ideas of Le Corbusier and using new skyscraper-building techniques, the modernist city
stood for the elimination of disorder, congestion and the small scale, replacing them
with pre-planned and widely spaced freeways and tower blocks set within gardens.
There were plans for large-scale rebuilding of cities in this era, for instances the Plan
Voisin (based on Le Corbusier’s Ville Contemporaine), which proposed clearing and
rebuilding most of central Paris. But no such substantial measures could be taken owing to
the world wars that took place subsequently.5

But this modernist approach underwent another change in the 1960s and 1970s wherein it
was felt that modernism’s clean lines and lack of human scale sapped vitality from the
community, blaming them for high crime rates and social problems. Modernist planning
fell into decline in the 1970s when the construction of cheap, uniform tower blocks
ended in most countries, such as Britain and France. Since then, many have been
demolished and replaced by other housing types. In the post-modernist era, rather than
attempting to eliminate all disorder, planning basically concentrated on individualism and
diversity in society and the economy. Also, there are emphases these days to have
sustainable development in relation to urban development, i.e. planning residential
and other facilities along with minimal destruction of environment.6

4
Jackson, Kenneth (1985). Crabgrass Frontier The Suburbanization of the United States, Oxford University
Press, pp. 73-76.
5
Hall, Peter et al., Sociable Cities; the legacy of Ebeneezer Howard, John Wiley & Sons, New York, 1998.
6
Smith Morris et al. British Town Planning and Urban Design, Longman, Singapore, 1997.
786 Urban Development and Environment Protection Mechanisms

The necessity of planning came up due to certain factors such as:

♦ Safety and Security: Safety and security have been the major concern of all places
at all times. Structures were so constructed so that they could provide maximum
security. This can be explained as that old world era settlements were located on
higher ground (for defence) and close to fresh water sources. But owing to rapid
population growth cities have often grown onto coastal and flood plains at risk of
floods and storm surges. For example, when Kosi floods took place it was believed
that the loss to life and property would have been less if people would have spread
around that area. Although the river hadn’t come that way for many years, such
areas are always susceptible to floods. It is suggested that urban planners must
consider these threats. If the dangers can be localised then the affected regions can
be made into parkland or green belt, often with the added benefit of open space
provision.
Extreme weather, flood, or other emergencies can often be greatly mitigated with
secure emergency evacuation routes and emergency operations centres. Many cities
will also have planned, built safety features, such as levees, retaining walls, and
shelters. It is also to be noted that in recent years, practitioners have also been
expected to maximize the accessibility of an area to people with different abilities,
practicing the notion of “inclusive design”, to anticipate criminal behaviour and
consequently to “design-out crime” and to consider “traffic calming” or
“pedestrianisation” as ways of making urban life more pleasant.
♦ Slums: The rapid urbanisation of the last century caused more slums in the major
cities of the world, particularly in developing countries. The main cause of slums is
rural to urban migration. It is also to be seen that living conditions in slums are
deplorable owing to bad sanitation and hygiene facilities. Planning resources and
strategies are needed to address the problems of slum development. Many planners
are calling for slum improvement.
♦ Decay: Urban decay is a process by which a city, or a part of a city, falls into a
state of disrepair and neglect. It is characterised by depopulation, economic
restructuring, property abandonment, high unemployment, fragmented families,
political disenfranchisement, crime and desolate urban landscapes.
During the 1970s and 1980s, urban decay was often associated with central areas of
cities in North America and Europe. During this time, changes in global economies,
demographics, transportation and policies fostered urban decay.
♦ Reconstruction and removal: Areas devastated by war or invasion challenge urban
planners. Resources are scarce. The existing population has needs. Buildings, roads,
services and basic infrastructure like power, water and sewerage are often damaged,
but with salvageable parts. Historic, religious or social centres also need to be
preserved and re-integrated into the new city plan. A prime example of this is the
capital city of Kabul, Afghanistan, which, after decades of civil war and occupation,
has regions of rubble and desolation. Despite this, the indigenous population continues
Community Development 787

to live in the area, constructing makeshift homes and shops out of salvaged materials.
Any reconstruction plan, such as Hisham Ashkouri’s City of Light Development,
needs to be sensitive to the needs of this community and its existing culture and
businesses. Urban Reconstruction Development plans must also work with government
agencies as well as private interests to develop workable designs.
♦ Suburbanisation: In some countries, declining satisfaction with the urban environment
is held to blame for continuing migration to smaller towns and rural areas (so-called
urban exodus). Successful urban planning supported by regional planning can bring
benefits to a much larger hinterland or city region and help to reduce both congestion
along transport routes and the wastage of energy implied by excessive commuting.
Although these are certain factors, they are not exhaustive. In our country, owing to
the fact that it is a welfare state, it is imperative on part of the state that basic
needs of the people are addressed to. Urbanisation is a phenomenal concept that
has affected many areas in India far and wide. In order that people in urban areas
have an inimitable lifestyle, it is important that planning shall be done. Random
planning strategies are warehouses of many conventional and unconventional problems
discussed above.

40.4 Strategies to Deal with Urban Planning

One of the strategies in the procedure of urban planning is decentralisation i.e. the local
bodies are empowered to deal in the developmental process. The main aim of this
process is to solve the problem of delay that generally occurs in case the policies are
centralised. Not only that, but the bodies that are active at regional level are more
aware of the needs and requirements of the people of that particular area.

40.5 Concept of Empowerment of Local People

Local empowerment can be defined as an outcome of effective community engagement.
It’s about “...shifting power, influence and responsibility away from existing centres of
power and into the hands of communities and individual citizens.” In other words, it
would imply shifting of powers from the centre to state and further to the local
governments. This concept requires the involvement of local communities in policy
building and further in developments that occur at local level. This concept comes into
being owing to the federal structure of the country concerned. In the literal sense,
empowerment refers to investing with power, especially legal power or official authority
or to equip or supply with ability; enable. In this sense, it implies that certain functions
that are beneficial for society at large are supposed to be done by the authorities that
are in immediate connection with them. For instance, policy makers at the centre may
not be well versed with the conditions of local population and their needs.7

7
Chamberlin,Judi, A Working Definition of Empowerment, cited from <http //www.power2uh.org/ articles/
empower/workin_def.html.>
788 Urban Development and Environment Protection Mechanisms

The main purpose of empowering local government is that it is considered to be the best
form of government largely because of its closet interface with the local citizenry.
Having a forum at a local level enables the local communities to deliberate on the nature
of local problems and devise appropriate solutions that are in conformity with obtaining
local situations. Its close location with the local communities makes it highly
communitarian; local government is in fact a government by the local communities, for
the local communities and of the local communities. Being located nearest to the local
communities also makes the local government units subject to intense gauze of the civil
society. This goes a long way in enhancing government accountability.8 This concept of
empowering the local bodies with certain functions that are required for the development
of the area in question is called decentralisation.

40.6 Concept of Decentralisation

In the literal sense, decentralisation is the policy of delegating the decision-making
authority down to the lower levels in an organisation, relatively away from and lower in
a central authority. A decentralised organisation shows fewer tiers in the organisational
structure, wider span of control, and a bottom-to-top flow of decision-making and flow
of ideas.9

In a centralised organisation, the decisions are made by top executives or on the basis of
pre-set policies. These decisions or policies are then enforced through several tiers of
the organisation.10

It is conceived that with reference to the level of decentralisation in an organisation,

the top executives delegate much of their decision-making authority to lower tiers of
the organisational structure. As a consequence of this co-relation, the organisation is
likely to run on less rigid policies and wider spans of control among each officer of the
organisation. Under the concept of political decentralisation, decentralisation can be
referred to both as process and state. Wherein reference is made to tiers of the
government it would be termed as structural decentralisation. The more the tiers are,
the more would be the decentralisation. For instance, Singapore, in which no local
government exists separate from the national government, is maximally centralised in
this conception. China, which has four tiers of government below the national government-
provinces; prefectures; counties and county-level cities; townships, villages, and city
districts-is far more decentralised. Under the second concept of decentralisation, wherein
the subordinate governments can decide autonomously that is, without fear of being
overruled by higher tier of governments, it would be termed as decision decentralisation.
A country whose constitution reserves a large subset of policymaking areas to the sub-
national governments is more decentralised than one in which final decisions on all
8
Jha Gangadhar and Nimish Jha, Urban Local Government in India Imperatives in Good Municipal Governance,
cited from <http //www.ipeglobal.com/reports/good%20 governance.pdf>
9
Decentralisation, cited from <http // www.yourdictionary.com>.
10
Treisman, Daniel, Decentralization and Quality of Government, cited from <http // www.imf.org/ external/
pubs/ft/seminar/2000/fiscal/treisman.pdf>
Community Development 789

matters are the central government’s preserve. The third concept of decentralisation
refers to the devolution of government resources (revenues, manpower) between central
and sub- national tiers. This is termed as resource decentralisation. Electoral
decentralisation refers to the method by which sub- national officials are selected. If
sub- national officials are chosen locally (by election or appointment by local communities),
the system is more decentralised in this sense than if all local officials are appointed by
the central authorities. Finally, institutional decentralisation is a kind of decentralisation
that is concerned with the degree to which sub- national communities or their
representatives would have formal rights within the procedures of central decision making.
For instance, a system in which state legislatures must ratify constitutional amendments
is more decentralised in this sense than one in which the constitution can be changed by
just a national referendum. Countries in which states have significant veto powers over
central legislation via their representatives are also more “institutionally decentralised”.11

In an era of globalisation, decentralisation is the principal countervailing trend which can

ensure that the growth process is pro-poor, pro-women, pro-nature and pro-jobs.
Considering the modern times, as market integration and technological innovation rendered
the national frontiers more permeable, it has now become crucial to put in place and
strengthen systems of negotiation, regulation and decentralised governance. These in
turn ensure that the voices and concerns of the poorest of the poor are heard.12
In the Indian context, economic reforms and Panchayati Raj have been the two major
policy imperatives since the early 1990s. Direct local democracy has been mandated
constitutionally through the 73rd and 74th Amendments. The principle of ‘Cooperative
Federalism’ i.e. decentralised implementation based upon harmonious understanding
between the three tiers of governance - Centre, State and local - is the basic premise of
India’s Ninth Five Year Plan. One such example of the government’s decentralised policies
can be deciphered from the Eleventh Finance Commission’s recommendations on
strengthening panchayat and municipal finances by including local bodies under the ambit
of tax-base widening initiatives through better exploitation of land-based taxes, better
administration of property taxes and other taxes, in the direction to catalyse greater
fiscal devolution. It was envisaged that this transfer needs to be governed by the vision
of empowering people and reflected in complementary measures, which build poor
people’s partnerships in the decisions taken by panchayats and municipal bodies, so that
fiscal clout contributes to people’s power.13
The municipal bodies were actually formulated to ease out the governance of the central
government and to bring out more certainty, transparency and accountability in the
government sector. This system of active local governance was prominent during the
British era but suffered downfall after India achieved independence mainly due to (i)
undefined role; (ii) erosion in municipal functional domain; (iii) inadequate resource
base;
11 id
12 Decentralisation in India Challenges and Opportunities, cited from <http // www. data.undp.org.in/ hdrc/
dis-srs/Challenges/DecentralisationCO.pdf>.
13 id
790 Urban Development and Environment Protection Mechanisms

(iv) weak executive system; and (v) pervasive state control. These led to considerable
weakening of the urban local government institutions.14 But the change took place with
the 74th amendment which brought in the idea of decentralisation and empowerment of
local bodies.

40.7 Relationship between Decentralisation and Empowerment

In 2001, about 286 million persons were living in the urban areas of India and it was the
second largest urban population in the world. The 74th Constitution Amendment Act
(CAA) came into force in June, 1993 which sought to improve and strengthen urban
governance and management of services. The urban population is expected to rise to
around 38 per cent by 2026. India has to improve its urban areas to achieve objectives
of economic development. Huge investment is required in India’s urban sector. Since
public funds for these services are inadequate, Urban Local Bodies (ULBs) have to look
for innovative approaches for financing and management of urban services. However,
most critical factors for introducing these innovations are a healthy municipal revenue
base and good urban governance. The problem with Indian decentralisation can be
observed at the implementation stage. For instance, Provisions relating to creation and
composition of the Wards Committees, putting in place a planning process driven by
political process under the aegis of District Planning Committees (DPCs) and Metropolitan
Planning Committees (MPCs), and devolving of the functions mentioned in the XII Schedule
have not yet effectuated. It needs to be mentioned that while barring the provisions
relating to XII Schedule, other provisions in the CAA are mandatory provisions. Yet, even
after sixteen years of enactment of the CAA, even the mandatory functions of the Indian
Constitution are not yet implemented. Though DPCs and MPCs have been created in
some of the states, the planning process conceived in the Constitution has not yet
actualised.15

In response to urban problems, the Government of India launched a reform-linked urban

infrastructure investment project, Jawaharlal Nehru National Urban Renewal Mission
(JNNURM). The Bill provides for the creation of additional tiers of local government
besides the Town Hall and the Wards Committees. The additional tiers suggested are (i)
Ward Committee to be created in each electoral Ward, and (ii) Area Sabhas to be
created at the level of Polling Stations within each local government jurisdiction. Along
with this, certain other policy measures have also been taken by the government such as
The Swarna Jayanti Shahari Rozgar Yojana (SJSRY) that was launched on 01.12.1997 after
subsuming the earlier three schemes for urban poverty alleviation, namely Nehru Rozgar
Yojana (NRY), Urban Basic Services for the Poor (UBSP), and Prime Minister’s Integrated
Urban Poverty Eradication Programme (PMIUPEP). The key objective of the Scheme was
to provide gainful employment to the urban unemployed or underemployed through the
setting up of self-employment ventures or provision of wage employment. It was observed
that there were certain difficulties faced by the States/UTs in the implementation of the

14
Supra note at 2.
15
id
Community Development 791

scheme and also the scheme was said to have some drawbacks, owing to which, the
Guidelines of the Scheme have been revised. It is presumed that the revised guidelines
will assist in the effective implementation of SJSRY and make a dent on the urban
poverty scenario in the country. The Revised Guidelines came into effect from 1.4.2009.16
The main purpose of decentralisation in India is to bring about transparency in the
administrative system. For this purpose, empowerment of local authorities is emphasised
upon.17

One such instance can be deciphered from the city of Nanded in Maharashtra. The
Municipal Corporation of this city has helped in the development of this city as an
important centre of trade and commerce. The main focus is that by empowering the
local urban body as one of the decentralisation measures a city is transformed into one of
the strategic centre of trade relates activities.18

Historically, Nanded was known for its presence in the Textiles manufacturing sector due
to the presence of Osmaan Shahi Textile Mills (Now known as Nanded Textile Mills
Corporation), Cotton Research Centre and Textile Corporation of Nanded. During the
1980s, Nanded Textile Mills used to provide employment to around 10,000 people. However,
the closure of these entities affected the growth of industrial activities in the city /
region.

16
Swarna Jayanti Rozgar Yojna, cited from <http //www.nagarnigamdehradun.com/acts/final/SJSRY- pdf>
17
Vadiya,Chetan, cited from <http // finmin.nic.in/WorkingPaper/Urbanissues_reforms.pdf>
18
Nanded Waghla City Municipal Corporation, cited from <http // http //nwmcnanded.org/
CityAssessment.htm>
792 Urban Development and Environment Protection Mechanisms

The municipal corporation of this area played a significant role in the development of
this city. Some of the achievements so done can be traced as:

Narrow roads ( From 4 m to 18 m) with improper carriageway, footpath and unlined

drainage has been improved to roads widen to full ROW as per DP width (Min. ROW 12
m, Max. 30 m), separate lanes and wide footpath (Min.1.8 m) have been constructed.
Proper drains and street lights have been made. Traffic signals at all major junctions,
beautiful road junctions and islands, bus bays for city buses on bus route roads, proper
and energy efficient street lights and tree plantation places on both sides of the road are
a significant feature of the roads so constructed in Nanded.

There was a problem of waterlogging in rainy seasons resulting in total traffic block. Due
to a height restriction, restriction of movement of various types of vehicles was there.
Due to limited crossing, growth was limited to north Nanded. This scenario changed
with four- lane roads as well as well the construction of a four- Lane Bridge which made
movement easier.
Community Development 793

Similar achievement was seen in handling sewage and water supply.

This is one of the examples wherein the local body took initiative to develop a city. The
strategy of decentralisation was an imperative else there would have been a large number
of delays in case the decision making was limited to the central authorities.

