Toolkits for Urban Transport Development - UNEP

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Toolkit for Comprehensive Mobility Plans (CMP) Revised (2013)
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Director General
Institute for Urban Transport
Anand Vihar Metro Station Building
Delhi
Phone: 011-66578710 / 66578720
The current revision of CMP has been based on experiences from review of existing CMP
implementations done by IUT and the experience gained from preparation of Low-carbon
Comprehensive Mobility Plans under the UNEP project "Promoting Low Carbon Transport in India" in
the cities of Rajkot, Vishakhapatnam and Udaipur
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Ministry of Urban Development
Comprehensive Mobility Plans (CMP): Preparation Toolkit
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Foreword
I have great pleasure in presenting the revised toolkit for Comprehensive Mobility Planning (CMP).
The toolkit has been prepared jointly by Institute of Urban Transport (IUT) which was mandated by
the Ministry of Urban Development (MoUD) to revise the existing CMP toolkit and, a team of
researchers and consultants from premier institutions in India, the United Nations Environment
Programme (UNEP) and UNEP Risoe Centre working on the project "Promoting Low Carbon
Transport in India". The process for preparation has been carried under the advice of MoUD and
Secretary General, IUT and was coordinated by the IUT.
The current revision has been based on experiences from the review of existing CMP implementations
done by IUT and the experience gained from preparation of Low-carbon Comprehensive Mobility
Plans under the UNEP project "Promoting Low Carbon Transport in India" in the cities of Rajkot,
Vishakhapatnam and Udaipur. The preparation process has also involved consultation with experts on
an early draft on 17 October 2013 and with the representatives from states on 25 November 2013.
Their inputs have made a valuable contribution to the revision.
The revised toolkit has a clear focus on climate change and sustainable development and takes
forward the process of integrating the actions necessary for transport sector as per the "National
Mission on Sustainable Habitats" for which MoUD is the nodal ministry. The toolkit also comes up
with a clear guidance for integrating the inclusiveness agenda within the transport planning processes.
The toolkit has also a strong focus on land use planning bringing the CMP closer to the development
/master plans and therefore a closer integration of the two is proposed.
I congratulate all those who have contributed directly and indirectly in this task.
Secretary
Ministry of Urban Development
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Preface
The toolkit for Comprehensive Mobility Plans (CMP), prepared in 2008 by Ministry of Urban
Development (MoUD) with the assistance of the Asian Development Bank (ADB) to provide a broad
framework for working out detailed projects within a long term planning framework and bring focus
on mobility instead of vehicular movements alone, came in quite handy in first phase of the
Jawaharlal Nehru National Urban Renewal Mission (JnNURM).
Since 2008 policy landscape in India has undergone changes with a heightened focus on climate
change. Ministry of Urban Development is the nodal ministry for the National Mission on Sustainable
Habitats, one of the eight missions formed to achieve climate change goals in India. This mission is
responsible for articulating actions for climate change under National Action Plan on Climate Change
(NAPCC). At the same time, another cross cutting theme has emerged within the policy focus, which
is the need for inclusive development, given the growth during the last two decades has increased the
chasm between the rich and poor. These two policy changes are the underlying theme for this revised
CMP.
The authors have taken the methodology of the original CMP, also referred as the ADB toolkit, as the
starting point for the preparation of revised Comprehensive Mobility Plan, which has both low-carbon
and inclusive agenda interwoven. The contents of the ADB toolkit have been left unchanged at places
where change was not necessary. The changes that have been undertaken for the revised toolkit
include changes in approach and comprehensiveness of the toolkit.
In terms of approach the toolkit has moved from a deterministic forecasting approach to a more
flexible scenario-based approach relying on projections. The scenario based approach takes two broad
views for future: i) which mimics the current development patterns and where the land use for future
is closely tied to the master plan (or development plans) document and ii) where specific interventions
for land use, infrastructures, public transport / non-motorised transport and changed regulations for
personal motorised transport are envisaged. The revised approach therefore allows the policy makers
and stakeholders at city level to make a comparison of the benefits they can gain from implementation
of the CMP approach ii) versus the additional costs on account of the approach ii).
In terms of comprehensiveness, the CMP toolkit has been modified to include new data collection
formats so that information on different socio economic groups and gender is explicitly collected and
also used for transport planning projections. The second change is with regards to environment and
CO 2 emissions and this has involved collection of data on vehicles (related to energy and emissions
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characteristics). The third aspect is related to safety and once again a more comprehensive approach is
suggested. The more important aspect is that all these data are used to create information on future
sustainable and low carbon transport scenarios which are quantified in terms of indicators for mobility
and accessibility, infrastructure and land use; safety and security; environmental impacts (including
CO 2 emissions) and economic. The indicators allow easy comparison to service level benchmarks
and can therefore aid policy makers and consultant at city level.
The authors for the revision feel the toolkit is a working document and after 5 years there could be a
new context to which the toolkit may have to be adapted. One such emerging theme is increased focus
on increasing vulnerabilities of cities from a changing climate.
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Acknowledgement
The revised guideline and toolkit for Comprehensive Mobility Planning has been prepared for the
Ministry of Urban Development (MoUD), Government of India, jointly by IUT which was mandated
by MoUD to undertake a revision of the toolkit, and a team of researchers and consultants working on
the UNEP project on "Promoting Low Carbon Transport in India". The team worked under advise
from Mr. S.K. Lohia and Mr. B.I Singal.
The team from IUT involved Mr. M.L. Chotani, Ms. Kanika Kalra and Ms. Vijaya Rohini Kodati
whereas UNEP project team in alphabetical order comprised of Dr Anvita Arora, Dr. Subash Dhar,
Mr. Ranjan Jyoti Dutta, Mr. Ravi Gadepalli, Ms. Deepty Jain, Prof. Darshini Mahadevia, Dr. Talat
Munshi, Prof P.R. Shukla and Prof Geetam Tiwari.
The team would like to thank external experts in alphabetical order Ms Chhavi Dhingra, Ms. Akshima
T Ghate, Prof Sanjay Gupta, Ms Nupur Gupta and Prof Sewa Ram who provided inputs for the toolkit
at an expert workshop held at IUT on Oct 17, 2013. The team would also like to thank Ms. Kamala
Ernest for her comments on the draft CMP and her constant support to the team.
The team would also like to thank the participants from cities who provided inputs on the CMP toolkit
at the workshop in Goa on November 25, 2013.
The team would also like to acknowledge the consultants team which wrote the original CMP toolkit
comprising of Dr. Chiaki Kuranami, Mr. Christopher Rose and Mr. Satoshi Ogita under a technical
assistance from Asian Development Bank.
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Comprehensive Mobility Plans (CMPs): Preparation Toolkit
Abbreviation ____________________________________________________________________ xv
SECTION I: INTRODUCTION ___________________________________________________ 1
Background ___________________________________________________________________ 1
Existing CMP _______________________________________________________________________ 1
Need for Revision ____________________________________________________________________ 1
Differences between CMP and Revised CMP ______________________________________________ 2
Role of CMPs in the JnNURM Process ___________________________________________________ 2
What is a CMP? _______________________________________________________________ 3
Objectives of CMP ___________________________________________________________________ 3
Main Features of CMP ________________________________________________________________ 3
Key Outcomes of CMPs _______________________________________________________________ 4
Relationships between a CMP and Other Existing Plans ______________________________ 4
Relationship with CDP ________________________________________________________________ 5
Relationship with the Master Plan _______________________________________________________ 5
Relationship with the CTTS ____________________________________________________________ 5
FAQs on Comprehensive Mobility Plan ____________________________________________ 5
SECTION II: PREPARATION PROCESS _________________________________________ 8
Understanding Key CMP Tasks __________________________________________________ 8
Stakeholder Consultation ________________________________________________________ 8
Identifying Stakeholders _______________________________________________________________ 9
Classifying stakeholders on the basis of their role in transport __________________________________ 9
Managing Stakeholders _______________________________________________________________ 10
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Stages of CMP where stakeholder Consultations play a role __________________________________ 11
Preparing for a CMP: Where to Start? ___________________________________________ 12
Consultation for Validation of CMP ______________________________________________ 13
Example Work Schedule _______________________________________________________ 14
SECTION II: TASK DESCRIPTIONS ___________________________________________ 15
TASK 1: Defining the Scope of the CMP __________________________________________ 15
Planning Area ______________________________________________________________________ 15
Planning Horizon ___________________________________________________________________ 15
Vision for the City ___________________________________________________________________ 15
TASK 2: Data Collection and Analysis of the Existing Urban Transport Environment ____ 16
Task 2-1 Review of the City Profile _____________________________________________________ 16
Task 2-2 Delineation of Traffic Analysis Zones ____________________________________________ 16
Task 2-3 Review of Land Use Pattern & Population Density __________________________________ 17
Task 2-4 Review of the Existing Transport Systems ________________________________________ 19
Task 2-5 Data Collection Approach – Methodology and Sources ______________________________ 23
Task 2-6 Study of Existing Travel Behaviour ______________________________________________ 25
Task 2-7 Review of Energy and Environment _____________________________________________ 27
Task 2.8 Analysis and Indicators (Comparison with Benchmarks) _____________________________ 29
TASK 3: Development of Business As Usual (BAU) Scenario _________________________ 31
Task 3-1 Framework for Scenarios ______________________________________________________ 31
Task 3-2 Socioeconomic Projections ____________________________________________________ 32
Task 3-3 Land Use Transitions _________________________________________________________ 33
Task 3-4 Transport Demand Analysis ____________________________________________________ 33
Task 3-5 Technology Transitions _______________________________________________________ 33
Task 3-6 CO 2 Emissions and Air Quality _________________________________________________ 36
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Task 3-7 Analysis and Indicators (Comparison with Benchmarks) _____________________________ 38
TASK 4: Development of Sustainable Urban Transport Scenarios _____________________ 39
Task 4-1 Framework for Scenario _______________________________________________________ 39
Task 4-2 Strategies for Sustainable Urban Transport Scenario _________________________________ 39
Task 4-3 Transport Demand Analysis of Alternative Strategies for Sustainable Urban Transport ______ 42
Task 4-4 Technology Transitions under a Low Carbon Scenario _______________________________ 44
Task 4-5 CO 2 Emissions and Air Quality (Refer task 3-6) ____________________________________ 45
Task 4-6 Analysis and Indicators (Comparison with Benchmarks) _____________________________ 45
TASK 5: Development of Urban Mobility Plan _____________________________________ 45
Task 5-1 Integrated Land Use and Urban Mobility Plan _____________________________________ 45
Task 5-2 Formulation of the Public Transport Improvement Plan ______________________________ 45
Task 5-3 Preparation of Road Network Development Plan ___________________________________ 46
Task 5-4 Preparation of NMT Facility Improvement Plan ____________________________________ 46
Task 5-5 Preparation of Mobility Management Measures ____________________________________ 47
Task 5-6 Preparation of Regulatory and Institutional Measures ________________________________ 47
Task 5-7 Development of Fiscal Measures ________________________________________________ 48
Task 5-8 Mobility Improvement Measures and NUTP Objectives ______________________________ 48
TASK 6: Preparation of the Implementation Program ______________________________ 48
Task 6-1 Preparation of Implementation Programs__________________________________________ 48
Task 6-2 Identification and Prioritisation of Projects ________________________________________ 49
Task 6-3 Funding of Projects __________________________________________________________ 49
Task 6-4 Monitoring, of CMP Implementation _____________________________________________ 54