40.8 Some Observations

It is observed that Indian Governance is growing strong on paths of decentralisation but
the 74th amendment so done for the empowerment of local bodies so done requires
proper implementation of the policies so brought forth by this amendment act. But at
the same time, certain flaws have to be looked into such as the composition of the ward
committees. Although the number of members to be nominated or elected are specified,
the requisite qualifications that shall be required by these members are not mentioned.
It is thus suggested that people aware of the regional configurations of a particular place
along with the professionals such as engineers, lawyers etc. with full coordination of
social groups should be included in the membership of the ward committees. Another
flaw in the CAA relates to the municipal executive system (political decentralisation)
and the tax authority of ULBs (fiscal decentralisation). This could be achieved by forcing
the State Finance Commission’s to do their desired roles of in rationalising the transfer
794 Urban Development and Environment Protection Mechanisms

system for the local government. It is also required that the state finance commissions
and the Central Finance Commission work in unison when the question of developmental
fund allocation is there in question.

40.9 Conclusion
The institutions of urban local self-government need to be strengthened and empowered.
Their institutional capacity needs to be strengthened especially due to their strong
economic role in enhancing the national economic growth and for improving the quality
of life in urban settlements. Cities have to be developed as they are the engines of
economic growth which has further accentuated due to globalisation due to which
financial flow has crossed the international boundaries. They also have the maximum
share in the total GDP of the nation. Direct investment both foreign and domestic is
contingent upon quality urban infrastructure and urban services in the cities and towns.
ULBs have to play a pivotal role in this regard by replacing good governance, which in
relation to a city implies the exercise of power to manage a city’s economic and social
development. In order for the process of governance to be called good governance, it
must be informed by a set of criteria. It has to be (i) participatory, (ii) consensus oriented,
(iii) accountable, (iv) transparent, (v) responsive, (vi) effective and efficient, (vii)
equitable (viii) inclusive, and should follow the (ix) rule of law. Good governance assures
that corruption is minimised, the views of minorities are taken into account and that the
voices of impoverished sections of society are heard.

40.10 References and Recommended Readings

Capacity Building Scheme for Urban Local Bodies, Ministry of Urban Development.
Decentralization in India Challenges and Opportunities, cited from <http // www.
data.undp.org.in/hdrc/dis-srs/Challenges/DecentralisationCO.pdf>
Furniss, Norman (2009). “The Practical Significance of Decentralization”. The Journal of
Politics 36 (04) 958.
Schakel, Arjan H. (2008), ‘Validation of the Regional Authority Index’, Regional and Federal
Studies, Routeledge, Vol. 18 (2).
Sharma, Chanchal kumar. 2005a ‘When Does decentralization deliver? The Dilemma of
Design’, South Asian Journal of Socio-Political Studies6(1) 38-45.
Sharma, Chanchal Kumar.2005b. ‘The Federal Approach to Fiscal Decentralization
Conceptual Contours for Policy Makers’, Loyola Journal of Social Sciences, XIX(2) 169-88
(Listed International Bibliography of Social Sciences, London School of Economics and
Political Science).
Sharma, Chanchal Kumar (2006), ‘Decentralization Dilemma Measuring the Degree
and Evaluating the Outcomes, The Indian Journal of Political Science, Vol.67, No.1,
pp.49- 64.
Community Development 795

Treisman,Daniel, Decentralization and Quality of Government , cited from <http //

www.imf.org/external/pubs/ft/seminar/2000/fiscal/treisman.pdf>
Urban Local Government in India Imperatives for Good Municipal Governance, Report
published by Infrastructure Professionals Enterprise Pvt. Ltd. (IPE), India.
Vadiya,Chetan, cited from <http // finmin.nic.in/WorkingPaper/Urbanissues_reforms.pdf>
796 Urban Development and Environment Protection Mechanisms

UNIT 41
CHALLENGES AND INITIATIVES IN
COMMUNITY DEVELOPMENT
Contents
41.1 Introduction 796
41.2 Community Development 797
41.3 Community Development Challenges 798
41.4 Community Development Initiatives 798
41.5 Recent Initiatives 801
41.6 Community Participation Law 802
41.7 A Few Case Studies 803
41.8 Conclusion 805
41.9 References and Suggested Readings 805

41.1 Introduction
Community development combines the idea of “community” with “development”.
“Development” is a process that increases choices. Putting the two terms together,
community development - means that a community itself engages in a process aimed at
improving the social, economic and environmental situation of the community. The
community is both the means and the end of community development. The community
itself takes action and participates together. Community development can be both an
occupation (such as a community development worker in a local authority) and a way of
working with communities. Community development practitioners work alongside people
in communities to help build relationships with key people and organisations and to
identify common concerns. The process of community development not only involves
challenges but initiatives to deal with such challenges also. In this paper, both the
challenges and the initiatives have been addressed with special reference to Indian
concept. It is emphasized that the resources of the voluntary non-governmental
organisations should be fully utilised in community development programmes at the local,
national and international level. In India, the thought of community development was
developed as early as 1952 with the First Five Year Plan itself, from there on efforts have
been made to further develop community participation. This can be deciphered from
Community Development 797

the 73rd and the 74th amendment acts. This paper also talks about community participation
law which can be addressed as the most positive initiative in this regard. To understand
the collaboration between various government agencies and other non-governmental
and private agencies certain case studies have also been referred to.

41.2 Community Development

Community development combines the idea of “community” with “development”. The
concept of community basically entails - a group of people with a shared identity. Hence,
community development relies on interaction between people and joint action, rather
than individual activity - what some sociologists call “collective agency”.

“Development” is a process that increases choices. It means new options, diversification,

thinking about apparent issues differently and anticipating change. Development involves
change, improvement and vitality - a directed attempt to improve participation,
flexibility, equity, attitudes, the function of institutions and the quality of life. It is the
creation of wealth - wealth meaning the things people value, not just money.

Putting the two terms together, community development - means that a community
itself engages in a process aimed at improving the social, economic and environmental
situation of the community. The community is both the means and the end of community
development. The community itself takes action and participates together. It is through
this action that the community becomes more vital, not just economically but as a strong
functioning community in itself.

Community development improves the ability of communities to collectively make better

decisions about the use of resources such as infrastructure, labour and knowledge.1

“Community Development is a long-term value based process which aims to address

imbalances in power and bring about change founded on social justice, equality and
inclusion.’2
Community development can be both an occupation (such as a community development
worker in a local authority) and a way of working with communities. Its key purpose is to
build communities based on justice, equality and mutual respect.
Community development involves changing the relationships between ordinary people
and people in positions of power, so that everyone can take part in the issues that affect
their lives. It starts from the principle that within any community there is a wealth of
knowledge and experience which, if used in creative ways, can be channelled into
collective action to achieve the communities’ desired goals.
Community development practitioners work alongside people in communities to help
build relationships with key people and organisations and to identify common concerns.
1
Cavaye, Jim, Understanding Community development, Paper of University of Queensland, 2006.
2
Defining community development, cited from <http //www.cdx.org.uk/community-development/ defining-
community-development>
798 Urban Development and Environment Protection Mechanisms

They create opportunities for the community to learn new skills and, by enabling people
to act together, community development practitioners help to foster social inclusion
and equality.3

41.3 Community Development Challenges

The Community Development Challenge assesses strengths and weaknesses in the current
position of the community development occupation and proposes a range of actions to
ensure that it plays a more powerful role in meeting the needs of present-day society.
The issues addressed by it include
♦ The approach so followed via means of community development that cannot be
achieved by any other occupation.
♦ The benefits of this approach and its reasons for being less known to the general
public.
♦ The obstacles that constrain it from being effective.
♦ Activities that shall be done to enable the community development occupation to
play a more powerful role in achieving the participative society as envisaged.4

41.4 Community Development Initiatives

A successful approach of community development is said to entail the following elements
such as:
♦ Activities undertaken must correspond to the basic needs of the community. The
first projects should be initiated in response to the expressed needs of people.
♦ There should be concerted action and the establishment of a multi-purpose
programme.
♦ Change in the attitudes of the people is as important as the material achievement
through Community Development during the initial stages of development.
♦ Community Development aims at increased and better participation of the people
in community affairs, revitalisation of existing forms of local government and transition
towards effective local administration where it is not yet functioning.
♦ The identification, encouragement and training of local leadership should be a basic
objective in any programme.
♦ Greater reliance on the participation of women and youth in community projects
invigorates development programmes, establishes them on a wide bases and success
long-range expansion.

3
What is community development?, cited from <http //www.cdx.org.uk/community-development/ what-
community-development>
4
The Community Development Challenge, cited from http //www.communities.gov.uk/publications/
communities/community development
Community Development 799

♦ To be fully effective, community self-help projects require both internal and external
assistance from the government.
♦ Implementation of a Community Development Programme on a national scale
requires the adoption of consistent policies, specific administrative arrangement,
recruitment and training of personnel, mobilisation of local and national resources
and organisation of research, experimentation and evaluation.
♦ The resources of the voluntary non-governmental organisation should be fully utilised
in community development programmes at the local, national and international level.
♦ Economic and social progress at the local level necessitates parallel development on
a wider national level.5

Keeping in mind these elements, measures have been taken by the Indian Government in
response to community development. It is to be noted that these development measures
have been carried out both in urban as well as the rural areas also. These substantial
initiatives can be deciphered from the provisions so mentioned in 73rd as well as 74th
amendments that actually empower the Panchayati Raj Institutions at rural level and
Municipal Corporations at urban levels respectively.6 It has also been observed that over
the years these institutions have arrayed a significant role in the development of the
cities or villages which are authorised to them. For instance, the Municipal Corporation
of Surat in Gujarat is attributed to the development of that area which is in shambles
after the earthquake.

The initiatives taken by the Government in this regard can be termed as the community
development initiatives. These can be deciphered as community development initiatives
as these institutions work at local level or it can be said at ground level thereby addressing
the needs of the people of the areas concerned.

In India, the thought of community development was developed as early as 1952 with
the First Five Year Plan itself. The ultimate goal as enunciated was to initiate people’s
programme with people’s participation.

Efforts at outlining decentralised planning of development commenced with the First

Five Year Plan (1951-56), which recognised the need to break up the planning exercise
into National, State, District and Local Community levels, but did not spell out how this
was to be operationalised. Two new elements for the planning process were introduced
in the Second Five Year Plan, namely, the establishment of the District Development
Council and the drawing up of village plans and peoples’ participation in planning through
democratic decentralisation. However, the attempt at decentralisation of planning did
not succeed as a proper enabling framework was not devised, both for planning and for
the integration of development activities at the micro- level.7
5
Yadav, Kiran, Community Development Programme, Agropedia, June 2010.
6
Bakshi,P.M, Constitution of India, 7th ed, Universal Law Publishing Co., 2006.
7
Planning At the Grassroots level, An Action Programme for the Eleventh Five Year Plan, March 2006, New
Delhi.
800 Urban Development and Environment Protection Mechanisms

Certain recommendations were made by the Administrative Reforms Commission, in its

Report of 1967 that highlighted that district planning needed to be focused in those areas
where local variations in the pattern and process of development were likely to yield
quick results in terms of growth. It was emphasized that district authorities should be
given a clear indication of the resources that would be made available so as to enable
them to prepare purposeful plans at their level.

In 1969, the Planning Commission communicated guidelines to the States for formulating
district plans detailing the concept and methodology of drawing up such plans within the
framework of annual, medium- term and perspective plans.

The guidelines on district planning led to several States formulating district plans during
the Fifth Five Year Plan. In order to assist the states in promulgating these guidelines, in
other words, strengthening them at the state level, a Central Scheme was operated.
This was followed till the ninth five year plan and eventually this assistance extended to
district level also.

But as mentioned by the Working Group on Block level Planning headed by Prof. M.L.
Dantwala (1978) it has been identified that the remoteness of planning agencies at the
district level from the actual scene of action, is the cause for mismatch of financial
allocations with location specific needs. They suggested block level as the sub-state
planning level for appreciation which was further accentuated by the Planning Commission.

Initiatives in strengthening Panchayati Raj closely paralleled those for district planning.
Though Panchayati Raj Institutions got off to a good start in the early sixties, their
significance was short- lived. Studies connected with the Planning Commission’s report
on district planning (by the Working Group on District Planning headed by C.H. Hanumantha
Rao May 1984), brought out the fact that planning from below was undermined by different
streams of funding the district plan. As States had to prepare their annual plans within
the framework prescribed by the government of India, they, in turn, prescribed rigid
guidelines, which left little scope for flexibility to District Development Councils in
preparation of their annual plans. Substantial funds were also retained at the State level
and schemes were formulated by sectoral departments without much consultation with
the District Development Council.

The G.V.K. Rao Committee (1985) to review the administrative arrangements for rural
development recommended that the District Panchayat should be the principal agency
to manage all development programmes at the district level. The Sarkaria Commission
on Centre-State relations highlighted the need for participation of people’s representatives
in the planning and administrative machinery at the local level. A notable recommendation
was the creation of a body akin to the Finance Commission at the State level for devolution
or transfer of resources to the districts on an operational and objective basis.8

8
Planning At the Grassroots level, An Action Programme for the Eleventh Five Year Plan, March 2006, New
Delhi.
Community Development 801

Thus, it can be observed that over a period of four decades since the beginning of
planned development, there were several suggestions and attempts at decentralised
planning. The conditions required were also outlined and repeated. However, the increase
in the number of ministries, departments and parastatals at the Centre and in the States
and the vertical planning, preparation of programmes and methods of funding stood in
the way of decentralised planning becoming a reality. The 73rd and 74th Amendments to
the Constitution gave constitutional status to local self-governments and provided a new,
more politically underpinned, universalised platform for decentralised planning from
below.9 However, it is seen that despite all these recommendations and initiatives there
are still major drawbacks in local self- governance that seem to be addressed by the
recent initiatives so undertaken by the Government.

41.5 Recent Initiatives

In order to bring out more improvisation at local levels, certain initiatives have been
advised by the Planning commission in regard to the states. These initiatives imply that
♦ The District Planning Committees (DPC) should be constituted in accordance with
the provisions of the Constitution by the time the Annual Plan Proposals are presented.
♦ The composition of the District Planning Committees is to be decided by the law
made in this connection by the Legislature of the State. Taking into account the
imperative need to increase the professional competence of the DPCs, whose main
responsibility and function is to consider the gram Panchayat and block Panchayat
development plans, as also the municipalities of districts, and to consolidate and
prepare a draft development plan for the district as a whole, the DPC should be
required to consult institutions and professionals, as may be specified for this purpose
by the Governor under Article 243 ZD (3)(b).
♦ It is recommended that in regard to certain items as mentioned below that deal
with minimum needs as listed below, due consideration must be made by the
Panchayats.
These are:
i) Literacy (adult literacy) and elementary education
ii) Primary health and sanitation
iii) Rural Water Supply
iv) Rural roads
v) Housing for the poor (rural and urban)
vi) Nutrition, children and women and creches
vii) Livelihood and employment guarantee
viii) Rural electrification
9
Local Governance-Second Administrative Reforms, cited from <http // arc.gov.in/6-1.pdf>
802 Urban Development and Environment Protection Mechanisms

♦ It is suggested that the local governments while undertaking certain activities must
make a proposal about the grants that they receive for execution of these activities
from various sources such as from (i) recommendations of the Twelfth Finance
Commission, (ii) Backward Regions Grant Fund (BRGF), (iii) Centrally Sponsored
Schemes, (iv) Different Development institutions at the Centre and in the States
like Scheduled Castes Commission, Women’s Commission, etc., (v) Financial
Institutions, (vi) Externally assisted schemes, and (vii) their own resources, if any.

The Plan Proposals so made shall also indicate the detailed deployment of funds received
from the above different sources for a specific subject in each of the districts of the
State. It is also recommended that the Proposals should indicate the criteria followed by
the State Government for allocating the resources for the above items, district-wise.
The State Government may also indicate how the district allocation will be distributed
between the district, block and gram Panchayat levels taking into account the conditions
in the State.

The detailed exercise in respect of items of minimum needs are suggested as a first step
and they do not exclude the need for a similar exercise in respect of the entire set of
items to be implemented through/by PRIs as part of the Plan.

These all have been the recommendations to make local governance a reality by end of
the eleventh Plan.

41.6 Community Participation Law

Another initiative at community level is the community participation law that was thought
to be formulated to bring forth more government-citizen proximity. There is required to
be a system where everybody in the society are represented as well as have an equal
active participation. Citizen participation is a two-way process which requires that
citizens be aware of their need to participate as well must actively participate. This was
initiated along with the JNNURM scheme which talked about constitution of Area Sabhas
below the ward committees to bridge the gap between the government and the citizens.
The community participation law or in other words Nagar Raj Bill, elucidate the structure
and functions of area sabhas and ward committees thereby making area sabhas as the
lowest unit in the hierarchy. The Nagar Raj Bill recognises any person on the electoral
rolls of any area or municipality as member of an area sabha.10

This was done in order to recognise provisions of 74th amendment in full spirit.
In the context of community participation, it is to be noted that a lot many initiatives
have been taken by the government in collaboration with NGO’s and other private
entities in the regime of urban development. In today’s time, prime focus has always
been on sustainable development of cities and for this, work has been done in various
spheres. In order to understand the efforts that were initiated by the government agencies
10
TERI 2010, Enhancing Public Participation through effective functioning of Area Sabhas (Final Report),
Project Report Number 2009Udo4.
Community Development 803

and their collaborated work with various agencies, certain case studies can be referred
to.

41.7 A Few Case Studies

Problem- Urban Poverty Eradication
Initiative- One such initiative in this regard was the Urban Basic Services for Poor (UBSP)
which was a major component as well as the pivot of Urban Poverty Eradication Programme
of the Ministry of Urban Affairs and Employment, operational in 25 states and 6 Union
Territories covering 296 cities and further 169 through state universalisation efforts reaching
an estimated 10 million urban poor. One unique feature of UBSP was its participatory
process of planning and action with women from poor neighbourhoods to improve health;
education; environment; access to credit and improved incomes and other basic rights
for their children, themselves and their families. At present, over 130,000 poor women
serve voluntarily, working in partnership with city, state, national Government, NGOs
and UNICEF.

Strategy- UBSP is a partnership financed 60 40 between GOI and States, with city or
community contributions, underway in at least 50% of cities. Over 100 NGOs are involved,
providing technical and mobilisation support. Partnerships with sectoral programmes and
other agencies such as water or electricity boards, banks, etc. are increasing based on
community specific needs and plans. The Department of Health and Family Welfare has
established working relationships with UBSP and the programme is an accepted strategy
in the National Plan of Action for Nutrition. In one State, a financial formula for targeted
sector allocations at the state and city level for the urban poor through city- level urban
poverty alleviation cells has recently been implemented, now serving as a national model.

UNICEF continues as a partner, providing support towards training, management, research,

communications, demonstration activities and NGO collaboration. The philosophy of
UBSP is seen in programmes of other donors such as ODA-UK; Integrated Population
Projects (World Bank) among others. A National Urban Poverty Eradication Fund (1995)
seeks to tap resources in the private sector as well.11 The unique features of this
programme are; its institutional frameworks which involve RCV’s (Resident Community
Volunteers) and Neighbourhood groups. It is a centrally sponsored scheme and is women-
centric providing for urban poor.

Observation- In this project, the government has worked in collaboration with various
non- governmental agencies for urban poverty alleviation. The success of this programme
is based on the fact that the community was involved.

Problem- Solid Waste Management

Initiative- In this case study, prominence has been given to the work done by NGO’s in
collaboration with the citizens. This case study is about Exnora in Chennai.
11
Poverty Alleviation through Community Development-UBSP, cited from <http // unesco.org/most/ asia12.htm>
804 Urban Development and Environment Protection Mechanisms

Strategy- Exnora in Chennai is a successful NGO experiment to manage solid waste

disposal. This started in 1989 when citizens, concerned about deteriorating environmental
conditions, drew up an action plan to collect garbage. New containers were placed in
the street and an awareness-raising campaign was organised. The rag-pickers, renamed
city-beautifiers were given loans by Exnora to purchase tricycles for door-to-door garbage
collection and street cleaning. They received monthly salaries from the residents, from
which they repaid the loans. Today, the city has 1,500 Exnora units, each servicing
75,000 families or 450,000 people. Many Exnoras have now branched into other
environmental activities, such as monitoring waterways, de-silting canals, planting trees,
and harvesting rainwater (Chennai suffers from severe water shortages). They also run
environmental education programmes in schools and public information campaigns on
the environmental impacts of industrial development, upgrading slums and converting
degradable waste into compost. Exnora projects are thus, multi- sectoral and address a
wide range of issues. Following this, initiatives were taken by other cities.12

Observation- This case study is a perfect example of community participation wherein

the citizens themselves took initiative to solve their problem without any government
assistance.

Problem- Slum development

Initiative- Another initiative that can be discussed here is of a trust by the name of
‘SAATH’ that is established in Ahmadabad which seeks to rehabilitate people who dwell
in slums due to earthquake or riots that had displaced them. The interesting thing to be
noted here is that this help in rehabilitation is done by one vulnerable community for
another vulnerable community.

Strategy- A three- pronged strategy is being followed by it in this regard. They actually
work in three fields
♦ Initiation of rehabilitation of shelter and livelihoods
♦ They work towards other development parameters (health, education, livelihoods
and infrastructure)
♦ Conflict resolution and peacebuilding
The intervention strategy shall be participatory. Saath sees the interventions in new
slums to be facilitated by the existing CDO (Community development organisations)
members. The idea is that members of one vulnerable community help the other vulnerable
community in their rehabilitation and overall development. Saath has enabled the
formation of three CDOs up till now. These CDOs have had a predominantly Hindu
population. Through the present intervention strategy, members of one religious
community shall be helping members of another religious community in rebuilding their
lives as well as sustain development. Through riot rehabilitation as well as integrated
development, it is envisaged that there will be one to one and community interaction
12
Mahadevia, Darshini, Sustainable Urban Development in India An inclusive perspective, from Unsustainable
to inclusive cities, UNRISD publication, 1st October 2002, Geneva.
Community Development 805

between residents of different communities. This will lead to fostering of mutual trust,
reduction in prejudices as well as awareness regarding the futility of communal violence.13

Observation- This initiative serves two purposes. One is to have removal of slums while
the other is promotion of communal harmony, which is imperative for urban development
and solidarity.

41.8 Conclusion
Community is in the centre of all the activities, it is imperative that it should be of
prime most importance while giving any policy decisions. Yet, it is ignored by the decision
makers and made in most cases people become mere spectators of what they actually
need to get and what exactly they get. This creates a void between the administrators
and those administered and an atmosphere of apathy is created which distances people
from government initiatives. Public awareness, effective community participation,
transparent and clean administration, introduction of citizen charters and accountability
at all levels can only bridge this gap. As can be observed from the case studies, instances
where governments and communities have worked in unison with fruitful results have
been observed. Thus, it can be concluded that for the growth of the society, community
development should be a focal area and the development should be bottom-up that is
from community to the nation.

41.9 References and Recommended Readings

Bakshi,P.M, Constitution of India, 7th ed, Universal Law Publishing Co., 2006.
Cavaye, Jim, The Role of Government in Community Capacity Building. Queensland
Government Information Series QI99804. Queensland Government. 2000.
Cavaye, Jim, In Relationships and Everyday Lives: People with a Disability and vital
Communities. Community Resource Unit, CRU Publications Brisbane, Australia. 2002.
Local Governance-Second Administrative Reforms, cited from <http // arc.gov.in/6-1.pdf>
Mahadevia, Darshini, Sustainable Urban Development in India An inclusive perspective,
from Unsustainable to inclusive cities, UNRISD publication, 1st October 2002, Geneva.
Planning At the Grassroots level, An Action Programme for the Eleventh Five Year Plan,
March 2006, New Delhi.
Proposal for riot rehabilitation and integrated development, cited from <http //
cac.ektaonline.org/resources/appeals/SaathProposal.pdf>
Poverty Alleviation through Community Development-UBSP, UNESCO Resources. Yadav,
Kiran , Community Development Programme, Agropedia, June 2010.

13
Proposal for riot rehabilitation and integrated development, cited from <http // cac.ektaonline.org/
resources/appeals/SaathProposal.pdf>
806 Urban Development and Environment Protection Mechanisms

UNIT 42
INTRODUCTION TO NEW MODELS
OF ENVIRONMENTAL
CONSERVATION
Contents
42.1 Introduction 806
42.2 Scenario of Environmental Conservation 808
42.3 Sustainable Urban Development 808
42.4 Postulates of Conservation 812
42.5 Some Models of Conservation 816
42.6 References and Recommended Readings 830

42.1 Introduction
Urbanisation indicates a change not only in the nature of employment structure from
agriculture and cottage industries to mass production and service industries, but it also
indicates a shift in social patterns of living in city dwellers. Equally true is the fact that
urbanisation not just causes but also itself results from social change. Urbanisation is
the inevitable result of economic growth, with the rise of specialised craftsmen,
merchants, and administrators. Cities offer markets, labour and capital with a well-
developed infrastructure, all of which increase their comparative advantage.
Urbanisation is a relatively recent process in the Third World where it is even more rapid
than population growth and where the largest agglomerations are growing most rapidly.
As we have already studied in our previous units, the negative effects of urbanisation
include the loss of agricultural land coupled with problems of urban food supply, the
destruction of habitats and urban diseconomies. However, urbanisation also gives birth
to changes in social structures like family and education. While the graph of formal
education slowly but steadily increases in an urban scenario, the graph of family structure
moves towards an unpleasant decline.
Urban trends also prove a drastic shift in livelihood patterns of urban communities.
Urban livelihoods can take on many forms but the primary objective of that livelihood
is to earn money to enable the family to purchase those household items most urgently
Emerging Urban Models 807

needed. This approach differs significantly from the rural livelihood which revolves
around producing sufficient food for the family and selling whatever surplus remains.1 If
at all urban disasters strike, they lead to loss of employment and frequently result in
price increases for food, water and essential commodities. The urban family is hit
disproportionately hard by disaster because those items the family most needs are
increasing in price at the same time when the family has less money to spend on them.
The urban poor, particularly migrants, often lack financial social and physical assets
(i.e. money, connections and property) to rely upon when there is a reduction of or
interruption in income or when a price shock reduces the purchasing power of that
income.2 Urban livelihoods patterns are oftentimes more complex and interrelated than
farm-based rural livelihoods and rely on the functioning of markets. Urban populations
rely almost exclusively on buying whatever goods they need from the market. In an
urban setting, markets are integral to survival. Small businesses and shop owners are
the drivers of the economy in many cities in developing countries. Therefore, it is of
utmost priority to develop a sustainable urban community that is capable of self-
sustenance.
Community development seeks to empower individuals and groups of people by providing
them with the skills they need to effect change in their own communities. These skills
are often created through the formation of large social groups working for a common
agenda. Community developers must understand both how to work with individuals and
how to affect communities’ positions within the context of larger social institutions, as
breakdown of larger social institutions will have a negative impact on community
development.
The goal of local community development and decentralisation must be to improve
living conditions in these poor urban areas, both by facilitating access to infrastructures
and basic social services, and by encouraging the development of revenue-generating
activities. Developing a strong and sustainable local economy is a priority for urban
populations.
However, just like the socio-economic development of urban area is strongly dependent
on community development, in turn, community development is directly proportional
to conservation and development of human environment in which the community survives.
Human communities whether clusters of homes, towns, cities, or other collections or
networks of people are part of the natural environment. Urban communities live among,
and are deeply connected to, the natural environment that makes their living area not
only habitable but also beautiful and valuable. More and more often, human communities
realise that the health and vibrancy of the natural environment affects the health and
vibrancy of the community and vice versa.

1
Brown, Courtney, Director, Humanitarian Assistance, “ 21st Century Urban Disaster”, CHF International
Publications, 2012.
2
Bloom, David E. and Tarun Khanna, 2007, “The Urban Revolution,” Finance and Development, September
2007, IMF.
808 Urban Development and Environment Protection Mechanisms

Communities value the land, air and water available to them for material goods, beauty,
solace, retreat, recreation and habitat for all creatures. Throughout the nation,
communities are engaging in efforts to protect these treasured natural resources and
the quality of life they provide.

Some of today’s most pressing environmental problems, such as non-point source

pollution, urban sprawl, habitat destruction, and vehicle emissions are rooted in the
cultural fabric of the country. The need to resolve these problems has led to new
environmental protection approaches for urban communities.

42.2 Scenario of Environmental Conservation

In the past, there has been a great tradition of environmental conservation which laid
emphasis on respect of nature and to take cognizance of the fact that all forms of life -
human, animal and plant - are closely interlined and that disturbance in one gives rise
to an imbalance in others. Even in modern times, as is evident in our constitutional
provisions and environmental legislation and planning objectives, conscious efforts have
been made for maintaining environmental security along with developmental advances.
The Indian Constitution has laid an important trail in the Section on Directive Principles
of State Policy by assigning the duties for the State and all citizens through Article 48 A
and Article 51 A (g) which state that the “State shall endeavour to protect and improve
the environment and to safeguard the forests and wildlife in the country” and “to protect
and improve the natural environment including forests, lakes and rivers and wildlife, and
to have compassion for the living creatures”.

Over the years, there has been progressive pressure on the environment and the natural
resources, the alarming consequences of which are becoming evident in increasing
proportions. These consequences detract from the gains of development and worsen the
standard of living of those people who are directly dependent on natural resources3. It
is in this context that a need to give a new thrust towards conservation and sustainable
development is envisaged.

The survival and well-being of a nation depend on sustainable development. It is a

process of social and economic betterment that satisfies the needs and values of all
interest groups without foreclosing future options. Thus, it is required that assurance
must be there in regard that the demand on the environment from which we derive our
sustenance, does not exceed its carrying capacity for the present as well as future
generations.

42.3 Sustainable Urban Development

Sustainable urban development specifically means achieving a balance between the
development of the urban areas and protection of the environment with an eye to
equity in employment, shelter, basic services, social infrastructure and transportation
3
National Conservation Strategy and Policy Statement on Environmental Degradation, 1992.
Emerging Urban Models 809

in the urban areas. With rapid expansion of urban population around the world, there
has arisen a wide awareness about minimising the environmental costs of urbanisation.
Concerns are raised at environmental damages and depletion of non-renewable resources
and rising levels of pollution in urban areas. In recent times cities have become places
of urban environmental degradation and wasteful use of resources, which is proving to
be costly to generations present and future. In order to mitigate this problem, it is
required that the depletion of non-renewable resources must be minimised and
environmentally sustainable economic development must be resorted to. But it has to
be ensured that such efforts are done in ways that are socially, economically and politically
acceptable. According to this, ensuring environmental sustainability means taking steps,
which include a) integration of the principles of sustainable development in the policies
and programmes of the country, b) reversal of loss of environmental resources, c) reduction
of the proportion of people without sustainable access to safe drinking water, d) improving
the lives of slum dwellers.4

Initiatives that have been taken

Sustainable city planning should aim at achieving social and environmental equity while
improving the lives of the people. To achieve this goal, a sustainable city form is required
along with provision and proper management of the services. Thus, in order for a city or
urban area to be sustainable, it needs to produce and manage basic services like water,
waste, energy and transportation in a way that it conforms to the principles of sustainable
development. In other words, the city should be able to produce and distribute the
services in an economic, environment friendly and equitable way. Cities in the developing
countries are deficient in the provision of basic services that pollute the environment.
Therefore in many cases assist the developing countries to accentuate these initiatives.

One such initiative is JICA5 which provides assistance through Japanese ODA loans to
support a model of development which is environmentally harmonious and preserves
the nation’s biodiversity. The projects so undertaken under this scheme are:

Yamuna Action Plan Project (III) is the third Loan Agreement aimed to address improving
the water quality of the River Yamuna. The 22 km stretch of the river which flows
through Delhi, is less than 2% of the length of the river basin but continues to contribute
over 80% of the pollution load in the entire stretch of the river. This loan shall be utilised
for modernisation of the existing sewage treatment system and implementing public
outreach activities in National Capital Territory of Delhi. This project is expected to not
only augment the efficiency of the sewerage system in Delhi, but also promote the use
of recycled water in Delhi as a sustainable supplemental source of water.6

4
Chattopadhyay, Basudha, Sustainable Urban Development In India Some Issues, 2004.
5
Japan International Cooperation Agency.
6
Newsletter from JICA-India office, issue 15, JICA.
810 Urban Development and Environment Protection Mechanisms

Figure 1: River Yamuna in 2012

Another project to fulfil the demands of this initiative can be deduced by reference to
Kollam (Kerala) where the aim was to construct a new underpass. The overall development
goal of Kerala Sustainable Urban Development Project (the Project) is to promote
sustainable growth and good urban governance, develop and expand urban infrastructure,
and to reduce vulnerability to environmental degradation and urban poverty in five
municipal corporations in the State of Kerala. The Project involves investment in the
sectors of (i) water supply; (ii) sewerage and sanitation; (iii) urban drainage; (iv) solid
waste management; (v) roads and transportation; and (vi) poverty alleviation. The
Project Preparatory Technical Assistance (PPTA) has identified sub-projects in the above-
mentioned sectors in the five municipal corporations of Thiruvananthapuram, Kollam,
Thrissur, Kochi and Kozhikode.7

India has integrated sustainable development into its planning process and has several
programmes directed towards this goal. It’s initiatives in addressing development and
sustainability issues touch upon the social, economic and environmental dimensions. The
Government of India’s sensitivity and commitment to sustainable and inclusive growth is
reflected in the major policies of various ministries and also specific initiatives and
programmes adopted through its Five Year Plans so as to achieve sustainability and
MDG’s (Millennium Development Goals). The Eleventh Five Year Plan reiterates this
commitment of inclusive growth and reducing disparity through monitorable indicators
of human development.