SECTION III: ANNEXES ______________________________________________________ 55
Annex 1 Sample Survey Forms __________________________________________________ 55
Annex 2 Sample Project Sheets _________________________________________________ 102
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Annex 3 Stakeholder Engagement ______________________________________________ 103
Annex 4 Indicators and Benchmarks ____________________________________________ 108
Annex 5 Four Step Modelling __________________________________________________ 113
Annex 6 Financing Options for Implementation of Projects _________________________ 118
Funding from Domestic Source at Local Level (ULB) ______________________________________ 118
Funding from Domestic Source at State Level ____________________________________________ 121
Funding from Domestic Source at National Level _________________________________________ 122
Funding from International Source _____________________________________________________ 123
Funding from Private Source _________________________________________________________ 124
Annex 7: Financing Options for Project Development (Preparation of DPRs/Feasibility
Report) _____________________________________________________________________ 126
Central Govt. Sponsored Scheme of Urban Transport Planning of Ministry of Urban Development, GoI
JnNURM Scheme __________________________________________________________________ 126
State /ULB budget Funding __________________________________________________________ 127
Multilateral Funding Agency (International Source) _______________________________________ 127
India Infrastructure Project Development Fund (IIPDF) ____________________________________ 127
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Abbreviation
ADB
BAU
BOO
BOOT
BOT
BPL
BRT
BT
BTO
CBD
CDM
CDP
CEA
CEF
CEPT
CMP
CNG
CO
CO 2
CSOs
CTTS
DBFO / M
DBM
DBOM
DMIC
DP
DPR
EB
EPCA
FAR
FSI
GHG
GIS
HC
HSD
HUDCO
IDFC
ILFS
IPCC
ITS
IUT
Asian Development Bank
Business as Usual
Build - Own - Operate
Build - Own - Operate - Transfer
Build - Operate - Transfer
Below Poverty Line
Bus Rapid Transportation
Build Transfer
Build - Transfer - Operate
Central Business District
Clean Development Mechanism
City Development Plan
Central Electricity Authority
Composite Environment Fee
Centre for Environmental Planning and Technology
Comprehensive Mobility Plan
Compressed Natural Gas
Carbon Oxide
Carbon Dioxide
Civil Society Organisation
Comprehensive Traffic and Transportation Studies
Design - Build - Finance - Operate - Maintain
Design Build Maintain
Design - Build - Operate - Maintain
Delhi-Mumbai Industrial Corridor
Development Plan
Detailed Project Report
Enumeration Block
Environ Pollution Control Authority
Floor Area Ratio
Floor Space index
Green House Gases
Geographic Information System
Hydrocarbon
High Speed Diesel
Housing and Urban Development Corporation
Infrastructure Development Finance Company
Infrastructure Leasing and Financial Services
Inter-governmental Panel on Climate Change
Intelligent Transport System
Institute of Urban Transport (India)
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JICA
JnNURM
LCMP
LCS
LPG
LRT
MFA
MLAs
MoUD
MPs
MRT
MTW
NAMA
NAPCC
NGOs
NHAI
NMT
NOx
NUIS
NUTP
PBS
PM
PPP
PT
PUC
ROW
RTA
SC
SLB
SOx
SUV
TAZ
TDM
TERI
TOD
UIDSSMT
ULBs
UMTA
UNEP
UNFCCC
UTF
Japan International Cooperation
Jawaharlal Nehru National Urban Renewal Mission
Low-Carbon Comprehensive Mobility Plan
Low Carbon Scenario
Liquefied Petroleum Gas
Light Rail Transit
Multilateral Funding Agency
Member of legislative Assembly
Ministry of Urban Development
Member of Parliament
Mass Rapid Transportation
Motorised Three Wheeler
Nationally Appropriate Mitigation Actions
National Action Plan on Climate Change
Non Governmental Organisation
National Highway Authority
Non-Motorised Transport
Nitrogen Oxide
National Urban Information System
National Urban Transport Policy
Public Bicycle Sharing
Particulate Matter
Public Private Partnership
Public Transport
Pollution Under Control
Right of Way
Regional Transport Authority
Scheduled Caste
Service Level Benchmarks
Sulphur Oxide
Sports Utility Vehicle
Traffic Analysis Zone
Travel Demand Management
The Energy and Research Institute
Transit Oriented Development
Urban Infrastructure Development Scheme for Small and Medium Towns
Urban Local Bodies
Unified Metropolitan Transport Authority
United Nations Environment Programme
United Nations Framework Convention on Climate Change
Urban Transport Fund
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SECTION I:
INTRODUCTION
Background
Existing CMP
In 2008 Ministry of Urban Development (MoUD) with the assistance of the Asian Development Bank
(ADB) prepared a toolkit for preparation of Comprehensive Mobility Plans (CMPs) 1 . The CMPs
provide a broad framework to work out detailed projects within a long term planning framework and
bring focus on mobility instead of vehicular movements alone. The Ministry of Urban Development
encouraged cities 2 to prepare CMPs before seeking funding for projects under Jawaharlal Nehru
National Urban Renewal Mission (JnNURM).Phase I. Many cities as a result prepared CMPs using
the CMP toolkit.
Need for Revision
In 2008 India came out with its National Action Plan on Climate Change 3 (NAPCC), which takes a
mission based approach for achieving climate change goals through eight missions. The NAPCC has a
mission on sustainable habitats with Ministry of Urban Development (MoUD) as the nodal ministry
for this mission. The mission aims to make urban habitats sustainable through urban planning and
modal shifts and also achieve reduction in the CO 2 emissions.
A review of CMPs in JnNURM phase I undertaken by Institute of Urban Transport (IUT) and The
Energy and Resource Institute (TERI) however revealed that CMPs have not indicated the long term
GHG benefits and therefore it was recommended to include estimates for CO 2 emissions in the CMP.
A review of the CMPs that have been submitted by cities 4 have also revealed that a detailed study of
impact of projects on sustainability and meeting the travel demand of citizens (including poor and
underprivileged) is missing in the CMPs. Sometimes, the CMPs assume that the benefits of largescale
projects percolate equally to everyone in the society irrespective of gender, income or housing
conditions. The CMP methodology as highlighted also does not have an approach for analysing
climate change actions so desired under the NAPCC.
In 2010, the United Nations Environment Programme (UNEP) started implementation of the project
"Promoting Low Carbon Transport in India" which was funded by the International Climate Initiative
of Germany. The project was endorsed by the Ministry of Environment and Forests, India and has
included a methodology for preparing Low-carbon Comprehensive Mobility Plan (LCMP). This
1 Guidelines and Toolkits for Urban Transport Development in Medium Sized Cities in India. Ministry of Urban Development
& Asian Development Bank in 2008.
http://indiagovernance.gov.in/files/guidelines-and-toolkits-for-urban-transport-development.pdf
2
The first phase of JnNURM covered 60 cities with a population of more than 1 million http://jnnurm.nic.in/wpcontent/uploads/2010/12/broucher.pdf
3
Released by Prime Minister's Office (PMO) http://india.gov.in/allimpfrms/alldocs/15651.doc
4 CMP reviewed include CMP for Pune, Kanpur, Jaipur, Chandigarh and Patna
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methodology linked what cities have to do under JnNURM for CMP with what India as a nation
would like to do for its climate change efforts. The LCMP methodology also had a strong focus on
local environmental quality, social inclusiveness for all sections and gender. It will be an effective
decision making tool which will develop low-carbon mobility scenarios, identify projects which will
pave the way and earmark JnNURM funding for implementation.
In 2013 IUT together with UNEP Risoe Centre and Indian Partners (Indian Institute of Technology,
Delhi, CEPT Ahmedabad ,Indian Institute of Management, Ahmedabad and consultants 5 ) associated
with UNEP project has come with a revision to CMP to make it comprehensive with regard to local
environmental considerations, CO2 emissions and focus on all social sections (especially poor and
underprivileged). Review and update of Toolkit for CMP has also become necessary to incorporate
various suggestions and recommendations of Expert Committees / Groups on Urban Transport and
Policy enunciations by Government of India.
Differences between CMP and Revised CMP
In the Revised Toolkit for preparation of CMP, emphasis will be on assessment of Green House Gas
(GHG) emissions, low carbon intensity in Transportation plan, due consideration to environmental
and social issues, equity for various sections of the society including urban poor, accessibility for all,
development of alternative scenarios for having sustainable Accessibility and Mobility Plan, use of
Intelligent Transport System (ITS) in mobility solution and effective delivery of public Transit
Services, solutions for Travel Demand Management, priority for Public Transport and Non-Motorised
Transport, proper land use and Transport integration.
Role of CMPs in the JnNURM Process
The CMP is a key document providing the rationale for transport proposals. Therefore, within the
overall planning hierarchy, the CMP can be considered as a prerequisite for the submission of DPR
(Level 1) for JNNURM funding. Although it is not mandatory, all cities considering a funding
application to central government are recommended to submit the CMP and to obtain approval from
MoUD 6 . CMP is also a useful document to facilitate funding from other National or International
source of funding. CMP has to be an integral part of Master Planning Process for development of city.
5 LCMP have been prepared in three cities of Vishakhapatnam, Rajkot and Udaipur and from the cities
participating consultants have also been actively involved in revision to the toolkit
6 Preparation of a CMP is also recommended for non-JNNURM cities and towns.
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Figure 1.
Role of a CMP in the JNNURM Process
What is a CMP?
A long term vision for desirable accessibility and mobility pattern for people and goods in the city to
provide, safe, secure, efficient, reliable, seamless connectivity that supports and enhances economic,
social and environmental sustainability.
Objectives of CMP
The objectives of CMP are the following:
a) To understand present travel characteristics and forecast travel demand for the planning horizon.
b) To estimate emission of CO 2 from urban transport based on the travel demand and technological
choices;
c) To integrate transport options with land use structure and planned regional development and create
alternative scenarios for achieving low carbon mobility.
d) To work out the Mobility Plan which is economically, socially, environmentally and
technologically sustainable and climate resilient to achieve the goal of low carbon and inclusive
transport incorporating development plans / master plans
e) To suggest implementation programme for successful execution of the selected interventions.
Main Features of CMP
The main features of CMP are the following
a) Prioritize mobility for all socio economic groups and gender
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) To give adequate attention to pedestrians and non-motorised transport within transport planning
c) To provide a recognised and effective platform for integrating land use and transport planning.
d) To integrate impacts of transport on local air quality, CO 2 emissions, climate change and safety in
the decision making process for transport projects.
e) To focus on the optimisation of goods transport.
Key Outcomes of CMPs
The CMP should lead to the following outcomes in the long term:
a) Improvement in mobility for all socio-economic groups and genders
b) Reduction in CO 2 emissions with reference to the BAU scenario
c) Improvement in air quality with reference to the BAU scenario
d) Improvement in safety and security for pedestrians and NMT.
e) Achievement of desirable indicators and benchmarks
Relationships between a CMP and Other Existing Plans
There are a few important plans and studies that need to be referred to when a CMP is prepared for
example City Development Plans (CDPs) and Master Plans and Comprehensive Traffic and
Transportation Studies (CTTS). A comparison of the tasks involved in these plans and studies is
summarized in Table 1 and the relationship with the CMP is explained below
Table 1.
Illustrative Comparison of Major Tasks of CMPs and Other Existing Transport Plans
CDP
Master
plan
CTTS CMP Revised
CMP
Review of Existing Transport System √ √ √ √
Transport Demand Survey √ √ √
Review of Land Use Plan √ √ √
Analysis of Urban Transport Situations √ √ √
Preparation of Future Land Use Scenario √ √ √
Future Transport Network Scenario √ √
Future technological scenarios
Transport Demand Forecast Model √ √ √
Model impacts on all sections of society and modes
Network Evaluation √ √
Model CO 2 emissions and air pollutants
Impact analysis of scenarios on measurable indicators
Preparation of Mobility Framework √ √
Formulation of Urban Transport Measures √ √ √ √ √
Social and Environmental Impact Assessment √ √
Institutional Scheme for Project Implementation √ √
Preparation of Implementation Programs √ √ √ √
Stakeholder Consultation √ √ √ √ √
Periodical Update and Maintenance √ √ √
√
√
√
√
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Relationship with CDP
A City Development Plan (CDP) is prepared by each city in advance of requesting JnNURM funds
from MoUD. The CDP addresses various urban development sectors, including urban transport.
Usually, CDPs include project proposals for both infrastructure and regulatory measures, but the
development of urban transport measures is not comprehensive. CDPs rarely adopt a transport
modelling approach and do not include a clear strategy regarding long-term urban transport
development and the ‘mobility’ concept. Comprehensive Mobility Plans (CMPs) will review transport
sector programs and integrate them into more comprehensive transport sector programs that focus on
integration of land use and transport and improvement of the mobility of people. A CDP also provides
valuable information regarding the existing and future development of the urban area.