In order to achieve the goals of sustainable development, one of the steps that were
taken was in the direction of environment conservation and protection by promoting
Environment education. This strategy was adopted post Stockholm conference by setting
up Centres of Excellence for Environment Education under the Ministry of Environment
in the early 1980s. Though until sometime, most of these activities were restricted to
this Ministry. However, gradually with the realisation of the role that Education can play
for ensuing sustainable development, Government of India recommended the Ministry
of Human Resource Development to integrate environmental concerns into all aspects
and levels of education. ESD (Education for Sustainable Development) aims to go beyond
and achieve the status of well-being in line with sustainable development by empowering
people through various forms of educational processes and practices to assume

7
Resettlement Planning Document, India Kerala Sustainable Urban Development Project, 2008.
Emerging Urban Models 811

responsibility for creating sustainable future. This goal became finer when India became
part of the UN General Assembly resolution for establishing UN DESD (2005-2014) in the
year 2005, in recognition of the need to enhance efforts in education and learning to
address issues of sustainable development.

Various alternative approaches have been adopted by countries to reduce their footprints
with respect to ESD. However, scholars and development practitioners have raised
concerns that India currently needs to move forward directly on its own endogenous
sustainable model of development rather than imitating the models of the western
countries. Veterans like K. Sarabhai puts it as a challenge of ‘leapfrogging’ and blending
both traditional- modern elements for ESD in all realms of society. Alongside, having the
confidence to make critical choices and walk on its own well defined path is crucial for
India so as to define the goals of ESD. As we move forward to redefine the notion of
‘development’ to be more sustainable from all quarters, it also becomes important to
develop the paradigm of ‘education’ i.e. the way it is practiced and conceptualised. In
India, ESD has brought about a shift in emphasis from teaching to learning in myriad
forms. The new National Curriculum Framework 2005 has as one of its key guiding principles
Connecting knowledge to life outside the school.

In this regard, India is the only country to have passed one of the landmark judgments
passed by the Supreme Court of India directing all education boards to include
environmental education (EE) as part of the formal education system at all levels. EE in
India has always been seen in the development context. Therefore, much of the aspects
of EE can be seen as ESD. For instance, issues such as water/housing/health can be seen
from a variety of perspectives including access, equity, distribution and traditional use.
Thus, the perspective of ESD needs to be built on the foundations of sector- specific
development already laid out and then integrating it as a part to achieve wider
development agenda. It is in this respect that India is progressively marked different
from other countries.

The Indian vision for the DESD (Decade of Education for Sustainable Development)/ESD
is hence, based on a commitment towards sustainability rooted in a centuries- old tradition
of living in equilibrium with nature and all its elements. The 4th International Conference
on EE at CEE recognised and gave a shape to this vision by bringing together the expertise
across the world to build the partnership. India recognises ESD as a major driver of
change and its commitment to sustainable development is reflected in its policies,
programmes and other Government and NGO led activities. However, challenges are
still to be met in terms of creating awareness and ensuing ESD based development
perspective. This is because concerns for environment conservation/protection cannot
be put into place without addressing/taking into account the other/larger socio-economic
and cultural reality of society in which concerns of the environment are inbuilt.8

It is to be noted that sustainable urban development encompasses various issues that

are required for proper urban planning. Owing to progress made in the areas of technology,

8
DESD INDIA, cited from <http //www.desd.org/Esd_india.htm>
812 Urban Development and Environment Protection Mechanisms

many new technologies are improvised for development in the field of urban planning.
One such aspect could be seen in Lavasa wherein GIS (Geographic Information Center)
technology has been used for surveying purposes. The concept of New Urbanism has
integrated various fields such as Environment, Engineering and Construction, Urban
Planning and Architecture for planning, execution and sustainable development. These
components constitute the process of urban development and planning and require
timely assistance of GIS to ensure accuracy as well as ease of operation.

It is observed that sustainable urban development involves a series of initiatives which

have in the past addressed and at present are also addressing the issues of urban
development. It involves policy implementation and good governance at all levels of
urbanism. It can be envisaged from the above- mentioned case studies that while
undertaking urban development, various aspects have to be seen such as transport,
sewage facilities etc. The main purpose of focusing on specific needs is that all areas
have different requirements as per their demography and the other facilities so present.

42.4 Postulates of Conservation

There is a very fine line between wildness and civility in Indian society, as well as
connection of ideas of nature to different aspects of social life, especially labour, aesthetics,
politics, commerce and agriculture. These interconnected historical processes inform
the environmental history in India.
The Environment is an issue of high concern. Environmental conservation and Economic
growth have strong interconnection. Both are crucial for surviving and building a strong
future. Therefore, choosing the right methods and alternatives that would not hinder
the growth of the economy and preservation of environment are the policy motivations
towards this direction. Let us discuss some such methods and alternatives that have
been organised at a basic/grass-root level in recent times.

a) Think Global, Act Local

The concept urges people to consider the health of the entire planet and to take action
in their own communities and cities. Long before governments began enforcing
environmental laws, individuals were coming together to protect habitats and the
organisms that live within them. These efforts are referred to as grassroots efforts. They
occur on a local level and are primarily run by volunteers and helpers.
“Think Globally, Act Locally” originally began at the grassroots level, however, it is now
a global concept with high importance. It is not just volunteers who take the environment
into consideration. It is corporations, government officials, education system and local
communities. It is now extremely important to consider global markets and communities
when doing business. Global markets and large corporations have one of the largest
impacts on the environment, it is their influence and actions that are vital to the
survival of our planet. Large corporations have the most impact on the environment,
therefore “thinking globally and acting locally” can make a major difference in the
survival of our planet.
Emerging Urban Models 813

The original phrase “Think global, act local” has been attributed to Scottish town planner
and social activist Patrick Geddes in his 1915 book “Cities in Evolution”. Although the
exact phrase does not appear in the book, the idea (as applied to city planning) is clearly
evident “Local character’ is thus, no mere accidental old-world quaintness, as its mimics
think and say. It is attained only in course of adequate grasp and treatment of the whole
environment, and in active sympathy with the essential and characteristic life of the
place concerned.”9

Town planning is important to the understanding of the idea “think globally, act locally”.
Urban management and development highly impact the surrounding environment. The
ways in which this is initiated is vital to the health of the environment. Corporations
need to be aware of global communities when expanding their companies to new locations.
Not only do corporations need to be aware of global differences, but also Urban and
rural areas who plan on expanding or changing the dynamics of their community. As
stated “Addressing the complex urban environmental problems, in order to improve
urban liability through Urban Environmental Strategies (UES), involves taking stock of
the existing urban environmental problems, their comparative analysis and prioritisation,
setting out objectives and targets and identification of various measures to meet these
objectives”10.

In the 1970s, scientist and philosopher Rene Dubos counselled the world to “think globally,
act locally” in addressing environmental problems. Rene Dubos mentioned the phrase as
an advisor to the United Nations Conference on the Human Environment in 1972. With
respect to environmental conservation, in India, at the grass root level, there are various
mass movements being organised with the theme of Think globally- Act locally for the
conservation of nature since 1993.

b) Act responsibly for a better future

This approach is based on the concept of sustainable development and inter-generational
equity. It recognises that the actions we take today can have implications for generations
to come, and that we must live and work in a way that preserves the ability of our
children, grandchildren and following generations to meet their basic needs.

While our focus is on the future, much of the work that the county is undertaking in the
name of sustainability has immediate benefits for current county residents. Sustainability
fundamentally is about finding more efficient, less wasteful ways of doing things. Policies
formulated in our country constantly seek to reduce carbon footprint by constructing
more energy efficient buildings, incorporating and encouraging use of more fuel
efficient vehicles, and reducing the amount of solid waste generated, along with
simultaneously encouraging the provision of higher quality service at lower costs to
country residents.

9
Geddes, Patrick (1915). Cities in Evolution. London Williams. p.E397.
10
“Strategic Urban Environmental Planning”. Urban Environment and Climate Change. 2011, as cited
from http //web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTURBANDEVELOPMENT/EXTU
814 Urban Development and Environment Protection Mechanisms

c) Protect and enhance natural and built environment

Historically, there has been a tendency to view the natural environment and the built
environment as being separate and distinct entities. Environmentalism in the 21st Century
understands that the two are very much interrelated as are their fates. Protecting and
enhancing our natural environment will depend to a very large extent on our ability to
create liveable, diverse, higher density, mixed- use, urban neighbourhoods and will
require leadership, vision, planning, community involvement, and ongoing commitment.

Incorporating natural environmental values into the built environment can also improve
the quality of life and benefit nearby more natural areas.

d) Environment, Economy and Social Equity

Enlightened 21st Century environmentalism recognises that the health of our
environment, the health of our economy and the health of our society are intrinsically
interrelated. As a consequence, the government, communities and environmental leaders
need to promote solutions to our problems that acknowledge, address and seek to balance
responsibly all the three components of sustainability (i.e. Environment, economy and
social equity, sometimes referred to as THE TRIPLE BOTTOM LINE).

Figure 2: Triple Bottom Line Approach11

For example, by allowing a more affordable, higher density, mixed- use, energy and
water efficient housing constructed with sustainable material to be built in walkable
and transit- oriented neighbourhoods, local governments can help to provide much-
needed housing for all ages and income groups, contribute to the economy and combat
global warming, all at the same time.
11
http //www.britannica.com/EBchecked/topic/620790/utopian-socialism
Emerging Urban Models 815

Accommodating future population growth in ways that protect our environment will
inevitably require that we create higher density, transit- oriented, mixed- use urban
neighbourhoods in appropriate locations within our existing communities. Local officials
and community leaders have an obligation to provide leadership and vision in creating
liveable, vibrant, urban neighbourhoods in their communities

e) Reduce, Reuse and Recycle

Figure 3: Reduce, Reuse and Recycle

There are three key waste management strategies referred to as waste hierarchy or the
three Rs of waste management reduce, reuse, recycle. The Rs are meant to be a hierarchy,
in order of importance. The aim of the waste hierarchy is to extract the maximum
practical benefits from products and to generate the minimum amount of waste.

Some waste management experts have recently incorporated an additional R “Re-think”,

with the implied meaning that the present system may have fundamental flaws, and
that a thoroughly effective system of waste management may need an entirely new way
of looking at waste.

Reduce - Source reduction involves efforts to reduce hazardous waste and other materials
by modifying industrial production. Source reduction methods involve changes in
manufacturing technology, raw material inputs, and product formulation. At times, the
term “pollution prevention” may refer to source reduction.

Another method of source reduction is to increase incentives for recycling. Many

communities in the United States are implementing variable-rate pricing for waste disposal
(also known as Pay As You Throw) which has been effective in reducing the size of the
municipal waste stream.

Reuse - Elements of the discarded items are used again. Initiatives include hand-me-
downs, garage sales, quilting, travel mugs and composting (nutrients). Includes the terms
laundry, repair, regift and upcycle.

Recycle - Discards are separated into materials that may be incorporated into new
products. This is different from Reuse in that energy is used to change the physical
properties of the material. Initiatives include Composting, Beverage Container Deposits
and buying products with a high content of post-consumer material. Within recycling,
there is distinction between two types
816 Urban Development and Environment Protection Mechanisms

Upcycle - converting low-value materials in high-value products (more desirable).

Downcycle - converting valuable products into low-value raw materials (less desirable).

42.5 Some Models of Conservation

In past centuries, there have emerged two models of grass-root environmental
conservation. They are:
I) Reactive Conservational Efforts Protest and Activism
II) Proactive Conservational Efforts Protection and Advocacy Let us examine a few
cases studies of the same
I) Reactive Conservational Efforts Protest and Activism
a) Bishnoi Movement
As the legend goes, in the year 1471 A.D., there was a severe drought in a village called
Pipasar of Rajasthan. The drought lasted for three years. Every bit of grass and plants
were chopped to feed the animals. Children starved, cattle were dying and there was
not a drop of water. People left their homes to search for water. At that time, there was
a man called ‘Jambeshwar’ who was acutely pained at the tragedy but wisely learnt a
lesson. He noticed that, unlike in the past, the land was not able to withstand the
destruction from the drought as a large number of trees had been felled. If life was to
survive, people must understand the value of environment. He preached that the way in
which we lived should be in harmony with nature and not against it. He came to be
known as Guru Maharaj Jambaji. Jambaji put down his thoughts into 29 principles which
are followed by his disciples who are known as Bishnois (20+9) or twenty-niners.

According to the religion preached by Jambaji, there was strict ban on Killing of any
animals or bird; Felling of a green tree. The unique religion of conservation was taken up
by a large number of people in Rajasthan and the number of Bishnois increased to the
entire village communities. This helped to make villages greener and restore the natural
ecosystems. Vegetation naturally helped to recharge the groundwater.

About 300 years after this religion was founded, the soldiers of the king of Jodhpur tried
to cut trees in a Bishnoi village of Khejadali so that a new place may be built for the king.
The Bishnois tried to reason with them and stop them but in vain. But true of their
religion, the Bishnois hugged the trees to protect them. The soldiers attacked them to
overcome the protest and 363 Bishnois were killed. When the king heard of this massacre
and the unique religion, he was overcome by the people’s devotion. He ordered his men
to withdraw, gave the religion state sanction and ensured that the wishes of Bishnois
were respected in future. Even today, after many generations, Bishnois continue to
protect the trees and animals.

One can spot a Bishnoi village easily as being more green and abundant in wildlife. The
population of Black Buck, which is in the list of endangered species, is found to be in
greater number in Bishnoi villages than outside. In today’s environment, when many
Emerging Urban Models 817

places are facing acute shortage of water and pollution of air, land and water, we need
to take a lesson in conservation from Bishnois. Conservation is a religion every human
being should adopt.

b) Jhola Andolan
The Jhola Andolan was organised as a nation-wide mass movement by the Paryawaran
Sachetak Samiti (PSS). The movement was organised to completely ban on use, trade,
store and manufacturing of plastic carry bags.

c) Save Silent Valley

Save Silent Valley was a social movement aimed at the protection of Silent valley, an
evergreen tropical forest in the Palakkad district of Kerala, India. It was started in 1973
to save the Silent Valley Reserve Forest from being flooded by a hydroelectric project.
The valley was declared as Silent Valley National Park in 1985. Nonetheless, the
controversy surrounding the valley is still on.
The Kuntipuzha is a major river that flows 15 km southwest from Silent Valley. It takes
its origin in the lush green forests of Silent Valley. In 1928 the location at Sairandhri on
the Kunthipuzha River was identified as an ideal site for electricity generation. A study
and survey was conducted in 1958 of the area about the possibility of a hydroelectric
project of 120 MV and one costing Rs.17 Crore was later proposed by the Kerala State
Electricity Board.
The Kerala State Electricity Board (KSEB) decided to implement the Silent Valley Hydro-
Electric Project (SVHEP) centered on a dam across the Kunthipuzha River in 1973. The
resulting reservoir would have flooded 8.3 km2 of virgin rainforest. The proposal was
enquired into by the National Committee on Environmental Planning and Co-ordination
(NCEPC) and it was suggested that 17 safeguards were to be implemented in case the
project was implemented. A shortage of funds delayed activity. Even then, from 1974 to
1975 a very large number of trees were felled in the area. KSEB announced its plan to
begin dam construction in 1973.
After the announcement of imminent dam construction, the valley became the focal
point of “Save Silent Valley”, India’s fiercest environmental debate of the decade. Because
of concern about the endangered lion-tailed macaque, the issue was brought to public
attention. In 1977, the Kerala Forest Research Institute carried out an Ecological Impact
study of the Silent Valley area and proposed that the area be declared a Biosphere
Reserve.
In 1978, the project was approved with the condition that the State Government enact
Legislation ensuring the necessary safeguards. Also that year the IUCN (Ashkhabad, USSR,
1978) passed a resolution recommending protection of Lion-tailed Macaques in Silent
Valley and Kalakkad and the controversy heated up. In 1979, the Government of Kerala
passed Legislation regarding the Silent Valley Protection Area (Protection of Ecological
balance Act of 1979) and issued a notification declaring the exclusion of the Hydroelectric
Project Area from the proposed National Park.
818 Urban Development and Environment Protection Mechanisms

Kerala Sasthra Sahithya Parishad (KSSP) effectively aroused public opinion on the
requirement to save Silent Valley. A petition of writ was filed before the High Court of
Kerala, against the clear- cutting of forests in the Hydroelectric Project area and the
court ordered a stop to the clear- cutting.