Relationship with the Master Plan
A Master Plan (or Development Plan) is a statutory document for guiding and regulating urban
development. It is prepared by urban development authorities / State Government for each
metropolitan area and cities and towns. It defines the future area for urbanisation, and addresses
planning issues for various sectors. The transport sector plan, however, is one of the most important
sectors, and contains development measures such as road network (arterials, collectors, and
distributors etc.), parking facilities and mass rapid transit systems. In preparing a CMP in target cities,
where a Master Plan is available, it should serve as an input to the CMP. In this process, the CMP
reviews the future land use patterns in the Master Plan from the mobility optimization point of view
and selects a preferred pattern of land use / transport integration if necessary. If the recommendation
by the CMP on urban growth pattern differs from the one in the Master Plan, the CMP
recommendation may be reflected in a future version of the Master Plan. For cities where a Master
Plan is not available, a CMP may be prepared first and used as an input for the preparation of the
Master Plan. In this fashion CMP should be integrated within the master plan.
Relationship with the CTTS
Some cities have already conducted CTTSs by examining traffic and transport issues and
recommending improvement measures. Some of these documents are concerned mainly with
strengthening roads and flyovers, while others proposed MRT systems. While existing CTTS
documents focus on vehicle flows, the CMP will concentrate on the mobility of people. A CMP
addresses a wider range of land use/transport issues and investigates a wider spectrum of policy
options to bring the city towards its desired mobility patterns. CTTS does not model alternate
scenarios as the CTTS is a transport sector study, the information, methodology (including demand
modelling) contained and recommended projects/programs are highly relevant to the CMP tasks. All
of these findings are, however, carefully reviewed in the process of CMP preparation so as to achieve
vision and goals to optimize the mobility pattern of the metropolitan region.
FAQs on Comprehensive Mobility Plan
What is a CMP?
A CMP presents a long-term vision of desirable mobility patterns (people and goods) for a city and
provides strategy and policy measures to achieve this vision. It should follow the NUTP, which
emphasizes the importance of pedestrian facilities, non-motorized transport measures, and public
transport systems, including buses and sustainable mass rapid transit systems.
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Who should use this toolkit?
Targeted users of this CMP toolkit include policy makers, city authorities and consultants. The toolkit
provides: (i) guidance in setting CMP visions/objectives for policy makers; (ii) the structure and
process of CMP development for city authorities, and (iii) detailed tasks to be performed by
consultants.
Why is it called a Comprehensive Mobility Plan (CMP)?
Existing CTTS documents typically focus on mobility needs of car users, while CMPs are to address
the mobility needs of all people and the infrastructure requirement for all modes, as well as to
integrate both the land use (i.e., the spatial distribution of activities) and transport systems. The
“comprehensive” in CMP conveys this all-encompassing scope. Existing CTTS documents allocate
the majority of resources to “solving” vehicle congestion, while CMPs will focus on providing
“mobility” for all people, the most important issue to be addressed for effective and sustainable urban
development.
Who should be responsible for the preparation of CMP?
City authorities should be responsible for the preparation CMPs. During the process of the CMP
preparation, it is recommended to establish an advisory committee consisting of key stakeholders and
to organize seminars and workshops to obtain feedback from a wider audience.
Is a CMP different from a CTTS?
Yes, a CMP differs from a CTTS. While the focus of a CTTS is on the mobility of vehicles, a CMP
concentrates on the mobility of all people. CMPs address a wider range of land use/transport issues
and investigate a wider spectrum of policy options to bring the city towards desired mobility patterns.
Do we need a CMP when a CTTS has already been prepared and approved?
Yes. Cities with an approved CTTS should also prepare a CMP in order to re-examine the
effectiveness and sustainability of policy measures. However, if the existing CTTS follows closely the
tasks required for a CMP, the Ministry may ask only for an improved CTTS and may not require the
city to prepare a wholly new CMP.
What should a city do when the preparation of a CTTS has already started?
If the city has made significant progress, it should continue preparing the CTTS and later prepare a
CMP reflecting the findings of the CTTS. If CTTS preparation is still at an early stage, the city may
modify the terms of reference and commence preparation of a CMP instead.
Who should be involved in the preparation of a CMP?
Preparation of a CMP should involve not only the engineering division, which is responsible for
building roads, but also the municipal/state passenger transport authority, as well as the city
development authority. In addition, other relevant agencies and stakeholders should be consulted
throughout the planning process.
Why do CMPs need to be prepared BEFORE feasibility studies of specific projects?
The Ministry of Urban Development has been receiving a number of DPRs for specific projects from
many cities that fail to examine the wide range of policy options available. The projects often
represent preconceived “solutions” and the documents try only to justify such “solutions”. The
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Ministry considers that the submission of a CMP is a prerequisite for the submission of DPRs,
because any projects or policy measures recommended should effectively contribute to the attainment
of “comprehensive mobility” visions that are effective and sustainable from the long-term perspective
of future city development.
How much detail is required in recommended policy measures included in a CMP?
Although a CMP serves as a visionary document, it should provide a clear and logical methodology.
As such, any project recommended in a CMP should be broadly defined in its characteristics, such as
basic concepts, form, area covered, components, preliminary estimation of costs, financing options,
implementation organization and social/environmental implications. A further level of detail required
for feasibility assessment and detailed design should be performed after the CMP is approved.
Is the application of demand modelling always necessary to prepare a CMP?
It is recommended that the strategy for land use and transport development be based on a scientific
approach. For cities where demand models have already been developed, for example within the
existing CTTS, the models should be utilized to in preparing the CMP. For cities with limited time
and resources, a simplified approach to transport demand modeling may be applied. A simplified
modeling technique adopts techniques, such as a reduced sampling rate for the OD survey, use of
larger traffic zones, use of strategic transport network, which help resource and time required for
transport demand modeling.
What are the planning horizons of a CMP?
The typical CMP planning horizon will be 20 years, but CMPs should also cover actions to be taken
within 5 and 10 years.
Do CMPs need to be updated regularly?
Yes. Since cities are constantly changing, it is recommended that every city update its CMP at least
once every five years.
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SECTION II:
PREPARATION PROCESS
Understanding Key CMP Tasks
The major tasks to develop a CMP are set out below. Detailed task descriptions are given in Section
III
Task 1:
Task 2:
Task 3:
Task 4:
Task 5:
Task 6:
Defining Scope of the CMP
Data Collection and Analysis of the Existing Urban Transport Environment
Development of Business as Usual (BAU) Scenario
Development of Sustainable Urban Transport Scenarios
Development of Urban Mobility Plan
Preparation of the Implementation Program
Stakeholder Consultation
Stakeholder consultation is an important exercise for various reasons:
a) Understanding the city: It is necessary to engage with stakeholders who work in the city. Ground
experience of the stakeholders with the city is valuable and need to be captured. This exercise will
help us in understanding not just the characteristics of the city but also help us in understanding the
main bottle necks and strengths of the city which will have to be dealt with in the course of our
work. By understanding the limitations within which the stakeholders work, we will be able to
develop more relevant scenarios for the city and make better recommendations.
b) Stakeholder consultations have been widely recognized as an important exercise in recent times.
The top down approach where, recommendations are made to a city without involving it in the
deliberation process and using its know-how has been widely criticized. It is now recognized that
each city has its unique character. The recommendations made, have to be suited to the unique
circumstances under which the city functions.
c) The scope of work of each organization: There are a number of agencies that operate in a city.
Sometimes, multiple agencies will be involved in the same area. For example: Construction and
maintenance of roads in a city won’t fall under the jurisdiction of a single agency. A number of
agencies are involved in the same.
d) There is usually but a clear demarcation of what the scope of work of each agency is. It is
necessary to understand the exact jurisdiction of each agency. This will help us in understanding
the exact tasks that each organization is responsible for and also identify areas where there is
overlap of tasks and responsibilities. That is, stakeholder consultations will help us in capturing the
exact institutional and organizational framework in the city.
e) Developing alternative scenarios: CMP would involve developing alternative scenarios. The
differences between the alternatives will be made of differences in policy; institutional framework;
transport plans of the city; technological innovations and other such details. Stakeholder
consultation will help in building these alternative scenarios
f) Building a rapport with the city: By engaging with the stakeholders, we will be able to create a
rapport in the city. This is highly necessary because certain recommendations will be made in the
CMP which need to be implemented. Having a rapport with the city will ensure that the
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ecommendations are smoothly implemented and problems and bottlenecks are minimized in the
implementation stage.
g) It is to be noted that certain stakeholders may not contribute to the creation of LCMP but could be
powerful enough to hinder the implementation. By engaging these stakeholders and keeping them
regularly in the loop of the project and taking some of their recommendations into consideration,
will help in ensuring maximum support from the city.
h) In making informed plans with corrective mechanism
Identifying Stakeholders
Stakeholders to be included from a wide list which includes:
a) Government Bodies like Municipal corporations, Development Authorities, Public Works
Departments, Traffic Police, Transport Department, Environment Pollution Control Authority
(EPCA), Fire and Ambulance Services, Environment Department, Cantonment Board, Transport
Corporations, etc.
b) Experts in the field of transport from Academic Institutes and Research bodies and Consultants or
practitioners in the field.
c) Media- Both print and electronic media
d) Non-governmental organisations (NGOs)/ Civil Society Organisations (CSOs)
e) Elected Representatives from city (Ward councillors/ Corporators), state (MLAs, Transport
minister) or Centre (MP).
f) Operators like auto rickshaw unions, private bus operators.
g) Others like Unions, Bus and Cycle Manufactures, owners and operators of transport infrastructure
h) User groups like resident welfare associations, local businesses, etc.
Classifying stakeholders on the basis of their role in transport
a) Organizations or individuals responsible for making decisions regarding transport. These
organizations could be involved either at city level planning of transport or framing policies or in
transport operations. That is, government organizations for which transport is one of the primary
focus and thus they are directly involved.
b) Organizations or individuals who are not part of the government but are directly involved in the
transport operations in the city. This could include auto rickshaw unions, taxi drivers
association, parking lot managers or owners, travel association, etc. This group could also include
Private players who are involved with the government in various transport based PPP operations
like operation of buses, toll roads, etc.
c) Organizations or individuals (government or non-government) whose activities tend to shape
the transport needs and demands of the city. This will include large industrial units, urban
development authorities, ports, railways, etc. as well as regular citizen groups represented through
RWAs.
d) Organizations and individuals (government or non-government) who hold prominent positions
are important opinion makers in the city. This will include the Press; Universities, colleges and
other educational institutes; popular NGOs and other popular representative organizations like
Confederation of Indian Industry.
Another way of classifying the stakeholders is on the basis of their location (centre, state and city
level) and roles in the transport system (planning & policy, infrastructure, operations and monitoring
/evaluation). A classification done for Visakhapatnam during the LCMP is provided in Annexure 3
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Managing Stakeholders
Stakeholder management is important to ensure a long term involvement in planning and
implementation of CMP. The stakeholders identified should be classified according to their attitude
towards sustainable transport initiatives as well as their level of power or influence on the same. Such
an exercise would help in grouping similar stakeholders together. ‘Ecology of actors’ framework used
for mapping and managing the stakeholders is shown in Figure below.
Figure 2.
Ecology of Actors 7 framework for managing stakeholders
This framework classifies stakeholders into four categories depending on their power/ influence levels
and their attitude towards sustainable transport. These four groups are:
a) Partners: High on influence/power and positive attitude;
b) Fans/ weak partners: Low on Influence and positive attitude;
c) Opponents: High on power/ influence and negative attitude;
d) Outsiders/ weak opponents: Low on power/Influence and negative attitude.
Stakeholders who fall under the opponents’ category are the most important obstacles. The priority
should be given to make these stakeholders, partners to the issue. If this is not possible, efforts should
7 Source: Lake Sagaris’s Presentation: “Inclusive planning for GOOD, JUST, LIVEABLE cities”, March 2012
(Tom Godefrooij, I-CE/Brabant planners, The Netherlands)
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10

e made to at least make these stakeholders outsiders/ weak opponents to the whole issue.
Stakeholders who are classified under the partners list should be roped in as partners to help in the
implementation of the projects or increase its popularity. Stakeholders who are fans could also
potentially be involved in the same. This is because, certain ‘fan’ stakeholders in spite not being very
powerful in the whole issue will have a large influence on a particular ‘opponent’ stakeholder. This
classification also helps in understanding which stakeholders can be classified and targeted together
under a single campaign.
It is to be noted that in most cases, attitude to a topic like sustainable transport is not explicitly
mentioned. That is none of the agencies would openly declare themselves to be against the idea of
sustainability. Attitude is thus not based on the defined official policy of the organization but
according to their response to implementation of sustainable transport on ground in the city. This
requires knowledge about how exactly each of these above mentioned stakeholders responded to
sustainable transport projects like implementation of BRT or a parking policy in the city.