Dr. M.S. Swaminathan, the renowned Agricultural Scientist, and then Secretary to the
Department of Agriculture, called at the Silent Valley region and his suggestion was
389.52 km2 including the Silent Valley (89.52 km2), New Amarambalam (80 km2), Attappadi
(120 km2) in Kerala and Kunda in Tamil Nadu (100 km2) reserve forests, should be made
into a National Rainforest Biosphere Reserve, with the aim of “preventing erosion of
valuable genes from the area”.

In January 1980, the Hon. High Court of Kerala lifted the ban on clear- cutting, but then
the Hon. Prime Minister of India requested the Government of Kerala to stop further
works in the project area until all aspects were fully discussed. In December, the
Government of Kerala declared the Silent Valley area, excluding the Hydroelectric Project
area, as a National Park.

In 1982, a multidisciplinary committee with Prof. M. G. K. Menon as chairman, was

created to decide if the Hydroelectric Project was feasible without any significant
ecological damage. Early in 1983, Prof. Menon’s Committee submitted its report. After
a careful study of the Menon report, the central government decided to abandon the
Project. On November 15, 1984, the Silent Valley forests were declared as a National
Park, though the boundaries of the Silent Valley Park were limited and no buffer zone
was created, despite recommendations by expert committees and scientists.
Ten months later, on September 7, 1985, the Silent Valley National Park was formally
inaugurated. On September 1, 1986, Silent Valley National Park was designated as the
core area of the Nilgiri Biosphere Reserve. Since then, a long-term conservation effort
has been undertaken to preserve the Silent Valley ecosystem. In 2001, a new Hydro
project was proposed and the “Man vs. Monkey debate” was revived. The proposed site
of the dam (64.5 m high and 275 m long) is just 3.5 km downstream of the old dam site
at Sairandhiri, 500 m outside the National Park boundary. The 84 km2 catchment of the
project area included 79 km2 of the Silent Valley National Park.
The Kerala Minister for Electricity called The Pathrakkadavu dam (PHEP) an “eco- friendly
alternative” to the old Silent Valley project. The PHEP was designed as a run- off-the-
river project with an installed capacity of 70 MW in the first phase (105 MW eventually)
and an energy generation of 214 million units (mu) with a minimal gross storage of 0.872
million cubic meters. The claim was that the submergence area of the PHEP would be a
negligible 0.041 km2 compared to 8.30 km2 submergence of the 1970s (SVHEP). However,
the spectacular waterfall between the Neelikkal and Pathrakkadavu hills bordering the
Silent Valley will disappear if the proposed Pathrakkadavu hydro-electric project is
implemented.
During January to May 2003, a rapid Environmental Impact Assessment (EIA) was carried
out during by the Thiruvananthapuram-based Environmental Resources Research Center
Emerging Urban Models 819

and its report was released in December, stating that forest lost due to the project would
be just 0.2216 km2, not including the 7.4 km approach road and land to be acquired for
the powerhouse in Karapadam.

d) Chipko Movement
The forests of India are a critical resource for the subsistence of rural peoples throughout
the country, but especially in hill and mountain areas, both because of their direct
provision of food, fuel and fodder and because of their role in stabilising soil and water
resources. As these forests have been increasingly felled for commerce and industry,
Indian villagers have sought to protect their livelihoods through the Gandhian method
of satyagraha non-violent resistance. In the 1970s and 1980s, this resistance to the
destruction of forests spread throughout India and became organised and known as the
Chipko Movement.

The first Chipko action took place spontaneously in April 1973 and over the next five
years spread to many districts of the Himalaya in Uttar Pradesh. The name of the movement
comes from a word meaning ‘embrace’ the villagers hugged the trees, saving them by
interposing their bodies between them and the contractors’ axes. The Chipko protests in
Uttar Pradesh achieved a major victory in 1980 with a 15-year ban on green felling in the
Himalayan forests of that state by order of India’s then Prime Minister, Indira Gandhi.
Since then, the movement has spread to Himachal Pradesh in the North, Karnataka in
the South, Rajasthan in the West, Bihar in the East and to the Vindhyas in Central India.
In addition to the 15-year ban in Uttar Pradesh, the movement has stopped clear felling
in the Western Ghats and the Vindhyas and generated pressure for a natural resource
policy which is more sensitive to people’s needs and ecological requirements.

The Chipko Movement is the result of hundreds of decentralised and locally autonomous
initiatives. Its leaders and activists are primarily village women, acting to save their
means of subsistence and their communities. Men are involved too, however, and some
of these have given wider leadership to the movement. Prominent Chipko figures include
Sunderlal Bahuguna, a Gandhian activist and philosopher, whose appeal to the then
Prime Minister Mrs. Indira Gandhi resulted in the green-felling ban and whose 5,000
kilometer trans-Himalaya foot march in 1981-83 was crucial in spreading the Chipko
message. Bahuguna coined the Chipko slogan ‘ecology is permanent economy’.

Chandi Prasad Bhatt, one of the earliest Chipko activists, who fostered locally-based
industries based on the conservation and sustainable use of forest wealth for local
benefit.

Another activist was Dhoom Singh Negi, who, with Bachni Devi and many village women,
first saved trees by hugging them in the ‘Chipko embrace’. They coined the slogan ‘What
do the forests bear? soil, water and pure air’. The Chipko poet, Ghanasyam Raturi was
another prominent figure, whose songs still echo throughout the Himalaya of Uttar
Pradesh.
820 Urban Development and Environment Protection Mechanisms

Indu Tikekar, a doctor of philosophy, whose spiritual discourses throughout India on the
ancient Sanskrit scriptures and on comparative religion have stressed the unity and
oneness of life and put the Chipko Movement in this context.

A feature published by the United Nations Environment Programme reported the Chipko
Movement thus ‘In effect, the Chipko people are working a socio-economic revolution
by winning control of their forest resources from the hands of a distant bureaucracy
which is concerned with selling the forest for making urban-oriented products.’

The essence of the movement is stated by Sunderlal Bahuguna in the following words,
“The solution of present-day problems lie in the re-establishment of a harmonious
relationship between man and nature. To keep this relationship permanent we will have
to digest the definition of real development, development is synonymous with culture.
When we sublimate nature in a way that we achieve peace, happiness, prosperity and,
ultimately, fulfilment along with satisfying our basic needs, we march towards culture.”

e) Baliyapal Movement
The Government of India decided to setup a missile testing range at Baliyapal in Orissa.
Baliyapal became a center of controversy because the area to be taken for the testing
range area was a very fertile area with thick population. The Baliyapal Movement was
organised by the people of Baliyapal against the testing of missiles on the land of Baliyal
villagers which was feared to lead to interfertility of soil. The Government could not
implement its decision because of the strong resistance of the people.

f) The Plchimada Struggle

“It is a new experience for us that water becomes a market commodity. It is alien to our
habits. To sell bottled water is unjust and anti-nature.” - Veloor Swaminathan states the
rationale of the struggle in these simple statements.

The struggle against the multi-national Coca-Cola factory at Plachimada of Perumatty

Panchayat in Chittoor Taluk of Palakkad district, Kerala has shown unique consistency
and perseverance in the recent years. It has attracted considerable amount of
international media attention and thus being projected as a symbolic model of resistance
against multi-national colonisation. As a result, similar struggles against Coca-Cola and
the exploitation of scarce groundwater resources for its sake, is gaining momentum in
Sivaganga in Tamilnadu and in Orissa. All these struggles have to be viewed in a perspective
that would unveil the ruthless exploitative face of globalisation and its agents, the
multi-national giants.

People representing the five most affected colonies adjacent to the factory, who belong
to Eravala, Malasar tribal communities and other scheduled cast communities held
demonstrations and sit-in strike in front the factory for the last one and a half years. On
April 22nd 2002, around 2000 men, women and children dwelling around the Hindustan
Coca-Cola Beverages Pvt. Ltd at Plachimada, picketed the factory and gave an ultimatum
to the authorities to quit immediately.
Emerging Urban Models 821

The Adivasi Gotrasabha leader Ms. C.K.Janu inaugurated the overwhelming function.
The police arrested all the people who participated in the function. Blockades, Dharna
and Picketing were all resorted to during this continuous protest against the wrongs of
the mighty by the poor and the weak. The police accusing them of raising slogans against
the multinational company, blocking the workers from entering the factory and indulging
in anti-social activities, registered several cases against these poor people and their
leaders. The company filed a case (OP No.11598) in the High Court demanding police
protection from these ‘anti-social elements’. The accused were Vilayodi Venugopal
(Chairman, Adivasi Protection Council), Veloor Swaminathan (Convenor, Action Council)
Subrahmanyan, Murukesan, Kochikkadu Mani and Pazhaniswami.

However, the High Court accepted a counter petition in file submitted by the Action
Council explaining that they were waging a very just protest and it was their legitimate
right to demonstrate in a peaceful and democratic manner. They alleged that the MNC
was clever enough to influence the media not to give coverage to the struggle. Locals
also stated that political parties, irrespective of their ideologies for or against globalisation
and have done their best to protect the interests of the factory depriving the basic
rights and physical existence of those who elected them to power. A pro agitation
agency has stated as follows, “As the days went by the national media just cannot but to
give due coverage as the struggle was gaining momentum and international media
attention. Cases were registered one after another but it didn’t affect the morale or
political will of the people whatever be the financial burden it rendered. The giant
factory that can literally dictate terms to political rulers, law enforcement agencies,
civil servants etc., used its money power and muscle power to silence the people and it
has been partly successful so much so that the police department, despite the fact that
the petition by the factory for Police protection was dismissed by the high court of
Kerala, has misinformed the people that the factory has been granted police protection
by the high court. There is heavy deployment of police at the gate of the factory
threatening the poor people of dire consequences if any attempt is made against the
smooth functioning of the factory”.
g) Some other prominent socio-environmental movements organised at the grassroot
level are Narmada Bachao Andolan, Koel Karo, Chhattisgarh Mukti Morcha, etc.
II) Proactive Conservational Efforts Protection and Advocacy
a) Vulture Conservation
The population of the three, once most common, vulture species viz. Gyps bengalensis,
Gyps indicus and Gyps tenuirostris (White-backed Vulture, Long-billed Vulture and Slender-
billed Vulture, respectively) have declined drastically over the last two decades. Compared
to the early nineties, the crash in population is over 99%. The average annual mortality
rate is about 42% for White-backed Vulture and 17% for the Long-billed Vulture and
Slender-billed Vulture.

Two of the three affected species, the Oriental white-backed and the long-billed vulture,
once regarded as very common in India, are now listed as critically endangered by the
822 Urban Development and Environment Protection Mechanisms

IUCN - The World Conservation Union. The third affected species, the slender- billed
vulture, has historically been uncommon, but now is regarded as extremely rare. The
study conducted by Peregrine Fund, a U.S. based conservation organisation, in Pakistan
has confirmed that Diclofenac, a non-steroidal anti-inflammatory drug given to cattle to
treat pain and inflammation, is a major killer of vultures. In India, it is estimated that
the veterinary diclofenac worth about 20 crores is used to treat the animals. The finding
of diclofenac as vulture killer was published in the prestigious scientific journal “Nature”
in January 2004.

The problem was originally highlighted by Dr. Vibhu Prakash, principal scientist of an
organisation called Bombay Natural History Society (BNHS). In the mid- 1990s,Dr. Prakash
identified that the Oriental white-backed vulture and the long-billed vulture had declined
by 96% and 97% respectively in Keoladeo National Park (KNP), Rajasthan, over a 10 year
period. He also noticed a marked increase in the mortality rate of both young and adult
vultures in and around KNP, and that the birds appeared lethargic and sick with drooping
heads for several weeks before death.

Interestingly, both affected species are in the genus Gyps (often called ‘griffon’ vultures),
while other (non-Gyps) species of vulture in and around KNP appeared to be unaffected.
Similarly, other scavenging species (birds and mammals) were unaffected.

Prompted by dramatic and worrying findings, and supported by the Royal Society for
Protection of Birds (RSPB) and the Indian Government, the BNHS conducted an India-
wide survey of vultures in 2000 and compared the results with similar surveys carried out
in the early 1990s.

States like Delhi, Rajasthan and Haryana have taken up conservational efforts to save
the population of vultures from further decline. For instance, Haryana forest department
in collaboration with BNHS has established a Vulture Conservation Breeding Center at
Pinjore. This center was established in 2001 initially as a Vulture Care Center to investigate
and study the declining populations. At present, the center houses 127 Vultures (White-
backed Vulture 55 nos., Long-billed Vulture 55 nos., Slender-billed Vulture nos. 15 and
Himalayan Griffon 2 nos.)12. This is the largest collection of the three critically endangered
species of vulture at one place anywhere in the world13. A planned breeding programme
has been initiated with the financial assistance from the Darwin Initiative for the Survival
of Species fund of the Government of U.K., the Royal Society for the Protection of Birds
(RSPB) and technical and financial collaboration of the Zoological Society of London.
The Pinjore Vulture Conservation Breeding Center of Haryana Forest Department has
been recognised as the first center of its kind in Asia and is poised for major contribution
in the conservation of these threatened species.

Vultures are nature’s most efficient scavengers. Nine species of vultures are found in
India of which five belong to genus Gyps. All the species of vultures are scavengers and
are commensal of man. Their occurrence in extremely high density is attributed to the
12
Figures from Haryana Forest Department’s website.
13
Supra
Emerging Urban Models 823

availability of abundant food supply due to the primitive method of carcass disposal. All
of them have successfully exploited the vast food resources created by man by extensive
dairy farming. The carcasses of livestock form the principal food for vulture and are now
mostly dependent on human activities for the food.

These extremely efficient scavengers can finish off a carcass of adult cattle, in a matter
of about 20 minutes. The vultures were keeping the environment clean in India in the
absence of any effective carcass and slaughterhouse waste disposal system and hereby
have prevented outbreak of epidemics by cleaning the carcasses before they could rot
and putrefy. A population crash of vulture could cause a dramatic increase in epidemics,
as carcass and waste disposal system has remained more or less unchanged.

The dramatic vulture declines observed across India present a whole range of threats
both ecologically and to human health. The absence of such important scavengers will
almost certainly influence the numbers and distribution of other scavenging species for
example as vultures have declined, feral dog populations have been reported to have
increased massively, with over 1000 observed recently at a carcass dump in Rajasthan.
This could pose many associated disease risk to humans and wildlife, such as rabies.

b) House Sparrow Conservation

Universally familiar in appearance, the widespread and once abundant house sparrow
has become a mystery bird and is becoming increasingly rare all over the world. Perky
and bustling, house sparrows have always been seen, mingling with finches in the fields
in autumn and winter, but now weeks pass without a single one putting in an appearance.

The House Sparrow (Passer domesticus) is a member of the old world sparrow family
Passeridae. Sadly, house sparrows, that have been a part of our city culture are fast
vanishing from many big cities, but are still not uncommon in small towns and villages.
India has seen a massive decline of house sparrows14 in recent years. On the world map
too. Once a commonplace bird in large parts of Europe, its numbers are decreasing. In
the Netherlands, the House Sparrow is even considered an endangered species. Their
recent decline has earned them a place on the Red List15 in the Netherlands. Similar
precipitous drops in population have been recorded in the United Kingdom. French
ornithologists have charted a steep decline in Paris and other cities. There has been an
even sharper fall in the urban areas in Germany, the Czech Republic, Belgium, Italy and
Finland.

Urbanisation has done away with home gardens, which had worms and insects for the
young sparrows. But pesticides have proved lethal for their survival. The most recent
reason for their disappearance is the mobile phone towers. The waves from the tower
are capable of destroying the life in the eggs. Thereby, they are incapable of hatching.
14
House Sparrows are a part of the Sparrow family. Sparrow family has over 250 varieties of Sparrows.
The sparrow birds generally found in cities are called ‘House Sparrows’.
15
IUCN Red List, Netherland’s Chapter. Appearance of a species’ name in the Red List denotes that it is
a ‘Threatened Species’.
824 Urban Development and Environment Protection Mechanisms

Many reasons could be cited for House sparrow population decline like introduction of
unleaded petrol, the combustion of which produces compounds such as methyl nitrite,
a compound highly toxic for insects. Widespread use of garden pesticides, which kills
insects that are the vital diet of new-born sparrows, disappearance of open grasslands,
rising temperature and avian-unfriendly modern architecture have also grievously harmed
the sparrows. Unscientific proliferation of mobile phone towers has also, in recent times,
emerged as a major factor in the decline of house sparrow population. Mobile towers
emit a frequency of 900-1800 MHz, continuous penetration of EMR (electromagnetic
radiation) through the body of birds would affect their nervous system and their
navigational skills. They become incapable of navigation and foraging. The birds which
nests near towers are found to leave the nest within one week.
The house sparrow is an intelligent bird that has proven to be adaptable to most situations,
i.e. nest sites, food and shelter, so it has become the most abundant songbird in the
world. Sparrows are very social birds and tend to flock together through most of the
year. A flock’s range covers 1.5-2 miles, but it will cover a larger territory if necessary
when searching for food. The sparrow’s main diet consists of grain seeds, especially
waste grain and livestock feed. If grain is not available, its diet is very broad and
adaptable. It also eats weeds and insects, especially during the breeding season. The
human dependent nature of the house sparrow is quite evident as they are avid seekers
of garbage tossed out by humans. In spring, flowers (especially those with yellow colours)
are often eaten, crocuses, primroses and aconites seem to attract the house sparrow
most. The birds also hunt butterflies.
House sparrows are generally attracted to buildings for roosting, nesting and cover. They
look for any man-made nook or cranny to build their nests. Other nesting sites are
clothesline poles with the end caps open, lofts, kitchen garden etc. The sparrow makes
its home in areas closely associated with human habitation.
In India, House sparrows are popularly known as Goraiya in the Hindi belt. In Tamil Nadu
and Kerala, it is known as Kuruvi. Telugu language has given it a name, Pichhuka,
Kannadigas call it Gubbachchi, Gujaratis call it Chakli whereas Maharashtrians call it
Chimani. It is known as Chiri in Punjab, Chaer in Jammu and Kashmir, Charai Pakhi in
West Bengal, and Gharachatia in Orissa. In Urdu language, it is called Chirya while Sindhi
language has termed it as Jhirki.
The nesting sites of the birds are varied - in holes in buildings or rocks, in ivy or creepers,
on houses or riverbanks, on sea-cliffs or in bushes in bays and inlets. When built in holes
or ivy, the nest is an untidy litter of straw and rubbish, abundantly filled with feathers.
Large well-constructed domed nests are often built when the bird nests in trees or
shrubs, especially in rural areas. The House Sparrow is quite aggressive in usurping the
nesting sites of other birds, often forcibly evicting the previous occupants, and sometimes
even building a new nest directly on top of other active nests with live nestlings. Eggs
are variable in size and shape as well as markings. Eggs are incubated by the female. The
sparrow has the shortest incubation period of all the birds, 10-12 days, and a female can
lay 25 eggs each season.
Emerging Urban Models 825

Today one misses the sight of sparrows hopping from branch to branch in the bushes
outside one’s house and their chirping. One is taken back to well-known Hindi Writer
Mahadevi Verma’s Story ‘Goraiya’ - eating grains from her hands, jumping on her shoulders
and playing hide and seek. Today one wishes that the Goriya does not remain confined
in the pages of Mahadevi Verma’s story but comes back to our cities as ever before.

The lack of awareness on the various sparrow species and its habitat is probably the
biggest bottleneck that is hindering the conservation of sparrows. An effort known as
‘World House Sparrow Day’ is organised every year aimed at raising public awareness
regarding the conservation of sparrows. The first World House Sparrow Day (WHSD) held
on March 20, 2010 can be best described as a campaign by the common man, for the
common man and of the common man to save a common species from the brink of
extinction. The effort was motioned under the leadership of Mr. Mohhamad Dilawar, a
scientist and former lecturer in Environmental Studies.

The WHSD was conducted without any financial help or assistance from any government
or non-governmental agency by Nature Forever Society in collaboration with the BNHS,
Eco-Sys Action Foundation (France), Avon Wildlife Trust (UK) and numerous other national
and international organisations across the globe. It became a people’s movement to
give voice to a bird that will remain etched in the minds of people across their world for
their proximity with humans once upon a time. The event was promoted entirely with
the help of a website16 and groups such as the World House Sparrow Day, House Sparrow
and Nature Forever Society on the social networking sites like Facebook.
In New Delhi, Hon. Chief Minister Dr. Sheila Dikshit inaugurated the World House Sparrow
Day that was attended by representatives from the government and non- governmental
organisations, leading environmentalists, researchers and nature lovers. Delhi Chief
Minister, Dr. Sheila Dikshit announced that the Delhi administration would initiate a
campaign to save house sparrows in Delhi by reviving native plants and hedges which
support the birds.
As part of the WHSD celebrations in the UK, people in Bristol recorded house sparrow
sightings and wrote blogs about their sparrow experiences and shared their theories
about the decline. Avon Wildlife Trust organised “A Festival of Feather” to encourage
people to build and put up house sparrow terraces. Environmentalists made presentations
about the plight of house sparrows at the Bristol Zoo Gardens.
In Italy, Lega Italiana Protezione Uccelli (LIPU), an environmental organisation and Bird
Life International, a global alliance working for the conservation of birds, organised a
conference titled “SOS Passeri. Giornata mondiale dei Passeri indicatori ambientali della
qualita urbana.” ECO Task Force, a students’ body of the Patna Women’s College, which
works for the cause of the environment, held a rally on the main thoroughfares of the
city and distributed more than 1,000 handbills to the general public. They scattered
bajra for sparrows and pledged to feed and provide water to the birds.

16
www.worldhousesparrowday.org
826 Urban Development and Environment Protection Mechanisms

At an event organised by Parijatham Trust in Chennai, more than 100 students from
different schools gathered to learn about house sparrow conservation. The students
sang House Sparrows songs, which were written by the poet Bharathiyar. A drawing
competition was also organised and students sketched house sparrows and other common
birds. The Government Middle School in Kothapurinatham, Puducherry, held an exhibition
of clay sparrow dolls made by the students under the guidance of their teacher Thiru.
S.Ilamourougane. They also made different types of nests for the sparrow and distributed
it among students. In Hyderabad, the Asian Wildlife Foundation (AWIFO) celebrated
WHSD at the Sanjeeviah Park on the bank of the Hussain Sagar. The Buddha Purnima
Project (Hyderabad Metro Development Authority) and the Forest Department were co-
sponsors of the event. The AWIFO conducted a photo and painting contest on the theme
“House Sparrow” for school students below 16. More than 70 students participated in a
programme organised by Kriya in East Godavari district of Andhra Pradesh. Students in
Manjoor Taluka in the picturesque Nilgiris took out a rally, organised by The Earth Trust,
to create awareness on the decline of the species and distributed pamphlets to more
than 700 people in the village.

Mission Green in Goa organised a common bird watching trip for nature lovers. A.M.K.
Bharos, the Indian Bird Conservation Network’s State Coordinator and leading
conservationist from Chattisgarh, made presentations to raise awareness on the need to
conserve the house sparrow. Conservationists expressed concern that a tribal community
in Bastar killed sparrows and consumed its flesh believing that it is an aphrodisiac.
Environmentalists urged the forest and other government agencies to initiate efforts to
stop the massacre of the innocent birds. Bhavani Child Development Center in Jaipur,
Rajasthan, a special school for children with learning disabilities, celebrated WHSD by
holding drawing competitions and creating awareness about house sparrows. Prakruti
Nature Club in Junagadh, Gujarat, explained to children how they can contribute to
conserving efforts. Karuna International in Junagadh celebrated the event for a week by
conducting workshops, debates, drawing and essay competitions. A field trip was also
organised to teach students to identify birds by sight as well as calls.

The students of Rangubai Junnare English Medium School in Nashik, Maharashtra,

celebrated WHSD by installing nest boxes and feeders for house sparrows in their school
campus. The Canine Group Association in Vadodara, Gujarat, distributed nest boxes and
carried out awareness campaigns in different parts of the city.

c) Tree Plantation and Promotion of Native Species

Everyone knows the benefits of tree plantation and afforestation. Come monsoon and
scores of people who feel obliged to their city will come out to participate in plantation
drives. But just planting any tree isn’t enough. Especially, the exotic ones (not native to
a particular place) have proved to be of little help in environment conservation.

Native plants are preferred over the ‘outside’ plants because they support the local
flora and fauna. They provide diverse habitats and food sources, unlike exotic species.
Exotic or introduced species of plants and trees are invasive and disturb the ecological
Emerging Urban Models 827

balance. They do not associate with local fauna and the eco-system. Besides they do not
support the local/native birds, insects or honey bees. For example, in Delhi, there is a
single Canary Island date palm tree (date palm tree which is a native of Canary Islands,
the tree can be seen on the Indian Women Press Corps lawns at 5 Windsor Place, Delhi)
but does not support the general biodiversity of the city. Similarly, in Pune, birds do not
nest in gulmohar trees as it is not a native tree of Pune. Also, honey bees do not visit
eucalyptus trees.

There have been various drives across the country to make people aware of the benefits
of planting not just trees but also to carefully choose native species. One such initiative
is by WWF-India. The organisation has been working on promoting nature conservation
and environmental protection across the country for over four decades now and through
its campaign known as ‘Adopt a Tree’ campaign which emphasizes the importance of
planting and protecting native tree species to restore the ecological balance of a region
and help conserve natural resources.

Adopt a Plant is an annual campaign that was first initiated in the Delhi region in the
year 2005. Since its launch, it has received tremendous positive response from individuals,
communities, corporate entities, schools, institutions, RWAs, civil society organisations
and Government offices that have actively participated and made the campaign a massive
success in Delhi. Encouraged by the progressive support received through the years from
different sectors, this year, we look forward to increasing the campaign’s reach across
other States as well.

Each year, Adopt a Plant campaign coincides with Van Mahotsav, the national annual
tree-plantation drive, celebrated in the first week of July. Under Adopt a Plant campaign
more than 3000 saplings of native tree species are distributed every year free of cost
with just a commitment in return - to nurture the sapling into a tree. Also, as part of this
campaign individuals and corporations are encouraged to adopt the existing fully grown
trees for their protection.

d) Protection of Urban forests and species

Restoring urban forests often involves eradicating exotic species and diligently guarding
against future invasions. Understanding how landscape structure contributes to the
distribution of exotic species may inform these management efforts. To date, the
distribution of exotic species in forested patches has been correlated with the type of
development surrounding the patch, with those surrounded by agricultural or urban
development often more highly invaded. Yet, previous studies have categorised land use
types and have not examined more local-scale changes in land use. These local changes
may be particularly important in urban areas where forested patches are immediately
surrounded by diverse land use types.

When restoring urban forests, attention should be paid to local land use to better plan
for successful, long-term eradication of exotic species. In this respect, WWF-India initiated
a campaign called ‘Cities for Forests’. This campaign is an annual national level campaign
828 Urban Development and Environment Protection Mechanisms

focusing on raising awareness about the intrinsic link between forests and human well-
being amongst the youth. WWF-India organises events across the country where some of
the best and most creatively depicted experiences are presented to key decision makers,
local politicians, experts, and advisors of your city’s government, to build positive political
pressure towards the need to protect forests around urban spaces.

The Cities for Forests campaign focuses on raising awareness about the intrinsic link
between forests and human well-being, with a primary focus on changing the perception
of youth all over the country. It encourages individuals to discover, visit and document
the forests that support their cities in innumerable ways, and share their findings on
their website17, which is an interactive platform to upload stories, pictures, presentations,
and videos about individual observations of the city’s forests and green spaces.

e) Protection of heritage buildings

India has an extraordinary, vast and diverse pool of cultural heritage and ancient
monuments in the form of buildings and other archaeological sites and remains. The
sheer number of these historic heritages is astounding. And the fact that these monuments
are the reminiscence of the living witnesses of the golden historic era of over a thousand
years and of the pre-independence battles, carry a special and a well-deserved respect
in the eyes of the Indians. They are the epitome of courage, stand testimony to the
evolution and are a symbol of cultural expressions.

The Archaeological Survey of India (ASI) describes ancient monument as “Ancient

Monument means any structure, erection or monument, or any tumulus or place of
interment, or any cave, rock-sculpture, inscription or monolith which is of historical,
archaeological or artistic interest and which has been in existence for not less than 100
years”. Some of these ancient heritages include The Taj Mahal, Agra; Qutub Minar, Delhi;
Tomb at Sikandara, Qutb Minar, Sanchi and Mathura; Ajantaa and Ellora Caves, Nasik,
Maharashtra; The Jantar Mantar, Delhi, Jaipur; The Red Fort, Delhi; The Charminar,
Hyderabad and others. There are about a thousand more such places spread all over
India. Also included are other palaces, forts, epigraphs, coins, drawings, architecture,
wells and sculptures.

Most of the sculptures in historic temples and tourist places have been damaged by
vandals and inscribed gold/silver/bronze idols have been taken out of the country, the
epigraphs are vanishing during construction of additional facilities in old temples and
mindless applying of fresh coat of paint during renovation. Some monuments have gone
missing due to encroachment, granite quarrying and construction of dwelling units near
the temples and collapse of fort walls.

For the maintenance of ancient monuments and archaeological sites and remains of
national importance, the ASI has divided the entire country into 24 Circles. The ASI has
a large workforce of trained archaeologists, conservators, epigraphists, architects and

17
www.citiesforforests.in
Emerging Urban Models 829

scientists for conducting archaeological research projects. Earlier, a lot of laws and acts
had been passed by the government to protect these monuments, but majority of them
were done on structures that were beneficial to the contemporary society. Also, the
work that was carried out had a dearth of funds, enthusiasm and awareness. Later the
‘Ancient Monuments and Preservation Act, 1904’ was passed with the prime objective to
ensure the proper upkeep and repair of ancient buildings in private ownership excepting
such as those used for religious purposes. Under this programme, the conservation work
is carried out in three main broad categories

♦ Chemical Preservation - The ASI’s Science Branch is responsible mainly for the
chemical conservation treatment and preservation of some three thousand five
hundred ninety three protected monuments besides chemical preservation of
museums and excavated objects countrywide. The main aim of the Science Branch
includes - Material deterioration process, basic studies of intervention technologies,
basic studies on materials and diagnostic technologies.

♦ Structural Conservation - The workers in the field are acquiring cumulative knowledge
of several generations and gaining expertise on the ways to improve and stabilise
the structures by maintaining their pristine looks. The structures are given additional
strength and reinforced to undo the harms done by pollution, acid rains and other
chemicals over the years. The foundations are so improved so as to make these
structures natural-disasters resistant.

♦ Contemporary Awareness Programme - The citizens of India in general and students

in specific are being roped in by the government to spread awareness and advertise
about the preservation of the heritage. Many seminars are being organised every
year where the students are lectured not only about the basic steps each can take
individually on this issue but also are made familiarised with the amount of money,
time, expertise and labour that goes into protecting these structures via chemical
and other methods.

One voluntary organisation working toward protection of heritage structures in India is

The Indian National Trust for Art and Cultural Heritage (INTACH). INTACH is an autonomous
non-governmental Indian NGO that seeks to preserve Indian Art and Cultural heritage. In
2007, the United Nations awarded INTACH a special consultative status with the United
Nations Economic and Social Council. INTACH is the only non-governmental Indian NGO
working for the awareness and conservation of Indian culture and heritage. Among the
tasks undertaken by INTACH are restoration of monuments and their management;
advocacy for heritage property conservation; public awareness through heritage walks
and buses; establishment of heritage clubs in schools; and holding of awareness workshops
for teachers of schools and colleges and for the guides at various heritage sites.

Over the years, INTACH has taken up restoration and protection of hundreds of monuments
that fall outside the coverage of the Archeological Survey of India and other government
agencies, and at times, local authorities hand over the upkeep and restoration of heritage
structures to INTACH directly.
830 Urban Development and Environment Protection Mechanisms

INTACH has established chapters not only within India but also outside it. It now uses
funds mobilised by its international chapters in Belgium, the United Kingdom and the
United States, to take up restoration, conservation and protection projects of historical
structures and heritage buildings across India. After developing Raghurajpur, Orissa, a
place famous for its master ‘Pattachitra’ artists and ‘Gotipua’ dance troupes as a heritage
village, which has now become a major rural tourist destination, it later used the same
pattern to develop Padmanabhpur village, Ganjam district, Orissa, famous for its weavers
and folk dancers, into another heritage destination.

In 2007, the government of Goa signed a memorandum of understanding (MoU) with

INTACH for restoration, conservation and maintenance of 51 officially listed heritage
and cultural monuments in the state. This includes the restoration and conservation of
the 16th century Reis Magos Fort in Goa. Further in 2008, INTACH signed a memorandum
of understanding with the Government of Delhi for the conservation of 92 monuments in
Delhi, in the preparation of the Commonwealth Games 2010.

Apart from this organisation, efforts can be made to preserve cultural heritage of India
at a local level. Some of the steps that we as individuals/communities can follow to do
our share in their protection are -
♦ Prevent ourselves and others from scribbling on the walls.
♦ Participating in the regular Cleanliness Drives.
♦ Being a part of the ‘Adopt a Heritage’ initiative
♦ Spreading awareness around about these monuments and their importance.
In today’s competitive world, we have to preserve the monuments and showcase them
to the next generation as the contributions or achievements of our ancestors. A little
effort on our side can create drastic changes that will make the past, the present and
the future generations of the country and the world proud of India.