This exercise is best carried out by a group of transport experts from the city. It is highly necessary
that the experts have experience in the city and a good understanding on transport projects within the
city. This group could comprise of: Academicians from transport departments; Practitioners/
consultants in the field; prominent members from civil society organizations; Official from civic
agencies, etc. In cases where it is not possible to create such an expert panel, the consultants may
themselves take the task of classifying stakeholders after the preliminary round of discussions with
each stakeholder.
Mapping also helps in prioritizing the stakeholders that need to be targeted. A few powerful
organizations with negative attitude can delay the implementation of a project for a long time. It is
hence necessary to identify the exact stakeholders who need to be engaged (For illustration of type of
stakeholder consultation carried for Visakhapatnam refer Annexure 3)
Stages of CMP where stakeholder Consultations play a role
Table 2.
Tasks where SH are involved
Task Description Whether SH are involved Why
Task 1 Delineation of
Planning area,
planning horizon
and vision for city
Yes To develop a shared
vision for the city
Task 2
Data collection and
analysis of existing
urban transport
environment
Yes To identify
Stakeholders
To map stakeholders
according to: Role in
transport sector,
Functionality and
Attitude towards
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Task Description Whether SH are involved Why
sustainable transport
Task 3 Development of
Business As Usual
(BAU) scenario for
horizon years
To map preferences
of stakeholders
No -
Task 4 Development of
Yes For feedback on
Sustainable Urban
BAU scenario and
Transport Scenario
city indicators
For feedback on
storylines for on
sustainable urban
scenarios proposed
For confirmation of
benchmarks
Task 5 Urban Mobility Plan Yes For feedback on plans
related to land use, public
transport, road network,
NMT, etc.
Task 6
Prefeasibility
pilot projects
for
No -
Preparing for a CMP: Where to Start?
Master Plan for the city can be taken as a starting point for preparation of CMP. Land use structure
and transport proposal indicated in the Master Plan can serve as guidance for the BAU scenario. CMP
however analyses alternative land use scenarios and accordingly the required changes in the land use
structure may be suggested for incorporation in the revised version of the Master Plan.
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12

Figure 3.
Flowchart of How to Use the CMP Toolkit
Consultation for Validation of CMP
CMP is a roadmap document with long-term, inclusive and integrated vision. The intent of the process
is to validate the CMP document through consultation with stakeholders/agencies which will have
important role during the implementation of the CMP and whose validation is important for
acceptability of the CMP. The consultations for the validation of the document would follow two
processes: i) Stakeholder consultations within the city (Described under stakeholder consultation), ii)
Consultation with and analysis by verifying agency (e.g. by client / government either in-house or by
outsourcing).
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13

Example Work Schedule
Task Month
1 2 3 4 5 6 7 8 9 10 11 12
Inception Meeting (Stakeholders) X
Task 1
Defining Scope
Inception Report X
Task 2
Task 2-1 to 2-4
Task 2-5 to 2-7
Task 2-8
Submit Draft Report Task 2 X
Task 3
Task 3-1 to 3-3
Task 3-4 to 3-7
Submit Draft Report Task 3 X
Task 4
Task 3-1 to 3-3
Stakeholder consultation X
Task 3-4 to 3-7
Submit Draft Report Task 4 X
Task 5
Urban Mobility Plan
Task 6
Programs / Project
Stakeholder consultation X
Final CMP Report X
X – Indicates Milestone
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SECTION II:
TASK DESCRIPTIONS
TASK 1: Defining the Scope of the CMP
Before preparing a CMP, its scope should be clearly defined. Specifically, the inception report for
CMP should indicate:
• The planning area; and
• The target year or planning horizon (long, medium, short-term and immediate measures)
Planning Area
The planning area should be clearly defined at the beginning of the CMP. It should cover the urban
agglomeration area, planning area, urbanisable area, or city region as identified in the Master
Plan/Regional Plan. In many aspects, the Master Plan should be used as a base for preparing the
CMP.
Size of City
Metro city (> 10 lakhs)
Large city (5 – 10 lakhs)
Other city (> 1 lakh)
Planning Area
Metropolitan area / Region
(as identified by state government)
Planning area / urbanisable area
(as indicated in the Master Plan)
Municipal / urbanisable area
A CMP must address not only city transportation needs, but also the needs for interconnections with
satellite towns and Special Economic Zones (SEZs) adjacent to the city. Since it is clear that cities
will continue to grow beyond municipal boundaries, and will likely expand to the urban
agglomeration, the planning area for the CMP needs to include the urban agglomeration. Care should
be taken, however, that the zone size for analysing travel behaviour and impacts is small enough to
take into account non-motorized trips and access/egress trips made for using public transport
(discussed in detail in later this section).
Planning Horizon
If we consider that CMP leads to investments in transport infrastructures with long-term impacts on
climate change and other issues, the CMP long-term planning horizon should be at least 20 years from
the base year. Short- and medium-term target ranges should be five and ten years, respectively. Since
the social and economic situation in Indian cities is changing rapidly, CMPs should be updated at least
every five years. The CMP horizon should be aligned with the Master Plan horizon, as much as this is
possible. Constant monitoring and review mechanism should be built in the process.
Vision for the City
A vision statement for the direction of the city’s transport system should be based on a diagnosis of
the current urban transport environment and the future urban scenario. It must be in line with the
overall vision of city growth indicated in the Master Plan. Qualitative and quantitative targets for
major indicators should be indicated for the horizon years.
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TASK 2: Data Collection and Analysis of the Existing Urban Transport
Environment
Task 2-1 Review of the City Profile
To study the city’s present socio-economic profile and trends over a period of time, data needs to be
collected on the location, regional linkages, demography, land area and socio-economic groups. These
trends must then be studied in order to develop scenarios. The table below shows the data requirement
for the CMP. The areas shaded green reflect data required to ensure that CMPs are inclusive.
Table 3.
City Profile
Data required Description Data Source Data level 2
Geographical location Master Plans of the city and region if City wide
Location
available
Climatic condition Master Plans/CDP City wide
Total land area
Master Plan of the city and region City wide
/Census
Land area Growth pattern Master Plan of the city and region City wide
Identification of notified Master Plan of the city and region City wide
areas
Regional linkages Regional Master Plan/CDP City wide
Population growth trend by Census
City wide
census wards or enumeration
Demography blocks
Number and size of HH Census City wide
Age-sex pyramid Census City wide
Population by social group 1 Census and surveys City wide
Population
by If city level GIS data available or EB City wide
income/expenditure at TAZ data of the Census and surveys
Socio-economic
or ward level
data
Vehicle ownership EB data of the Census and surveys City wide
(including bicycles) by
social group
1 social groups are defined as i) slum dwellers; ii) within the slums, households living in katcha
housing, indicating BPL households; iii) recent migrants to the city and temporary migrants to the
city; iv) households living in relocated sites; v) SC households; vi) minority groups; and vii) street
vendors, etc. The data should also be disaggregated by sex.
2
Citywide data available through secondary sources or through reprocessing of census data.
Regional linkage required for the CMP refers to railway and national highway links with other cities
and towns. It also refers to the linkages with the immediate hinterland. Detailed travel behaviour
needs to be studied at city level, however, it is also necessary to understand the commuting pattern
within urban agglomerations and to and from the agglomeration’s immediate hinterlands.
Task 2-2 Delineation of Traffic Analysis Zones
CMPs aim to ensure safe accessibility for all, irrespective of their socio-economic background
(gender, income and caste) and in a way that does not compromise environmental health. The CMP
should provide a roadmap, or in other words, infrastructure development and investment options that
both provide a desirable level of mobility and accessibility as well as carbon emissions rates that are
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aligned with the national vision. CMP relies on “avoid, shift and improve methodology” (avoid
motorized trips when possible and offer public transport options), to encourage the shift to low-carbon
modes (e.g., non-motorized transport (NMT) modes) and improve the efficiency of motorized
vehicles in a way that is beneficial to the environment. This requires modelling and estimating the
impacts of various policies and strategies on NMT and Public Transport use in cities. It must be
ensured that walking, bicycle and access/egress trips 8 are considered in the model and the structured
and orderly behaviour of the population being modelled is captured as well. Data at enumeration
block (EB) level consisting of 100 to 120 households can be obtained from the local authority or
census office. This will help in getting the data required for spatial mapping of socio-economic groups
using EB area as the smallest spatial unit and possible TAZ size.
Task 2-3 Review of Land Use Pattern & Population Density
When deciding which data, methods and
sources to use to collect, represent and
analyse land use and density data sets, there
are some essential issues to consider. First, it
is important to identify the smallest unit of
analysis (See Task 2-2). Secondly, data from
higher or lower spatial units (e.g., census
ward) must be quantified in a way that
represents the ground reality accurately (as
we move towards higher spatial aggregation
zones, a lot of variation in data is lost or
averaged out). Thirdly, slums should be
considered as part of residential land use and
not a separate land use. Lastly, residential
land use marked should have income groups
marked. This can be done through proxy of
per capita floor area in case income details
are not available.
National Urban Information Scheme (NUIS)
NUIS data is available online and also provides a
possibility to merging it with property tax data, thus
creating an extensive data set with information on
use of land, along with floor space developed per
land use. NUIS Scheme has GIS databases for 152
towns / cities (March 2009) in the country in two
scales i.e., 1:10,000 and 1:2000. Apart from spatial
data, this database has attribute data which will be
useful for preparation of Master/Development
plans, detailed town planning schemes and serve as
decision support for e-governance. NIUS database
was used for the LCMP of Rajkot and consisted of
spatial data of each building, information on all
roads, and other utilities including street furniture.
Land Use Data
CDP or Master Plans are a prime data source for reviewing existing land-use patterns. However, there
are well-documented concerns about poor development control in India, 9 and development plans and
Master plans often do not represent actual development on the ground 10 . An alternative source for land
8 NMT modes account for more than 50% for travel in most Indian cities
9 See Pucher, J., et al. (2005). "Urban transport crisis in India." Transport Policy 12(3): 185-198.; , Dimitriou, H. T.
(2006). "Towards a generic sustainable urban transport strategy for middle-sized cities in Asia: Lessons from
Ningbo, Kanpur and Solo." Habitat International 30(4): 1082-1099., Alan, T. (1992). "Urban planning in the
developing world: Lessons from experience." Ibid. 16(2): 113-126.,
10 See Munshi, T. (2013). Built form , Travel Behaviour and Low Carbon Develpment in Ahmedabad, India.
Faculty of ITC. Enschede, the Netherlands, University of Twente. PhD.
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use information that is more accurate and reliable is the data collected by the National Urban
Information Scheme (NIUS) 11 (see box).
In cities where NIUS data is not available, CDP or Master Plans can be used in conjunction with
remote sensing data and property tax data. One important land use element that is missing in all
conventionally available statutory and non-statutory data sets in India is information on street
activities like hawkers and other temporary establishments. These activities are significant in terms of
their share in the city’s overall activities (residential and non-residential) and should thus be included
as part of the land use analysis.
Data on Densities
In addition to residential densities, jobs densities must also be studied and analysed. Data on
population is available from the census of India for the year 2011. However, this statistical data is
commonly available only for census wards. As stated earlier, these levels of aggregation might be too
high to capture NMT movements within the city, which are crucial from a mobility perspective.
Hence, TAZs, which can be smaller than a ward, will be essential. In the Indian census data, an EB 12
is a smaller unit than a census ward. The TAZs can be determined using census EB data. If building
footprint data is available, per capita floor space—calculated from the census data superimposed on
the property tax data—can be used to compute the per capita residential floor space for every TAZ. In
some Indian cities like Rajkot, number of jobs can be pinned to the building footprint using property
tax dataset. However, in most other cities, data on jobs is available only at the city scale and needs to
be disaggregated to TAZ level. For this purpose, one could make use of the value for average per-job
space consumption in the city and the location and extent of commercial and industrial activities in
the land use map.
Analysing Land Use
The pattern of land use needs to be analysed, which can be determined by analysing land/floor area
consumption per land use in each TAZ. It is also important to understand how land use is mixed by
calculating the ratio of the number of jobs to the number of household in each zone. Similarly, to
understand how individuals are accessing activities, it is important to analyse the average time taken
to reach retail stores and other nearby facilities. This can be calculated from primary surveys and the
trip diary method discussed under “Household Surveys” (Task 2-5).