42.6 References and Recommended Readings

Bloom, David E. and Tarun Khanna, The Urban Revolution, Finance and Development,
September 2007, IMF.
Brown, Courtney, Director, Humanitarian Assistance, 21st Century Urban Disaster, CHF
International Publications, 2012.
Chattopadhyay, Basudha, Sustainable Urban Development In India: Some Issues, 2004.
National Conservation Strategy and Policy Statement on Environmental Degradation,
1992. Newsletter from JICA-India office, issue 15, JICA.
Emerging Urban Models 831

UNIT 43
CHALLENGES AND
IMPLICATIONS
Contents
43.1 Introduction 831
43.2 Public Private Partnerships 833
43.3 Methodology of Data Collection GIS 838
43.4 Some Best Practices 840
43.5 The Modern Metropolis - New Directions for Planning 842
43.6 Conclusion 844
43.7 References and Recommended Readings 845

43.1 Introduction
An urban setting that allows for different economic activities to have a legitimate space
- big businesses, small enterprises, small home-based manufacturing and processing
units and informal economic activities. In many areas, such a setting allows for a co-
existence of residential and work spaces.

An ideal model of urban development should be characterised by locally initiated

residential and commercial development, alongside centralised infrastructure planning
- involving roads, water-supply and drainage. Secondly, it should incorporate
environmental conservation. Thirdly, it must focus on infrastructure development and
relying on community self-determination. Such a model is most sustainable at the level
of the city since it will minimise the “slum spill-over effect” (i.e. creating new slum
pockets elsewhere in the city). Such a model is needed for infrastructure development
(roads, water, electricity, sewage), not only at the level of city’s master plan but also at
the local development level, i.e. at the local level of existing communities and nagars/
municipalities.

Now, when we talk about ideal models of urban development, we are also posed with
questions regarding not just the theories of social and infrastructural development in an
urban area but also with the urban typology. Typology (in urban planning and architecture)
is the taxonomic classification of (usually physical) characteristics commonly found in
buildings and urban places, according to their association with different categories,
832 Urban Development and Environment Protection Mechanisms

such as intensity of development (from natural or rural to highly urban), degrees of

formality, and school of thought (for example, modernist or traditional). Individual
characteristics form patterns. Patterns relate elements hierarchically across physical
scales (from small details to large systems).

The following is an example of a set of characteristics with typological associations

Single-family residences set well back from a street on large lots (say, one-fifth acre to
two or more acres) and surrounded by mowed lawns with naturalistic ornamental plantings
of trees and shrubs are associated typologically with North American suburban places.

Single-family residences that come all the way forward on an individual lot so that the
front of the building is co-incident with front lot line, or which are set back only a few
feet to accommodate a light well or front entry stoop, are associated typologically with
highly urbanised places in North America.

Another important issue is of Urban morphology. Urban morphology is the study of the
form of human settlements and the process of their formation and transformation. The
study seeks to understand the spatial structure and character of a metropolitan area,
city, town or village by examining the patterns of its component parts and the process
of its development. This can involve the analysis of physical structures at different
scales as well as patterns of movement, land use, ownership or control and occupation.
Typically, analysis of physical form focuses on street pattern, lot (or, in the UK, plot)
pattern and building pattern, sometimes referred to collectively as urban grain. Analysis
of specific settlements is usually undertaken using cartographic sources and the process
of development is deduced from comparison of historic maps. Special attention is given
to how the physical form of a city changes over time and to how different cities compare
to each other. Another significant part of this subfield deals with the study of the social
forms which are expressed in the physical layout of a city, and, conversely, how physical
form produces or reproduces various social forms.

Urban morphology is also considered as the study of urban tissue, or fabric, as a means
of discerning the underlying structure of the built landscape. This approach challenges
the common perception of unplanned environments as chaotic or vaguely organic through
understanding the structures and processes embedded in urbanisation.

Urban planners are looking for the ideal density in which cities can keep open spaces,
sun lightning, normal building scale and many other important issues. The questions that
now arise are whether by morphology can we reach that ideal urban typology? Is it
through building towers and high buildings, or is it through inventing new urban typologies
which try to keep the quality of low density when living in a high density city? Secondly,
what are the main elements of this quality? Can we define them? Can we say that
without public spaces the city will remain the same?

The relationship of the typology of built form and density is very interesting. There are
a whole range of high/medium/low rise built forms and high/medium /low densities.
While the high rise tower may appear to have high rise-high density, one needs to really
Emerging Urban Models 833

check if it is so. At the same time, there are creative possibilities of generating urban
form with low rise-high density which was the norm in our traditional habitat.

The urban blocks with central open-spaces and surrounding streets are one of the most
successful urban type, which has been used since time immemorial. The courtyard house
was the source of inspiration for this urban type. One can find the use of the same in
many a traditional /modern / post-modern projects. Some examples are cities of Berlin,
Barcelona, Baghdad, Mumbai, Delhi, Lahore and many cities around the world. Urban
planners and policy makers need to creatively evolve this type of urban model to provide
a hierarchy of urban spaces to make our cities more humane.

43.2 Public Private Partnerships

Ensuring quality urban services to the large, growing urban population is crucial to
realising India’s vision of urban development. Infrastructure development at this scale
would require huge resources and it was not feasible for the government alone to fund
the total required infrastructure investment. This is where the Public-Private-Partnership
(PPP) model for urban development comes to play.

PPP is the best suited approach for the infrastructure sector. It is imperative that new
avenues for increasing investment in infrastructure through a combination of public
investment, PPPs and exclusive private investment wherever feasible, are explored in
the urban infrastructure development sector. PPP supplements scarce resources, creates
a more competitive environment and helps improve efficiencies and reduce costs.

Unfortunately, as of today, the urban infrastructure sector has witnessed the least amount
of progress regarding PPPs in India. PPPs are useful only if they ensure quality supply at a
reasonable cost stressing the need for the establishment of independent regulatory
bodies with an appeal mechanism.

Policies for strengthening PPPs in India

India has already witnessed considerable growth in PPPs in the last one and half decade.
It has emerged as one of the leading PPP markets in the world, due to several policy and
institutional initiatives taken by the central as well as many state governments.
Government of India has set up a Public Private Partnership Appraisal Committee to
streamline appraisal and approval of projects. Transparent and competitive bidding
processes have been established. To provide a broader cross-sectoral fillip to PPPs,
extensive support has been extended through project development funds, viability gap
funding, user charge reforms, provision of long tenor financing and refinancing as well
as institutional and individual capacity building. PPPs are now seen as the preferred
execution mode in many sectors such as highways, ports and airports. Increasingly, PPPs
are being adopted in the urban sector and in social sectors. Over the years, an elaborate
eco-system for PPPs has developed, including institutions, developers, financiers, equity
providers, policies and procedures.
834 Urban Development and Environment Protection Mechanisms

The growing PPP trends, especially in the last decade, justify the need for a broad policy
framework that sets out the principles for implementing a larger number of projects
across diverse sectors to complement the inclusive growth aspirations of the nation. In
this respect, the government has come up with different PPP policies to facilitate and
streamline PPP in India. Let us examine the same

A) Draft National Public Private Policy, 2011

The National PPP Policy seeks to facilitate this expansion in the use of PPP approach,
where appropriate, in a consistent and effective manner, through
i) Setting out the broad principles for pursuing a project on PPP basis;
ii) Providing a framework for identifying, structuring, awarding and managing PPP
projects;
iii) Delineating the cross-sectoral institutional architecture and mechanisms for
facilitating and implementing PPPs.
iv) Standardising some of the vital interpretations and processes of PPP so that a clear
and consistent common position is adopted in key issues.
v) Identifying the next generation issues to mainstream, upscale, broaden and expedite
PPPs.
The Policy aims to assist the Central and State government agencies and private investors
seeking PPP opportunities in
i) Undertaking PPP projects through streamlined processes and principles;
ii) Ensuring that a value-for-money rationale is adopted with optimal risk allocation
in project structuring with life cycle approach;
iii) Developing governance structures to facilitate competitiveness, fairness and
transparency in procurement; and
iv) Attaining appropriate public oversight and monitoring of PPP projects.
Defining PPPs
According to Section 1.1 of Draft National Public Private Policy, 2011, PPP is defined as,
‘Public Private Partnership means an arrangement between a government / statutory
entity / government owned entity on one side and a private sector entity on the other,
for the provision of public assets and/or public services, through investments being
made and/or management being undertaken by the private sector entity, for a specified
period of time, where there is well defined allocation of risk between the private sector
and the public entity and the private entity receives performance linked payments that
conform (or are benchmarked) to specified and pre-determined performance standards,
measurable by the public entity or its representative’.1

1
Section 1.1, National Public Private Policy 2011, Draft for Consultation.
Emerging Urban Models 835

As per Section 1.2. The essential conditions in the definition are as under
i) Arrangement with private sector entity: The asset and/or service under the
contractual arrangement will be provided by the Private Sector entity to the users.
An entity that has a majority non-governmental ownership, i.e., 51 per cent or
more, is construed as a Private Sector entity.
ii) Public asset or service for public benefit: The facilities/ services being provided are
traditionally provided by the Government, as a sovereign function, to the people.
To better reflect this intent, two key concepts are elaborated below
a) Public Services are those services that the State is obligated to provide to its citizens
or where the State has traditionally provided the services to its citizens.
b) Public Asset is that asset, the use of which is inextricably linked to the delivery of
a Public Service, or, those assets that utilise or integrate sovereign assets to deliver
Public Services. Ownership by Government need not necessarily imply that it is a
PPP.
B) Public Private Partnership (Preparation, Procurement and Management) Rules,
2011- Draft For Consultation
In the past decade, the Department of Economic Affairs (DEA), Ministry of Finance, GoI
had issued detailed guidelines for selection of consultants, developers for PPP projects
and private Partners for disinvestment, etc. In order to provide more transparency in
the bidding process, these guidelines, in the year 2007 were adopted by the government
with certain modifications. It was further clarified by DEA that financial support to PPP
projects in infrastructure projects shall be granted under the Viability Gap Funding
(VGF) scheme subject to being in conformity to its guidelines.
Pursuant to the decision on the recommendations of the Committee on Public
Procurement, a Committee has been constituted in the Department of Economic Affairs
to formulate the Rules for PPP projects, including rules for regulating expenditure,
appropriation of revenues, contingent liabilities, etc. in PPP projects and proposed
delegation of powers in this regard.
Department of Economic Affairs, Ministry of Finance has prepared the draft Public Private
Partnership (Preparation, Procurement and Management) Rules 2011, and issued it for
discussions to give more impetus on transparency and conformity defining duties and
responsibilities at each stage of implementation of projects. These exhaustive rules on
bidding process, monitoring of projects during and after implementation and on audit
procedures, are proposed to be applicable on all projects undertaken by Government of
India and projects of State Government or of its authorities or Corporations etc. barring
projects of few Ministries.

Some of the very important highlights of draft PPP rules are as under
1) It involves qualitative and quantitative assessments to ascertain the Value for
Money.
836 Urban Development and Environment Protection Mechanisms

2) The Contracting Authority has been made responsible for ensuring the interests of
landowners under the extant of laws.
3) In very complex PPP projects, a new stage known as Request for Technical Proposal
between RFQ and RFP, and Competitive Dialogue system, has been incorporated for
assessment of technical qualification of developer and to establish project objectives.
4) A provision of appointment of an Independent Monitor is made to ensure the
transparency in bidding process. However, it may not be practically possible as in
some states existing Bid Evaluation and Consultant Evaluation Committees are being
headed by fairly senior government officers of the state.
5) It is proposed that bid security amount shall not be more than one per cent of
estimated project value.
6) One applicant can submit only one application either individually or as a member of
consortium.
7) Negotiations with the Bidder are strictly prohibited except in case of sole bid to get
better terms.
8) Suitable provision for exit strategy for continued service delivery projects are
required to be made in concession agreement.
9) A data bank to deal with dissemination of information following in-principle approval,
signing of the Concession Agreement, after Financial Close, during Construction and
Operations Phase and following Termination of the Concession Agreement shall be
created.
10) An Approach to audit has been formulated and provision of constitution of Contract
Management Team (CMT) and Empowered Review Cell (ERC) to deal with the activities
related to Post Award Project and Contract Management, has been made with clearly
defining their duties.
11) A code of conduct for officers or employees of the Contracting Authority shall be
documented and implemented.

It is evident from the above, that implementation of these exhaustive rules would give
new dimension to the PPP projects.

C) India Infrastructure Development Fund (IIDF)

Infrastructure sector is a focus area for the Government of India and it needs huge
investments over the next five years. A significant number of PPP projects across various
infrastructure sectors are being offered to the private developers. Recognising this
potential, UTI Asset Management Company Ltd. (UTI AMC) decided to set up this fund
mainly with a view to channelise funds from offshore investors.
UTI AMC has set up of India Infrastructure Development Fund (IIDF), an infrastructure
focused, private equity fund. The fund has a corpus of USD 500 million. The fund is being
Emerging Urban Models 837

set up in association with two off-shore partners’ namely HSH Nordbank, (HSH) Germany
and Noor Financial Investment Company, Kuwait.

HSH Nordbank is organised under the laws of Germany in the form of a German stock
corporation and has twin headquarters in the cities of Hamburg and Kiel. The major
shareholders of HSH Nordbank AG include the State of Schleswig-Holstein and the Free
and Hanseatic City of Hamburg. HSH Nordbank is a leading financier in the Transportation
sector especially in shipping, aviation and other transport related infrastructure projects.
It is also the largest financier of Ships in the world. HSH has global business interests and
in India, it has participated in debt financing of Delhi Airport modernisation.

Noor is the financial arm of NIG Group, which is one of the leading conglomerates in the
Middle East having diversified business interests both in Kuwait and in other international
locations. Noor is engaged in investment activities and financial services primarily in
Kuwait, the Middle East, Asia, and other emerging markets. Noor has wide experience in
managing alternate assets in the infrastructure space, both in Kuwait and in other
International markets. Noor is also shareholders in a number of leading companies in
Kuwait including Kuwait Finance House, the 2nd largest Islamic Bank in the world.

For managing the fund, UTI AMC has created a dedicated team with combined experience
of over seventy-five years. The fund will invest in unlisted companies engaged in
infrastructure sectors like roads, ports, power, logistics, airports, energy and other core
infrastructure sectors in India.

The fund has already made an investment in a City Gas Distribution project.
UTI AMC is the Investment Manager of UTI Mutual Fund, a SEBI registered mutual fund
whose Sponsors are State Bank of India, Punjab National Bank, Bank of Baroda and Life
Insurance Corporation of India. As of June 2009, UTI Mutual Fund has assets under
management (average) of Rs.67978.18 crore and investor accounts of over 9.70 million
under its 78 domestic schemes.

Guidelines for appraisal/approval procedure to be followed for Central Sector PPP projects
are provided below:
1. Procedure for formulation, appraisal and approval of Public Private Partnership
(PPP) Projects costing less than Rs.100 Crore:
Detailed procedure to be followed for appraisal / approval of PPP projects involving
less than Rs. 100 crore is specified in the Guidelines for formulation, appraisal and
approval of Public Private Partnership (PPP) Projects costing less than Rs.100 Crore.
2. Procedure for formulation, appraisal and approval of Public Private Partnership
(PPP) Projects:

1) Projects costing more than Rs. 100 Crore (except Ports and NHDP, where the
delegation of powers have been amended – refer point number III below) (OM 1/
5/2005-PPP dated January 12, 2006)
838 Urban Development and Environment Protection Mechanisms

PPP Projects in the Central Sector with a cost exceeding Rs.100 crore or where
the value of underlying assets is more than Rs.100 crore (except Ports and NHDP
projects) require Public Private Partnership Appraisal Committee (PPPAC)
appraisal/approval. On recommendation by PPPAC and after CCEA approval,
the projects can be bid out.
The PPPAC comprises of the following:
a) Secretary, Department of Economic Affairs (in the Chair);
b) Secretary, Planning Commission(now CEO Niti Aayog);
c) Secretary, Department of Expenditure;
d) Secretary, Department of Legal Affairs; and
e) Secretary of the Department sponsoring a project
2) Two Member Appraisal and Approval Process-PPP Projects costing more than
Rs.100 crore and less than Rs.250 crore. (except Ports and NHDP, where the
delegation of powers have been amended – refer point number III below)

The Cabinet Committee on Economic Affairs (CCEA) in its meeting of March 22,
2007, approved modification in approval procedure for Public Private Partnership
(PPP) projects (OM 10/3/2006-Infra dated July 24, 2007).