Analysing Density
The analysis of density in Indian cities should be done to determine two indicators: the number of
person/jobs per unit area, and floor space used per activity per unit area. Using floor space per activity
as an indicator will help in comparing the BAU urban development projection with sustainable urban
policy scenarios. For example, comparing land use scenarios when a different Floor Space Index 13
11 Available online at http://urbanindia.nic.in/programme/lsg/nuis.htm ) that is in town where such data sets are not
available.
12
Data on census enumeration block boundaries is available from Census of India
(http://censusindia.gov.in/Maps/Map_Products/Rate_link/rate_list_for_maps.html), and data on population in these
wards is easily available from local census office.
13 Ratio of built-up area to land area
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(F.S.I) norm is introduced may reveal changes in either the per-activity consumption of floor space or
in the sheer number of activities available in the same amount of land as before.
Identifying Low Income Groups
Housing characteristics can be a useful indicator of income. For example, slum housing indicates a
low-income, poor population. Within the slum, low-income households often live in kutcha houses.
The TAZ data from property taxes, which also indicates per capita floor space, is also an indicator of
a low-income household.
Task 2-4 Review of the Existing Transport Systems
A review of existing transport infrastructure and facilities needs to be done for each transport mode,
including walking, bicycle, cycle rickshaw, auto rickshaw, shared auto-rickshaw and public transport.
The review should include all types of facilities and amenities including pavement description,
intersection treatments, lighting, parking space, parking cost and operation-related parameters.
Review of Existing Road Network Inventory
Road users can be classified as motorized (cars, two-wheelers, para-transit, shared and private auto
rickshaw, and bus) and non-motorized (pedestrians, bicyclists and cycle rickshaw). For each mode,
there are different requirements for ensuring easy, comfortable and safe mobility. It is thus necessary
to assess the existing infrastructure quality with respect to each of the modes as in the table below (the
fields in green cover aspects related to inclusiveness and accessibility).
Table 4.
Road inventory data
Data required Description Data
level 1
Width
Sample
Single sided/both side Sample
Continuity
Sample
Footpath (Survey Encroachment by other Sample
format 1a)
activity/vehicles
Pavement condition
Sample
Lighting
Sample
Clear markings
Sample
Infrastructure for pedestrians (Survey Format
2)
Infrastructure for bicycle and cycle rickshaws
(Survey format 2)
Intersections
(Survey format 1b)
Access
Lanes
format 2a)
(Survey
Signalized crossing
Level/raised crossing
Traffic calming tools like
speed breakers
Intermediate crossing
sections
Crossing distance
Barrier free access to bus
stops (Survey format 4b)
Barrier free access to
footpaths (Survey format 1a)
Cycle lanes/tracks
Width of cycle lanes/tracks
Both sided/single sided
Encroachment by other
activity/vehicles
Lighting
Pavement condition
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
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Data required Description Data
level 1
Intersection
treatment (Survey
format 2b)
Parking
format 2c)
(Survey
Para-transit (auto rickshaw including shared auto rickshaws and
cycle rickshaw) (Survey format 3)
Public transport (bus) - In absence of bus
services, a similar analysis can also be made
of the existing shared rickshaw services in
the given city. (0)
Personal motorized vehicles (PMV)- cars and
two wheelers (Survey format 5)
1 For sampling technique, refer to Task 2.5
Infrastructure
(Survey format 4a)
Bus stop (Survey
format 4b)
Road infrastructure
(Survey format 5a)
Intersections
(Survey format 5b)
Parking
format 5c)
(Survey
Signalized intersections
Traffic calming tools
Traffic calming for access to
properties
Number of parking
Distance of parking from PT
stop
Parking charges
Restricted / non-restricted
(Survey format 5a)
Number of parking by
specification of parking areas
(Survey format 3e)
Distance of formal parking
from bus stop (Survey format
3e)
Distance between parking
stations(Survey format 3e)
Parking charges(Survey
format 3e)
Dedicated bus lanes if any
(type and description)
Average speed on different
roads
Number of bus stops
Bus stop inventory
Average distance between
bus stop
Location of bus stop with
respect to junction
Passenger amenities on bus
stop
Number of bus terminals
ROW
Number of lanes
Average speed on different
roads
Road encroachment
Lighting
Type of intersectionsignalized/un-signalized
Turning time from each
direction
Signal phasing
Parking regulations
Number of parking
Parking charges by mode
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
Sample
The data requirement listed above determines the existing status of infrastructure type. Furthermore, it
is necessary to assess the system’s quality through parameters like traffic flow, delays, frequency and
waiting time. This information helps technical experts in model development and well as calibration
(traffic flow simulation, etc.).
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Review of the Public Transport System
Data must be collected regarding the performance and level of service provision for public transport
users. The data differs from CMP methodology in terms of determining taxes levied and the subsidies
being given. This identifies the ULB’s priorities for promoting the city’s public transport system. The
table below lists the data requirements for the public transport system (See 0).
Table 5. Data for public transport system (Survey format 4)
Data required Description Data Source Data
level
Number of buses by type of bus ULB & RTO Citywide 1
(standard, mini, low floor), fuel used
and age
Fleet utilization rate
State Road Transport Corporation Citywide 1
(SRTC) report & city’s bus company
Fleet usage detail
if any
(Survey format 4c)
Vehicular kilometers SRTC report Citywide 1
Average kilometers per bus per day SRTC report Citywide 1
Percentage occupancy- peak hour SRTC report & city’s bus company Citywide 1
and average
if any
Total passengers per day SRTC report Citywide 1
Route detail Route inventory
SRTC report & city’s bus company Citywide 1
(Survey format 4e)
if any
Headway on different routes Survey Sample 2
Average route speed Survey Sample 2
Service reliability Survey Sample 2
Cost and fare Operation cost per km
SRTC report & city’s bus company Citywide 1
(Survey format 4d)
if any
Tax levied
SRTC report & city’s bus company Citywide 1
if any
Fare structure
SRTC report & city’s bus company Citywide 1
if any
Revenue per km
SRTC report & city’s bus company Citywide 1
if any
Profit/loss
SRTC report & city’s bus company Citywide 1
if any
1 City wide data is available through secondary sources..
2 Sampling technique refer Task 2.5
Review of Para-Transit System
The data for para-transit (auto-rickshaw, cycle rickshaw and shared auto-rickshaw) should be filled in
Survey Format 3.
Table 6.
format 3)
Para-transit system(*) – auto-rickshaw, cycle rickshaw and shared auto-rickshaw (Survey
Data required Description Data Source Data
level
Type of ownership RTO, para-transit Citywide1
Fleet usage detail
workers’ union &
(Survey format 3a and
3b)
Number of para-transit by type (shared,
survey
RTO, para-transit Citywide1
personal autos and cycle rickshaw), fuel used workers’ union &
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Data required Description Data Source Data
level
and age
survey
Vehicular kilometers para-transit workers’ Citywide1
union & survey
Route inventory for shared auto para-transit workers’ Citywide1
Route detail (Survey
union & survey
format 3c)
Average waiting time for auto, cycle rickshaw para-transit workers’ Sample2
and shared auto
union & survey
Operation cost per km para-transit workers’ Citywide1
union & survey
Tax levied para-transit workers’ Citywide1
union & survey
Cost and fare (Survey Fare structure para-transit workers’ Citywide1
format 3d)
union & survey
Revenue per km para-transit workers’ Citywide1
union &survey
Profit/loss para-transit workers’ Citywide1
union & survey
(*) This is not an exhaustive lists of options and can be extended to include water transport, ropeways,
etc
1 City wide data is available through secondary sources. Citywide surveys are possible for cities except
the large 8-10 metropolises.
2 Sampling technique refer Task 2.5
Review of Freight Transport
This is an essential component necessary to track freight movement within city. This may include
through trips and within city trips. The following data is required for both.
Table 7. Freight movement survey (See 0)
Data required Description Data Source Data level
Freight vehicle movement Origin and destination points Surveys Sample 1
Freight vehicle parking Parking areas for freight vehicles and cost Surveys Sample 1
Review of Traffic Conditions on Roads
The existing traffic situation is the outcome of the travel demand, modes used to meet travel demand,
transport infrastructure and the level of service. Studying traffic conditions will not only allow
technical experts to calibrate the transport demand model but also analyze and identify the loopholes
in traffic management and transport infrastructure. In order to study traffic conditions, the following
data must be collected (0):
Table 8. Traffic volume count, delay and queue length (See survey format 6)
Data required Description Data Source Data level
Traffic count
Screen line by modes Surveys Sample1
At intersection by modes Surveys Sample 1
Queue length by mode Surveys Sample 1
Delay and Queue length
Delay by mode Surveys Sample 1
Travel speed by mode Surveys Sample 1
1 For sampling technique, refer to Task 1.
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Review of Traffic Safety
Accident data is reported as minor (slight injuries), serious and fatal and often minor and serious
accidents are underreported Therefore we recommend only analysing fatal accidents. Measuring
indicators for traffic safety requires quantifying the number of victims and identifying the vehicle of
impact (survey format 8).
Table 9. Data required for safety analysis (See survey Format 8)
Data required Description Data Source Data level
Number of victim involved in traffic By victim mode Traffic police FIR City level
fatalities and location
By impacting vehicle Traffic police FIR City level
Security
It is difficult to measure security levels for each mode because of the underreporting of data. Security
information should be collected from two sources: through police records and through household
surveys that indicate perceptions about security levels while using each of the modes. The table below
describes the data source and data to be collected for security from police records.
Table 10. Security aspects (See survey format 9)
Data required Description Data Source
Reported crimes (to include sexual Disaggregated by mode and Police records & household survey
harassment)
location
regarding perception
Task 2-5 Data Collection Approach – Methodology and Sources
The data collected and the model developed is to be publicly shared with the Knowledge Management
Centre (IUT) and cities.
Type of Data
Citywide and sample data related to city structure, transport infrastructure, vehicle profile in the city,
municipal budgets and investments, police reported crimes and accidents and travel behaviour must
be collected in order to prepare CMPs. Relevant data can be collected from secondary sources like a
previous year’s published reports (CDP, CMP or CTTS), city authorities, or primary surveys.
Sampling Methodology for Primary Surveys
Primary surveys are administered for sampled zones; stratified sampling is recommended for
collecting the required data. The city can be divided into six to eight broad zones, based on land use
patterns and distance from the city core area or central business district (CBD) to capture variation in
infrastructure and the socio-economic profile of city residents (Table 11).
Table 11.
Broad categories of zones
Distance from
CBD
0 -1 km
1 – 3 km
3 – 5 km
more than 5 km
Residential Slums Commercial/
Industrial
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Sampling technique for household surveys
CMPs need to account for different cross sections of society, and thus a representative sample survey
from all levels of society is necessary. It is also important to distribute the sample geographically. If
NUIS and property tax data is already available for the city, the building footprint and its attribute can
be used for the sampling exercise.
From the broad zone categories defined in Table 11, sample TAZs are selected for surveying and
collecting data. A stratified sample is done based on the socio-economic construct of the city such that
it is significant at the level of 95% confidence interval level (A more detailed description is available
under Annex I, provided at the end of the survey formats).
Sampling technique for collecting data related to infrastructure
In order to prepare an infrastructure inventory, information about the existing level of service and
infrastructure type is to be collected for non-motorised transport (Survey format 1 & 2), para transit
(Survey format 3), public transport (Survey format 4) and personal motor transport (Survey format 5).
Data on roads and infrastructure type is collected for three categories of roads, based on the ROW and
the purpose served: arterial or sub-arterial; collector roads; and local roads. The road inventory for the
entire city is developed on GIS platform and data is collected using a sample of road amenities and
facilities. From each of the broad category of zones defined earlier (Table 11), sample TAZs are
selected based on their spatial distribution. From each of the selected TAZs, a detailed survey is
conducted on 30 - 40 randomly selected roads covering arterial, collector and local roads. Based on
the land use characteristic and spatial distribution of TAZs, a relationship can be drawn to extrapolate
the infrastructure type.
Sampling technique for freight
Both motorized and non-motorized vehicles carrying goods coming into the city and moving within
city needs to be surveyed. This can be done at sampled outer cordons and cordon points where these
vehicles enter core city area. For example, in case of Visakhapatnam, five out of twenty sampled
intersections were selected for collecting data related to freight movement in the city. Of these three
were outer cordons while other two were entry points to the core-city area. 16 hour turning movement
counts have been carried out at each of these intersections on a typical working day.
Along with origin destination of the trips, the survey also needs to capture type of vehicle used and
commodity carried (Survey format 6)
Sampling Methodology for the Petrol Pump Survey
The choice of petrol pumps should be based on convenience sampling, but preferably in different
areas of the city. Random vehicles are surveyed in proportion to the population of different vehicle
categories to develop a confidence level at 95% significance. Simultaneously, a crosscheck on the
composition of vehicles (age and type) needs to be done as per number of registered vehicles. A
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sample of at least 3000 14 vehicles (two-wheelers, cars, buses, autos and trucks) should be collected to
cover a sufficient number of vehicles of different vintage.
Task 2-6 Study of Existing Travel Behaviour
Two important considerations should be taken into account while collecting data on travel patterns:
the collected data should be representative and cover the travel behaviour of all individuals within a
household; and the data should be segregated by social group and trip purpose. The household survey
is designed to assess different social groups effectively and to represent people’s perceptions towards
different modes of transport in terms of time, cost, comfort, safety and security. The questionnaire is
divided into two parts (0):
1. General or household questionnaire
2. Individual questionnaire
Household interview
Socio-demographic characteristics, activity patterns and travel behaviour are inter-related. In order to
effectively understand transport demand and supply, personal as well as socio-demographic
characteristics such as age, gender, employment status, caste, religion, family size, income levels, etc.
must be taken into consideration. The study of travel behaviour based upon these characteristics will
also help ensure that transport proposals are inclusive (that is, the benefits, and costs are distributed
proportionally across socio-demographic sectors). Therefore, it is essential to collect the above
information while conducting the household survey for the comprehensive and inclusive mobility
plan. It is possible that the income data gathered might not be representative. Therefore, for
determining the income status it is important that details on household assets are also collected during
the household survey.
Individual survey
In the household survey methods that are conventionally employed, trips are often grossly under
reported, especially for the members within the family who passively participate in the interview. The
result is that both short-distance and obligatory trips are vastly under-reported. Where good data on
social groups and building conditions are available, a variety of techniques are available to overcome
this shortcoming. In this case, it should be possible to stratify the population with a reasonable
accuracy and conduct a more detailed travel survey for a smaller but representative sample. For this
survey, the travel diary method is considered to be the most comprehensive tool, as it provides details
on each activity and how much time is spent on both the activity and travel to and from the activity. In
India, the flipside of using this method is that it requires extensive efforts from the respondent and
might not work in cases where the respondent is illiterate. To meet this challenge, the respondent
might be asked to recount his or her travel behaviour on the previous day, and all trips, including the
trip-chains, short distance and causal trips are carefully noted down by the surveyor (as done in the
conventional method). An analysis of travel behaviour should only draw on data collected from
14 The sample size of 3000 is recommended based on surveys carried in Delhi, Vishakhapatnam, Rajkot and
Udaipur to achieve statistically significant sample for each vehicle category for different vintage
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individuals who have been interviewed for the survey. For this sample to be truly representative, it is
important to collect and include data on the travel behaviour of women, children and old people.
The household survey questionnaire can be broadly divided into two sections: a revealed preference
survey and a stated preference choice. The revealed preference survey must include questions related
to information on the household and its members as well as their choices under existing conditions,
whereas the stated preference choice includes their alternative choices which may be non-existent.
Household and personal level information will provide details on the number of members of each
household and their details, assets, housing and living conditions, vehicular ownership, accessibility
to important destinations and mode choices, along with their opinions. The other part of the revealed
choice survey includes the travel diary, including details of trips, mode choices, origin, destination,
travel time, etc. The stated preference survey involves individual mode choice in two alternative
scenarios with different conditions of travel time, efficiency, safety, comfort, etc.
Based on the identified indicators for CMP, it is necessary to collect information regarding the
existing use and availability of modes, and criteria related to safety, security and cost. Also, the trip
chain data should be able to capture details for multi-modal use and include information like access
and egress mode, distance, travel time and cost.
Table 12.
format 10)
Travel behavior - Household information (to be collected through household survey
Data required
Personal information
Trip making information
Description
Age
Gender
Occupation (to get idea about current and future travel demand/ need)
Monthly income
Migration status
Caste and Religion
Vehicle ownership and age of vehicle
Monthly expenditure on transport
Trip purpose
Trip origin
Trip destination
Travel distance
Mode used
Access mode
Egress mode
Access Public Transport (PT) stop
Egress PT stop
Distance to access PT stop
Distance of egress PT stop
Travel time to access
Travel time to egress
Average waiting time for PT (or shared auto)
Total travel time
Total travel cost
Transport infrastructure
rating for different modes
Perception about Safety
Perception about security
Perception about comfort
Perception about cost
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The following should 15 be taken care of while conducting the household survey:
Conducting Pilot Surveys
Since every city has different travel patterns and transport infrastructure, people’s responses are likely
to vary. For this reason, it is necessary to conduct pilot surveys on 100 to 200 households, allowing
for format changes.
Instruction to Surveyors
A detailed workshop should be conducted with surveyors to explain the purpose of the surveys and
the data that needs to be collected. Specific instructions include:
1. The trips taken and travel needs for the last day are to be recorded. This will include all multiple or
single trips made during the last day by every member of household.
2. The access and egress part of the trips needs to be recorded if public transport or para-transit
modes of transport are used. This means there will be a minimum of three segments for each trip:
the access trip, the inhaul trip and the egress trip. Boarding and alighting time, boarding and
alighting stations, access and egress distance and access and egress modes will all be included. If
transfers are made to change the bus or other route it should be defined as a separate segment.
3. Surveyors need to record parking charges if respondent or person making trip is using private
modes of transport (including bicycle).
Cross-checks and Continuous Monitoring
Survey forms should be randomly checked at regular intervals to keep track of the quality of
information being collected. Also, cross checks are required regarding the type of information
collected. It is advised that for survey personel suitable number of supervisors are provided by the
consultant. A second way of cross checking is triangulation for data so that some data are collected
using different approaches to see the differences.
Task 2-7 Review of Energy and Environment
Quantifying energy consumption for transport is important for estimating the CO 2 and local air
pollution emissions from transport-related activities. In order to create a complete picture, both topdown
and bottom-up approaches for estimating energy consumptions are required. The top-down
approach makes use of the energy balances and relies on information provided by energy suppliers
(generally few). On the other hand, he bottom-up approach relies on a primary survey of vehicle users
to assess the energy consumption of different vehicle categories, which are then combined with the inuse
vehicle population to provide an estimate for total energy use within a city. Triangulation of data
in this fashion is essential, as vehicle inventory figures within a city can be incorrect.
Energy Balance
Energy balances are a way of representing aggregate energy flows from energy suppliers to energy
consumers, and are used as an accounting tool for estimating energy-related emissions. In general,
energy balances cover all fuels, however since the focus here is on transport, only diesel, petrol, LPG,
15 Based on the feedbacks received from consultants and experience on household surveys in the cities of
Vishakaptnam, Rajkot and Udaipur
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CNG and electricity will be covered. A simplified energy balance format for energy consumption at
the city level within the transport sector is provided in Survey format 12.
Table 13.
Energy balance
Data required Description Data Source Data
level
Consumption of fossil
fuels for transportation
Diesel, Petrol, CNG, LPG consumption within the
city on the basis of sales made by retail outlets and
Oil companies City
Consumption
electricity
transportation
of
for
company operated depots
Electricity consumed for Metro /Trams / Sub Urban
Trains
Railways & mass
transit operators
Vehicles: Fuel Types and Efficiency
The vehicle stock can be obtained from the vehicle registration records (Survey format 13). However,
these records include no details regarding how many of these vehicles are actually in use, how much
they travel on an average in a year, what fuel they use, or their fuel economy. These details need to be
obtained by conducting primary survey of vehicles at petrol pumps (Survey format 14) and refer task
2-5 for sampling approach.
City
Table 14.
Vehicle Inventory
Data required Description Data Source Data
level
Vehicle
Inventory
Stock of vehicles by year of manufacture (Passenger
Road
transport
City
Survey format 13
and Goods)
authority & survey
Vehicle
efficiency
Efficiency characteristics of vehicle categories with
Survey at petrol
Sample
Survey format 14
vintage (mileage, average vehicle kms travelled)
pumps
Ambient Air Quality
The data related to ambient air quality is helpful for understanding the impacts of transport on air
pollution. In some cities, the pollution control department has installed measurement instruments in a
few places within the city. However, data on ambient air quality is not available for all cities, and in
such cases the data can be collected using balloons, which can then be analysed in laboratories 16 or
16 This approach was used for Rajkot and air samples collected in this manner were analysed in a laboratory in
Ahmedabad
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using mobile air quality analysers 17 . The data collected for air quality is required for calibration of air
quality models 18 .
Table 15.
Data
required
Air quality
levels
Data related to emissions and environment
Description Data Source Data level
NOx, CO, SOx, Particulate Matter PM10, 2.5
concentration by location
Pollution
boards
control
Sampling stations
only
Noise Levels
Motorised transport contributes to noise in cities. In general noise levels near highways and
expressways are high on account of fast moving transport; however, there is no systematic recording
of noise levels. That said, it is quite feasible to monitor noise levels using mobile instruments to
document the baseline situation.
Task 2.8 Analysis and Indicators (Comparison with Benchmarks)
Indicators provide an easy way to communicate a city’s transport status, or to make comparisons
across alternative scenarios. The indicators for transport at the city level19(see Table 16) can be
broadly divided into i) indicators for mobility and accessibility; ii) infrastructure and land use; iii)
safety and security; iv) environmental impacts; and v) economic. Most of the indicators can also be
directly linked to the Service Level Benchmarks 20. A comparison of the indicators to SLB is
provided in Annex 4.
The details of the selected indicators (relevance and data sources) have been furnished in reports on
city level indicators. However, some of the indicators specifically related to investment trends and
impact on affordability might be difficult to use for business as usual and alternate scenarios (Table
16).
17 This is a relatively more expensive option than balloons however air quality over a 24 hour period can be
collected in this fashion
18
More details on air quality models are available from Urban Emissions website
http://www.urbanemissions.info/
19 The indicator classification is based on city level indicators developed for the cities in UNEP project for Low
Carbon Comprehensive Mobility Plan. Available at
http://www.unep.org/transport/lowcarbon/newsletter/pdf/ANNEX%202%20City%20level%20Indicators_%2
04oct.pdf
20
Service Level Benchmarks for Urban Transport Available http://jnnurm.nic.in/wpcontent/uploads/2010/12/SLB-Urban-Transport.pdf
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Table 16.
Indicators to be measured for existing and future scenarios
√ √
Indicator Name Description Existing Scenarios
Mobility and Accessibility
Modal shares by trip purpose i.e. work, education, health and
Modal shares*
others 21
Modal shares by social groups i.e. by income, women headed √ √
householdError! Bookmark not defined.
Average travel time by trip purpose i.e. work, education, health √ √
and others using different modesError! Bookmark not
Travel time* defined.
Trip purpose wise average travel time disaggregated by social √ √
groups
Average trip length frequency distribution √ √
Mode wise average trip length disaggregated by social √ √
groupsError! Bookmark not defined.
Trip length* Trip purpose wise average trip length disaggregated by social
groups
√ √
Affordability* Affordability of PT and para-transit fare by social group √
Cost of commuting
√
Infrastructure and Land use
Infrastructure
quality
Land
parameters
use
Safety and Security
Safety
Security
Average speed on roads of different modesError! Bookmark √ √
not defined.
Percentage of Household within 10 min walking distance of PT √ √
and para-transit stop
Average number of interchanges per PT trip √ √
Accessibility of disadvantaged groups by different modesError!
Bookmark not defined.