Pursuant to the decision of the CCEA, a Committee for appraisal of PPP projects
of all sectors of cost greater than Rs. 100 crore but less than Rs. 250 crore has
been set up comprising of the following:
a) Secretary, Department of Economic Affairs
b) Secretary of the Ministry/Department sponsoring the project.
Detailed process and guidelines are given here (OM 10/3/2006-Infra dated July
24, 2007)

3) NHDP and Ports

There have been revisions in the delegation of powers for appraisal and approval of
NHDP projects, including discontinuation of the Two-member Committee and revision
in the threshold limit of project cost for the requirement of PPPAC appraisal and
CCEA approval. In November 2015, the CCEA decided that only those NHDP projects
with Civil Construction Cost above Rs. 1000 crore would need PPPAC appraisal and
CCEA approval

43.3 Methodology of Data Collection: GIS

Computing devices have been used in public planning for 100 years. Hermann Hollerith
invented the punched card machine at the turn of the century for the US Population
Census, and this eventually led to the formation of the world’s largest computer company,
Emerging Urban Models 839

IBM. Once the digital computer was developed half century later, applications in public
planning and management became widespread. By the mid- 1950s, population and
transportation data were being processed by computers and these were quickly followed
by various simulation modelling efforts.

By the late 1960s, urban data management systems were being widely implemented by
public agencies for a variety of routine and less routine management and strategic
planning functions. The top-down approach based on remote, large-scale, database
computing has been replaced by a much more personal computing style in which graphical
display of urban data now provides the focus.

This bottom-up style is largely a consequence of changes in computing technology. Once

the microprocessor was invented, the path to miniaturisation and personalisation was
set and as the cost of memory fell dramatically, more and more applications involved
graphical computing. Geographic information systems (GIS) are an obvious application
but the way computers are being accessed and results displayed is now largely graphic
- witness the widespread dissemination of recent Windows-based software - and this has
led to a sea change in the way computers are being applied in planning.

There has also been a change in types of applications over the last 20 years. There is now
much more emphasis on data than on modelling, on routine applications for management
rather than the more grandiose applications to strategic planning which dominated the
1950s and 1960s. This is reflected as much in the way planning is now perceived in its
current role in advanced (post) industrial societies, as in the way the technology has
changed.
These changes can even be detected in the development of GIS. 20 years ago, the early
beginnings of GIS were as an adjunct to strategic planning, particularly in landscape and
resources management. Software vendors such as ESRI and ERDAS began this way while
companies such as Intergraph came directly from computer-aided design (CAD). In the
last 10 years, the emphasis has shifted to graphic display, the representation of spatial
data, and its manipulation in quite straightforward ways. In terms of planning and problem-
solving processes, to date there has been very little emphasis on formal analysis, simulation
and modelling and hardly any at all on design and decision-making aids. However, this
picture is changing and new functions are being slowly added.
In the next 10 years, however, the use of computers in planning will clearly be affected
by developments in computer use in general - across networks based on decentralised
interaction between users - and it is likely that we will see a much greater emphasis on
informal decision-making using computers interactively.
Computers have been applied in urban planning almost since their inception, but only
recently with the development of graphics, distributed processing, and network
communications has software emerged which can now be used routinely and effectively.
At the basis of these developments are geographic information systems (GIS) but gradually,
these are being adapted to the kind of decision and management functions that lie at
the heart of the planning process.
840 Urban Development and Environment Protection Mechanisms

Current developments in urban planning show what is now possible in the development
of spatial decision support systems (SDSS), and planning support systems (PSS). There
have been proposed future developments in decentralised decision-making which will
dominate the field in the next decade. Methodology for data mining an urban Geographic
Information System (GIS) data set, consists of three main phases
a) representation,
b) analysis, and
c) description
This methodology is demanding in the preparation phase and requires a high level of GIS
and statistics expertise in the analysis phase. However, it successfully addresses the
complex multi-scale and multi-level nature of cities in a systematic way, providing a
tool for systematic profiling of neighbourhoods, which is site and problem specific.

43.4 Some Best Practices

The early city planning models are witnessed in Indus civilisation, Mesopotamia, Greece
and Rome. Cities began to emerge in Mesopotamia (modern Iraq) around 4500 years ago.
Ur, the capital of ancient Sumeria, was the world’s first city. It supported a complex and
sophisticated society.

The ancient ‘ideal city’ - typified by Athens in the 5th century BC and imperial Rome
(c100 BC - c400 AD) - was not planned. Athens grew from its focal point, the acropolis,
which became the ceremonial centre of the city-state, decked with temples including
the Parthenon. These temples, and other civic buildings of the ancient Greek world,
defined the architectural style known as ‘classical’. Below the acropolis was the agora or
central market and community space for the citizens of Athens.

While Athens was an organic city2, there were some planned towns in the ancient world.
Priene, in Asia Minor, was a town planned to fit a hilltop site.

Ancient Rome grew from a settlement founded in around 700 BC on seven hills near the
Tiber river. Its Capitol had a similar function to the Athenian acropolis. And its forums,
with temples, baths, basilicas and colonnades were places for business and recreation.
Many of these buildings were in the classical style copied from Greece.

Unlike Rome itself, many cities and towns of the Roman Empire were planned, but
mainly as military camps. They featured a grid with a forum at the centre and baths,
basilicas, amphitheatres and markets.

2
Humans have built towns and cities for thousands of years. A cluster of huts, a camp by a river, a
citadel on a commanding height - numerous places like these have grown organically into permanent
settlements. With streets and housing following the contours of the land, many of these organic cities
were charming. Others were overcrowded and unsanitary, failing to provide enough sunlight or fresh
air. Some made poor use of their sites or outgrew them.
Emerging Urban Models 841

- Classical revival through the ages

Ancient Athens and Rome have inspired waves of ‘classical revival’
♦ the Renaissance (15th century)
♦ the Baroque style (17th century)
♦ the Georgian style (18th century)
♦ the City Beautiful movement (19th and 20th centuries)
Much civic architecture in the Western world is in the classical style. The National
Library of Australia is a modern version of the Parthenon in Athens.

- Renaissance and Baroque styles

During the Renaissance (broadly, the 15th century), city-states dominated by powerful
rulers emerged in Italy. The papacy based in Rome in the Vatican City was one of
these. Florence was another.

- Rome
Rome had fallen into decay, and the Church needed to restore the faith of the
people in its mission. From the 1470s, several popes began to remodel Rome. They
aimed to glorify the Church and the papacy, and enable pilgrims to move more
easily within the city. They adopted straight axial streets terminating in vistas
marked by columns, obelisks, fountains and views of grand buildings.
The most ambitious pope was Sixtus V (1585-90). His plan was to cover Rome with a
network of straight streets and mark their intersections by obelisks. His legacy to
Rome is a classic example of Baroque planning.
The architect Leon Battista Alberti (1404-72) redesigned Rome’s water supply. By
1600 it was the best of any city in Europe. The Baroque remodelling of Rome
culminated in the colonnade for St Peter’s Basilica by Giovanni Lorenzo Bernini
(1598-1680).

- Florence
The architect Giorgio Vasari (1511-74) remodelled Central Florence. He created a
dramatic vista towards the Uffizi Palace and placed statues at the end of axial
streets.

- London
Baroque Rome inspired John Evelyn and Christopher Wren in their plans for a new
urban form for London after the Great Fire in 1666.

- Versailles
Louis XIV’s Palace of Versailles (built 1668-74), with its famous gardens by Andre le
Notre, had bisecting land and water axes that created impressive vistas. It inspired
842 Urban Development and Environment Protection Mechanisms

Pierre L’Enfant when he designed Washington DC as the new capital of the United
States of America in 1791.

- Paris
When Baron Haussmann reordered Paris between 1853 and 1869, he also looked back
to Versailles for inspiration. By 1870, Paris was the ‘wonder of the world’. Haussmann
drove a network of boulevards through the city, straightened other roads, created
public squares, vistas and sites for important public buildings, and also made the
Bois de Boulogne and Bois de Vincennes into public parks.

43.5 The Modern Metropolis - New Directions for Planning

The modern profession of town planning mainly arose in response to the urban problems
caused by rapid industrialisation from the late 19th century. The rapid growth of towns
‘shook contemporary habits and concepts’3. Social reformers recognised the need for
corrective intervention to deal with the growth forces unleashed by modernisation.

Pioneering professionals often worked first in another built environment area like
architecture, surveying, engineering or landscape architecture. Planning was a chance
to exercise a distinctive overall spatial and social vision that drew on specialised inputs.

Town planners could either design entirely new urban areas (such as suburbs and garden
cities), or develop ways to reform and reorder existing ones to provide plenty of space
and light, clean water and adequate drainage (through urban renewal).
Early town plans concentrated on securing adequate provision for key urban needs
♦ housing
♦ commercial and industrial uses
♦ railways and roadways
♦ water, sewerage and energy supply
♦ open space and recreational areas
Each element of a well-planned urban environment would work alone and as part of the
whole. A town plan also had to be affordable, and to fit the designated site. The vision
of what the town or city could become was critical. The drawings produced were as
important as the vision itself.

Planning today retains its commitment to ideal urban environments, but has to work
within challenging political contexts. The task of reconciling competing development
and environmental goals in the interests of ‘sustainability’ usually falls to the planning
function in the government. Much attention is now directed at better managing existing
cities than creating completely new ones. Some important considerations for effective
urban planning are:
3
Benevolo, 1967.
Emerging Urban Models 843

Ideal industries
The squalor of industrial slums motivated some enlightened British employers to create
model villages and towns to provide better housing and living conditions for their workers.
Soap manufacturer William Lever created Port Sunlight near Liverpool, England. And
George Cadbury sponsored Bournville near his chocolate factory outside Birmingham.
These employers linked decent living conditions with industrial productivity, but their
communities also provided design ideas for others to follow and improve upon.

Legislating improvement
Recognition that frameworks were needed to ensure the orderly development of towns
and cities led to new planning laws. A variety of new rules covered issues such as land
use zoning, population density and building height limitations. Along with these ‘statutory’
regulations came detailed city studies with strategic recommendations. Scottish planner
Patrick Geddes is associated with the influential mantra of ‘survey-analysis plan’.

The skyscraper
Innovative construction methods changed the scale of urban development. The new
methods allowed high-rise buildings supported by steel frames rather than load-bearing
walls. The skyline of the central city changed dramatically. Futurists such as Swiss
architect Le Corbusier envisaged entire new cities as tower blocks in parkland settings.

Cities built for cars

The motor car also had a dramatic impact on the structure of modern cities and their
planning. New philosophies of road design emerged in the United States and Britain in
the early 20th century.
In 1906, the first limited access motorways appeared in New York with the Long Island
Motor Parkway (1906-11) and the Bronx River Parkway (1906-23).
In 1938, British policeman Alker Tripp refined the idea of the road hierarchy. The width
and capacity of a street would be determined by its traffic function - whether it was
catering for through-traffic, industrial or residential traffic.
Drive-in shopping
The motor car’s major impact was felt from the mid-1920s. In the United States, an
economic boom led to major retailers building department stores in the new suburbs. In
1923, the Country Club Plaza, one of the first automobile-oriented shopping centres,
opened in Kansas City. Another significant 20th-century development was the invention
of the enclosed climate-controlled shopping mall. The first - Southdale Shopping Centre
near Minneapolis - opened in 1956. These developments expanded the scale of planning
and highlighted the interrelationship of land use and transport development.

The megalopolis emerges

In the 1930s, the powerful New York municipal official, Robert Moses, developed the
Henry Hudson Parkway down the western side of Manhattan. As leisure parkways became
844 Urban Development and Environment Protection Mechanisms

urban freeways they helped to define a new dispersed and multi-cantered urban form.
Driven by rapid population growth after the Second World War, big cities sprawled and
often interconnected with each other to form what geographer Jean Gottman dubbed
‘megalopolis’. The growth pressures faced by western cities in the 20th century are now
being surpassed by Asian cities in the 21st century.

Sustainable Cities
A sustainable city should ideally be a very people-friendly city. It would be a city with
good public spaces and a city that is rather compact. It would be a city that really invites
people to walk and bicycle as much as possible. A good walking and cycling environment
with a good public realm is also a good environment for public transport, so there is an
important connection here as well. Strengthening public transportation will be essential
in the future, in order to become less dependent on private cars and also in order for the
city to become more people-friendly.

A further, definitive quality to stress is that we need to make sure that cities become
greener and that they have a substantial amount of vegetation, which can clean the air
and help cool the city. Certainly, a sustainable city would be quite green. I am also
aware that a sustainable city ought to have many green buildings as well. But, green
buildings alone do not create a sustainable city. You could place an endless number of
green buildings in Dubai, for example, and yet it would hardly ever become a sustainable
city, the way it looks now. It would only be a collection of sustainable buildings.

43.6 Conclusion
Urban regeneration is the attempt to reverse the decline of a city, by both improving the
physical structure, and, more importantly and elusively, the economy of those areas. In
all regeneration programmes, public money is used as an attempt to pump prime private
investment into an area.
Towards this initiative, over the past two decades, there have been an array of government
programmes that have been launched. Unfortunately, over the years later programmes
have tended to be quietly dropped or replaced. Because regeneration schemes often
take years to complete, by the time they have finished the government programme that
initially funded them has usually been replaced. This means that current programmes
are often confused with past projects.
One important trend has emerged over the years the earlier projects tended to focus on
physical regeneration, usually housing, whereas later programmes have attempted to
stimulate social and economic regeneration. More recently, much of the responsibility
for regeneration initiatives, especially economic regeneration, has switched to the new
regional development agencies. The schemes have also been given more cash and
flexibility to spend on regional priorities.
There are currently two main regeneration funds- the new deal for communities and the
neighbourhood renewal fund. But there are also a raft of other funding streams focused
Emerging Urban Models 845

on specific activities that used to help regeneration initiatives, such as funding for
alleviation of poverty and slums, cash for the education, employment and health action
zones, etc.

The main goal of these programmes is to reduce disadvantages in the poorest areas by
focusing on five issues unemployment, poor health, sanitation, crime and education.
Other issues such as improvement to the physical environment are secondary to these
main priorities.

A number of perennial questions remain about the effectiveness of regeneration schemes.

The important questions are that How can top-down government programmes gain the
backing and involvement of local people that is usually crucial to their success? Can
public cash really stimulate local economies and create jobs? How can regeneration
schemes prevent displacing problems from one area to another? The number of separate
regeneration funding packages that have been launched but then not fully being
implemented shows that these questions have still not been satisfactorily answered.

43.7 References and Recommended Readings

Asoka B., Agricultural Development in Ceylon. In Rural Development in a Changing World,
Edited by Raahan Jeitz. Cambridge MIT Press, 1971.
Atal, Yogesh, Local Communities and National Politics, A Study in Communication Links
and Political Involvement. Delhi National Publishing House, 1971, l428p.
Averch, Harvey A., J. E. Koehler, and F. H. Denton, Crisis of Ambiguity: Political and
Economic Development in the Philippines. Santa Monica, California Rand Corp., 1970,
31iip.
Badgley, John H., Asian Development: Problems and Prognosis. New York Free Press,
1971, 210p.
Bahri, H. P. Traditional, Housing Study in India. Urban & Rural Planning Thought, 153-170,
July 1971.
Bahrin, T. S., Policies on Land Settlement in Insular South East Asia: A Comparative
Study.
Modern Asian Studies, Cambridge, 1971.
Balakrishna, S., Family Planning knowledge, Attitude and Practice; A Simple Survey in
Andhra Pradesh. March 1971, 13 9p.
Ban, Sung Hwan. Long-Run Productivity Growth in Korean Agricultural Development,
1910- 1968. Minnesota, 1971, 2ii3p.
Bannister, Jerry B., Urban Development and Housing the Urean Poor: The Case of India.
Economic Affairs Division Staff Paper, U. S. Agency for International Development, New
Delhi, India, 1971, 65p.
846 Urban Development and Environment Protection Mechanisms

Bansil, Puran Chand, Agricultural Planning for 700 Millions; A Perspective Study. Bombay
Lalvani Publishing House, 1971.
Barai, Daksha C., Hierarchy of Settlement in Tamil V-cdxa A Case Study. The Indian
Geographical Journal US’. 65-72, July-September and October-December 1970.
Barakbah, Syed Mansor, Problem of Illegal Settlers in Urban Areas of Kedah State, Malaysia.
Journal of Administration Overseas 10 201-209, July 1971.
Das Gupta, Jyotirinda and Joshua A. Fishman, Inter-State Migration and Subsidiary-
Language Claiming: An Analysis of Selected Indian Census Data. International Migration
Review S 227- 2li9, Summer 1971.
Das, Amritananda, Political Economy of Development. Calcutta Minerva Associates, 1970.
Dator, James Allen, Futuristics and the Exercise of Anticipatory Democracy in Hawaii.
Honolulu, 1970.
Davies, B. V., Administration of the Rural Development Programme in Fiji. Journal of
Administration Overseas, October 1971.
Appraisal and Approval Mechanisms for Central Sector PPPs Appraisal and Approval
Mechanisms for Central Sector PPPs which can be accessed at https://
www.pppinindia.gov.in/appraisal-and-approval-mechanisms.