√ √
Land use mix intensity √ √
Income level heterogeneity √ √
Kernel density of roads, junctions and PT stop √ √
Risk exposure mode wiseError! Bookmark not defined. √ √
Risk imposed by modesError! Bookmark not defined. √ √
Overall safety √ √
Speed limit restrictions √ √
Quality of footpath infrastructure √ √
Percentage of road lighted
Percentage of footpaths lighted
√
√
√
√
21 Needs to be measured for all modes including pedestrians, bicycles, public transport (bus formal), public
transport (tempos), para-transit (cycle rickshaw), para-transit (auto), motorized two wheeler and cars
*For these indicators the data should be collected separately for vulnerable groups such as: i) Slum dwellers ii) Within the
slums, households living in kutcha housing as that is indicating BPL households iii) Recent migrants to the city and
temporary migrants to the city iv) Households living in relocated sites v) SC households vi) Minority groups vii) street
vendors etc. The data should also be disaggregated by sex
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Indicator Name Description Existing Scenarios
Percentage of people feeling safe to walk/cycle and use PT in city √
by gender*
Environmental Impacts
Emissions GHG emissions √ √
Lifecycle cost of different modesError! Bookmark not √ √
defined.
Per capita consumption of land for transport activity √ √
Depletion of land
Land consumed for different transport activitiesError! √ √
resource
Bookmark not defined.
Health hazards
Percentage of population exposed to air pollution √ √
Percentage of population exposed to noise levels > 50 dB* √ √
Economic (Response Indicators)
Investment
Trend in investments for development of infrastructure for various √
modes Error! Bookmark not defined.
Tax burden mode wise Error! Bookmark not defined. √
Cost borne by Fuel prices at pumps by fuel type
√
operators
Other charges levied as applicable at city level disaggregated by √
modesError! Bookmark not defined.
Fare policy
Percentage of subsidies granted
√
Percentage of population owning passes
√
TASK 3: Development of Business As Usual (BAU) Scenario
Task 3-1 Framework for Scenarios
BAU Storylines
Storylines are narrative descriptions of scenarios that are useful for communicating between different
modelling teams. As they do not go into detailed quantifications, storylines are helpful in
communicating a scenario to a wide range of user communities and stakeholders. Good examples of
scenario storylines can be found in the Inter-governmental Panel on Climate Change (IPCC) reports
on emission scenarios. 22
BAU Scenario: This scenario represents the future based on the continuation of past trends,, and is
often used as a counter factual reference or benchmark for assessing policy interventions.. For a
developing country in a rapid growth phase like India, the scenario assumes that future socioeconomic
development would mimic the resource-intensive development path currently followed by developed
countries. The BAU scenario extrapolates existing trends and does not assume any radical policy
interventions for sustainable development and emission mitigation. However, it does incorporate
infrastructure development and land use according to the Master Plans (see Task 3-2). Future
transport demand is based on the preferences of different socioeconomic groups in the base year. In
terms of passenger transport, the BAU scenario predicts increased car ownership and a higher demand
for motorisation. In terms of technologies, the scenario foresees continued reliance on fossil fuel cars,
with improved efficiency and a greater share of electric and hybrid cars. The share of bio-fuels and
electricity is also expected to improve in the transport sector (see Task 3-5 for fuel, vehicle and
electricity transitions in BAU).
22
IPCC four storylines (A1, A2, B1 and B2) are available at
http://www.ipcc.ch/ipccreports/sres/emission/index.php?idp=12
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Identification and Quantification of Drivers
A wide range of forces can drive scenarios, including demographic, social, land use, infrastructures
and economic issues. Since these driving forces can be quite uncertain, it is good practice to include
alternative quantifications for the most important drivers. For example, a CMP might include both
high and low growth scenarios for population. It is also a good practice to link the scenario driver
assumptions to published literature. Sources for socioeconomic and land use assumptions have been
provided in Task 3-2 and 3-3.
Model Framework
Models link scenario drivers to the outcomes to be analysed. For CMPs, the key outcomes include
mobility and accessibility, safety, infrastructures, energy and environment. Given this wide variety of
outcomes, it is obvious that a combination of models is required. A description of the model for CMP
work is provided in Task 3-4 (the transport planning model) and Task 3-6 (overall model framework
and linkage between transport planning and CO 2 emissions and air quality model).
Task 3-2 Socioeconomic Projections
A city’s future economic transitions depend on the current economic transitions taking place across
the country. It is also necessary to understand the city’s role in state and countries economic
development planning goals. For example, if the proposed DMIC corridor 23 includes a certain city, it
would lead to more economic development than the secular trend for the country as a whole, or past
trends for the city. Economic transition also leads to social transitions in terms of population (local
and migrant), household size, income levels and vehicle ownership.
Demographic Projections:
Demographic projection includes population projections for the city, along with other demographic
variables like family size, age cohorts, gender proportion, etc. The population projections scenarios
should also consider besides rural urban migration out and into the city from outside India. A good
starting point for demographic numbers is the census; the UNEP Guidebook 24 (Section 4.1) also
provides a good overview.
Employment Projection:
Census office data provides a nine-level workers classification, including manufacturing,
construction, trade and commerce, transport, communication and other services. The coming
transition from agriculture to industry and other sectors also needs to be projected with national goals
in mind. In some of cities, like Rajkot, enumerators at the municipal property tax department collect
data for each residential and non-residential building. Thus, the jobs for each activity in a particular
unit like TAZ can be calculated by dividing the floor area in that TAZ for that activity to the activity’s
total floor area in the entire urban area. This can be further projected for horizon years and population
projections. According to CMP, the change in socioeconomic groups will be 12% from lower class to
middle class and 8% from middle class to upper class in 2031.
23 Delhi Mumbai Industrial Corridor (DMIC) is a major infrastructure development stretching across the states of
Maharashtra, Gujrat, Rajasthan, MP, Delhi, Haryana and UP and will lead to high industrial growth in the corridor
area.
24
Low Carbon City: A Guidebook for City Planners and Practitioners available at
http://www.unep.org/Transport/lowcarbon/Pdf's/LowCarbonCity_Guidebook.pdf
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Industrial Growth Projection
Industrial growth projection depends on the national and state level policies for the region and the
growth trend for each of the city’s existing and planned industrial sectors. The growth rates for large
industrial sectors (e.g., steel, cement, chemicals, textiles, etc.) are linked to the overall economic
growth projections for India. The growth projections for the 12th five-year plan are available from the
Planning Commission document 25. Longer term projections are provided in the UNEP guidebook 26 .
Task 3-3 Land Use Transitions
The objective of successful land-use development and growth models is to identify where, how much
and what kinds of land use will develop. When modelling urban developments, it is necessary to
consider changes from vacant to built-up land and the reverse, as well as changes to the land use
itself, such as from residential to commercial. Simulation tools should be used to study these types of
land use changes.
The input requirements needed for land use simulation consist of the existing land use type and its
floor area, as well as the floor space requirement per capita for each land use within the city. The land
use type should be disaggregated into residential, commercial, retail, recreational, industrial,
educational, religious, and other categories. Land use projections and allocations for the horizon years
should be done in three steps. The first step includes the projection of socio demographics and the per
capita space requirements for each activity in the city. The second step involves the allotment of
activities based on connectivity and distances, as well as the availability of space. The third step
includes the scope of the land use transition. For example, the probability that a certain area will
become completely commercial will shift the residential space in the city’s outer areas in the coming
years. Once the allocation of activities is completed, the impact of land use on transport needs to be
analysed. When that is done, either the allocation of activities is accepted, or activity allocation
process continues and the loop from land use simulation to transport impacts can is re-assessed until
low carbon transport mobility goals are achieved.
Task 3-4 Transport Demand Analysis
Demand for passenger transport can be estimated using a four-step model (see Annex 5 for a detailed
description). The four-step model is based on an understanding of existing travel behaviour obtained
from the household survey (Survey format 10), and provisioning existing transport infrastructure and
service quality. First set up for the base year, the transport traffic flows on different road links are
compared with the actual traffic volume counts observed at various locations observed across the city.
The model is then recalibrated to match actual volume counts.
Once the transport demand model is calibrated for the base year, it can be used for analyzing the
horizon years of the BAU scenario (see Task 3). The inputs for this analysis will be the planned
strategies, changes in socioeconomic drivers (Task 3-2) and changes in land use (Task 3-3). The BAU
scenario assumes that people’s travel behaviour (within the same age and socioeconomic group)
remains the same as the base year.
25 For example for 12 th Five Year refer http://planningcommission.gov.in/plans/planrel/12thplan/welcome.html
26
Low Carbon City: A Guidebook for City Planners and Practitioners available at
http://www.unep.org/Transport/lowcarbon/Pdf's/LowCarbonCity_Guidebook.pdf
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Task 3-5 Technology Transitions
An understanding of vehicles, fuels and CO 2 emissions from electricity is essential to understanding
the implications of travel demand on CO 2 emissions and air quality (Task 3-6).
Vehicles and Fuels
The transport sector relies primarily on fossil fuels. The dependence on fossil fuels is linked to the
domination of internal combustion engine drive train technology on a global scale. In future, however,
multiple transitions may effect vehicles and associated infrastructures: i) a change in fuels due to
greater use of CNG, bio-fuels, and cleaner petrol and diesel; ii) more efficient engines; and iii) more
electricity for transportation such as metros and other rail based transit, as well as electric vehicles (2
wheelers, cars, etc.) for road transport.
The drivers behind these potential changes are a desire to address urban air quality issues and improve
energy security. For example, natural gas has been used as an option for improving air quality in
Indian cities, and as a result many cities have built fuelling infrastructures for compressed natural gas
(CNG). Bio ethanol blending in petrol is on-going and a 2% blend has already been achieved. By and
large, the fuel mix for transport is projected to be quite different between the base year and the future,
even in the BAU (Figure 4).
Figure 4. Fuel Mix for the BAU Scenario 27
27 Figure is from the Low Carbon City: A Guidebook for City Planners and Practitioners available at
http://www.unep.org/Transport/lowcarbon/Pdf's/LowCarbonCity_Guidebook.pdf. According to WEO 2012 by 2035
nearly 11% of energy demand from transport would be met by electricity, biofuels and other fuels (IEA, 2012).
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34

While cities have little role in formulating fuel mix policy, they are heavily impacted by any changes.
To understand these transitions, it is important to refer to national studies that document these
transitions 28 .
Plans for improvements in the future should take into account vehicle efficiency. The aggregate fuel
efficiency is expected to improve in the BAU, improvement is much in a fuel economy scenario
where India achieves the 4 lit per 100 km global target in 2050 (Figure 5).
Figure 5.
Fuel Economy Improvement in Cars
Electricity
Electricity is expected to play an increasing role in the future (Figure 4) of transport in cities, due to
the introduction of metros, the electrification of rail tracks and a wider diffusion of electric vehicles
(including two wheelers, cars and buses). In many cases, electricity is supplied to cities from outside
municipal boundaries, freeing the cities from local pollutants (SO2, NOx, particulates, etc.). However,
cities are obliged to account for CO 2 emissions as per the scope 2 emission guidelines from the IPCC.
The Central Electricity Authority (CEA) 28 shows the grid emission electricity intensity that is
compatible with UNFCCC requirements for the base year (latest available 2011). The future grid
emission intensity is expected to improve in the BAU (See Figure 6).
28 CEA CO 2 Database , Available at http://www.cea.nic.in/reports/planning/cdm_co2/user_guide_ver8.pdf.
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Task 3-6 CO 2 Emissions and Air Quality
Figure 6. CO 2 Intensity of Electricity from Grid 29
Model Framework
The framework for sustainable urban mobility needs to utilise the four strategic levers: urban form,
Non Motorised Transport (NMT), public transport and technology. The framework should study the
impacts of alternative strategies using key indicators for mobility, safety, and local environment, as
well as more aggregate indicators like CO 2 and energy use. It is difficult to find a single model that
can estimate all these indicators. One approach is to use a model framework (Figure 7) that combines
a GIS-based transport planning model (as described inTask 3-4) with an emission inventory and air
diffusion model (e.g. SIM AIR), which can then analyse the impact of activities from different
sectors, including transport, on the local environment, energy use and CO 2 emissions.
29 Figure 8 is from the Low Carbon City: A Guidebook for City Planners and Practitioners available at
http://www.unep.org/Transport/lowcarbon/Pdf's/LowCarbonCity_Guidebook.pdf. According to WEO 2012 by 2035 the
grid CO 2 intensity in BAU would be around 0.56 t CO 2 /Mwh (IEA, 2012)
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36

Figure 7. Overall Modelling Framework for CMP 30
CO 2 Emissions
The outputs from travel activity (available from Task 3-4) in vehicle kilometres can be used to
estimate fuel consumption by simply multiplying vehicle kilometres with the average fuel economy of
the different vehicle categories from the petrol pump vehicle survey (see Task 2-7). The CO 2
emissions can then be estimated using the CO 2 intensity for fossil fuels (see Table 17).
Table 17. CO 2 Emission coefficients for different fossil fuels based on Scope 1
Fuel Giga gram CO 2 /PJ kg CO 2 /tonne of fuel Kg CO2/lit of fuel
Motor spirit (petrol) 69.30 3101 2.30
High speed diesel (diesel) 74.1 3214 2.71
Compressed Natural Gas 56.1 1691 1.69*
(CNG)
Liquefied Petroleum Gas 63.1 2912 2.91*
(LPG)
(*) For CNG and LPG it is per kg of fuel
Local Air Quality
Travel demand (disaggregated geospatially and by vehicle type) can be transformed into pollutant
loads by multiplying vehicle kilometres with emission coefficients for PM 2.5, NOx, CO, HC, SO2
and Black Carbon. These pollutant loads can be transformed into air pollutant concentrations through
dispersion modelling. City scale models are available for doing this. For example, AIM Enduse/AIM
30
Figure 20, Low Carbon City: A Guidebook for City Planners and Practitioners available at
http://www.unep.org/Transport/lowcarbon/Pdf's/LowCarbonCity_Guidebook.pdf
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37

Air Models and SIM Air Model 31 have been used for Asian cities. These models include a description
of technologies at an aggregate level (e.g., two wheeler, car, bus, etc.) and also contain default
emission coefficient and vehicle efficiencies.
Figure 8.
Air Pollutant Concentrations Map , PM10 for Udaipur Using SIM AIr Model
Local air quality modelling can help in creating maps of air pollutant concentrations (see Figure 8),
which can help in estimating mortality and morbidity due to air pollution as related to the human
population. Modelling can also help analyse air concentrations related to different strategies (Task 4-
1) for achieving sustainable urban mobility.
Task 3-7 Analysis and Indicators (Comparison with Benchmarks)
The indicators for the BAU scenario are similar to those estimated for the base year (Task 2.8),
however, some of the indicators are more difficult to measure for the future and can be left out of the
list of indicators to be estimated.
31 More details on air quality models are available from Urban Emissions website http://www.urbanemissions.info/
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TASK 4: Development of Sustainable Urban Transport Scenarios
Task 4-1 Framework for Scenario
Review of National Carbon Indicators
CO 2 is the principal greenhouse gas, and therefore indicators for CO 2 at the national level are more
easily available than for other greenhouse gases (e.g., CH4 and N20). The per capita CO 2 emissions
based on the second national communication 32 33
was 1.0 t CO 2 in 2000. Due to the rapid pace of
development, the per capita CO 2 emissions climbed to 1.33 tCO2 34 in 2010. For future emission
trajectories, reference can be made to studies undertaken by the Climate Modelling forum 35 in 2009,
or to more recent modelling work under a UNEP project 36 that provides CO 2 indicators for the BAU
as well as sustainable scenarios.
Sustainable Urban Transport Storyline
The sustainable urban transport scenario visualises social, economic and technological transitions
through which societies respond to climate change, local environment and mobility challenges. The
scenario assumes deep emissions cuts using low carbon energy sources (e.g., renewables, natural gas,
etc.) and highly efficient technologies (e.g., improved vehicle efficiency). The scenario also includes
the adoption of behavioural and consumption styles consistent with sustainable development. The
sustainable development pathway allows CO2 mitigation at lower costs and without having to
sacrifice the original objective of enhancing economic and social development. The transport demand
is set on a sustainable path through changes to urban form and improvement of non-motorised and
public transport infrastructures.
Identification and Quantification of Drivers
The socioeconomic projections in the BAU scenario can be used, however for changes in land use,
infrastructures and policies please refer to Task 4-2.
Model Framework
Same as provided in Task 3-1.
Task 4-2 Strategies for Sustainable Urban Transport Scenario
The scenarios described here are related to the plans and policies aimed at limiting private vehicle
ownership and use. The scenarios also assume an increase in motorised transport to some extent,
32 Ministry of Environment & Forests (2012) India: Second National Communication to UNFCCC available at
http://moef.nic.in/downloads/publicinformation/India%20Second%20National%20Communication%20to%20UNFCCC.pdf.
33 Considering population as 1021 million and excluding bunker fuel emissions
34 As per IEA (2012), World Energy Outlook total CO 2 emissions from energy 1635 Million tCO2 in 2010 and the the
population in 2010 as 1224 million
35 Climate Modelling Forum (2009) India's GHG Emissions Profile http://moef.nic.in/downloads/home/GHG-report.pdf
36
See Figure 13, Low Carbon City: A Guidebook for City Planners and Practitioners available at
http://www.unep.org/Transport/lowcarbon/Pdf's/LowCarbonCity_Guidebook.pdf
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which is inevitable given the low level of vehicle use on a per capita basis. Therefore, emphasis is
also placed on improving technology in terms of efficiency and emissions. The strategies can be
typically categorised into four categories. These strategies will deliver full benefits if they are
implemented collectively, however for analysis it may be useful to present them one by one to see the
individual effect. The storylines presented here are indicative and the consultants can adapt them to a
city’s specific circumstances.
1. Reserving ROW
2. Planning transport
network
3. Improvement in
NMT infrastructures
1. Route planning &
scheduling
2. Road Pricing
3. Investment in PT
4. Taxation of private
vehicles
1. Zoning Regulation
2. Shelter policy
3. Floor Area Ratio
1.R&D Investment
2. Standards &
Labelling
3. Tax incentives
Figure 9.
Four broad strategies and accompanying policies used for sustainable scenarios
A: Urban Structure
The existing structure of Indian cities is compact, with high density and multi-nuclei development
resulting in shorter trip length. However, existing development strategies could result in increased trip
lengths. For this reason, the scenario explores alternate development strategies for reducing trip
lengths and improving access to public transport through changes in zoning regulations and floor area
ratio to achieve density, diversity and better design.
B: Non-Motorised Transport Infrastructure
The scenario considers how to improve NMT user experience by enhancing footpaths and bicycle
lanes. It also addresses how to improve safety and access for pedestrians and bicycles at intersections.
Reducing barriers and impediments on roads to improve bicycle speed is another aspect considered
under the scenario. Reduced conflicts between NMT users and buses on roads can result in a small
increase in bus speed.
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C: Public Transport
The public transport storyline includes NMT, as any public transit trip includes a NMT component for
access and egress. Since most Indian cities lack reliable bus service, two kinds of storylines for public
transport should be considered:
1. Improved bus service with compatible pedestrian and bicycle infrastructure
In this scenario, bus infrastructure and operations are improved so that reliable bus service is available
at least along all arterial roads. In addition, operational interventions like better routing and
scheduling, improved frequency and better bus stop design improve bus speed, overall safety and bus
user comfort. Para transit modes are available on the sub arterial and connecting roads so that the
maximum access/egress trip length is less than 1 km. In order to facilitate walking and cycling, the
scenario includes optimally designed footpaths and cycle tracks to improve NMT user comfort and
safety. Other support infrastructures, like bicycle parking near bus stations, are also considered.
2. Improved bus service and mass transit with compatible pedestrian and bicycle infrastructure
This scenario includes all improvements detailed above in the improved bus service storyline, as well
as a mass transit system on select traffic corridors. Mass transit options could include BRT (exclusive
lanes on all arterial roads), light rail or a metro system 37 . (If the demand exceeds 15000 persons per
hour along a 10 km long corridor)
D: Improving Public Transport, NMT and Urban Structure:
This scenario looks at how the implementation of NMT, public transport and urban structure
strategies combine and complement each other.
E: Technology
Technology changes can encompass changes to vehicles, fuels and CO 2 emissions related to
electricity. See Task 4-4.
F: Regulatory and Financial Measures (Incentives and Disincentives)
A wide variety of measures can be undertaken to help shift people from private transport modes to
sustainable urban transport under a regulatory and financial measure scenario. Examples of such
measures include parking policies, congestion pricing and carbon-taxes.
1. Increased parking cost and distance to parking area
Parking is generally cheap—if not free—in Indian cities. As a result, there is no disincentive for
owners of private transport modes like cars and motorized two-wheelers to stop using them to get
from one place to another.
Instead, there are plenty of incentives to keep using them, as they offer a high amount of personal
mobility. However, carriageways are neither cheap nor private. Using carriageways and footpaths for
37 For an overview of Mass Transit Options see Table 9. Low Carbon City: A Guidebook for City Planners and Practitioners
available at http://www.unep.org/Transport/lowcarbon/Pdf's/LowCarbonCity_Guidebook.pdf
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parking purposes to the detriment of cyclists, pedestrians and other NMT users is unjustifiable, and
encourages private transport modes that lead to higher per-capita carbon emissions.
Like scenario D, in this scenario, infrastructure improvements are made for pedestrians, bicycles and
public transport, but with increased parking cost, longer distances to parking areas and less parking
spaces, resulting in increased discomfort for personal motorized vehicle users. The purpose of this
scenario is to analyze user sensitivity to fiscal policies impacting the use of personal motorized
vehicles.
2. Congestion pricing
Congestion pricing is a way of harnessing the power of the market to reduce waste associated with
traffic congestion. Congestion pricing works by shifting purely discretionary rush hour travel to other
transportation modes or to off-peak periods. By removing a fraction of the vehicles from a congested
roadway, pricing enables the system to flow much more efficiently, allowing more people to move
through the same physical space.
Indian cities have dense cores with a heavy concentration of activities, thereby generating a high
demand for transport. By an extension of the same logic as detailed above, congestion pricing would
also help dis-incentivize car owners from consuming precious road space in already congested core
areas, which could then be used by NMT and PT users.
However, such measures would require adoption of additional technologies in Indian cities, which
would entail high initial as well as overhead costs. Also, pricing should be based on the amount of
kilometres travelled within the designated area, instead of an entry fee as in a cordon system.
Congestion pricing must also be based on amount of congestion on a particular road as well as the
time of the day during which the trip is made. Additionally, improvements must be made in the
existing PT system and NMT infrastructure to make the shift from private modes attractive to the
user.
Based on the development strategies stated above, several alternate scenarios are be developed. These
scenarios are then evaluated against the meta-indicator for per capita CO 2 emissions for low carbon
transport at the national level. If the per capita emissions at the city level exceed the per capita
emissions at the national level, then additional measures are identified for aligning the CMP with the
national transport action plan using a back casting approach.
Task 4-3 Transport Demand Analysis of Alternative Strategies for Sustainable Urban
Transport
The above scenario storylines (A, B, C, D and F) aim to improve transport infrastructure and increase
the cost of using personal motorized vehicles. Two methods can be used to estimate travel demand for
different modes under alternative scenarios:
Method 1: Repeating four step model
In this method, a four-step model (as discussed in Task 3-4) is repeated, taking into account changes
in parameters associated with different modes like cost, travel time, availability, comfort and safety.
These changes result in changed impedence to different modes and consequently, changes in people’s
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transport choices. Likely changes to be accounted in the four-step model in alternate scenarios are
described in the table below.
Table 18.
Differences in four-step models for alternative scenarios
Trip
production
Trip
distribution
Mode
choice
Traffic
assignment
Change due
to
Age-sex
distribution
and
population
growth
Change in
land use
parameters
and change
in impedence
for different
modes
Change in
impedence
and trip
length
Change in
impedence
Urban
structure
Population
distribution
in city
Distribution
of activities
(residential,
commercial
and
industrial)
NMT
infrastructure
Change in
impedence
(Bicycle
Compatibility
Index and
similar for
pedestrians)
Public
transport
Change in
impedence
(travel time,
travel cost,
accessibility
and
reliability)
Technology
Change in
travel cost
Regulatory
and
financial
measures
Change in
travel cost
by different
modes
Change in
travel cost
by different
modes
Method 2: Stated preference surveys for mode choice modelling
The scenarios specifically related to improving infrastructure directly impact people’s mode choice. In
such cases, the effect of different scenarios on the attributes of individual modes should be presented
to the respondents. The respondents are then asked to choose the preferred mode within each scenario.
This allows analysts to determine which factors can be compensated for and which factors have major
impact on people’s mode choice. This in turn makes it possible to predict the demand for each mode
in different scenarios, even when there is no existing alternative. Also, with the help of this
methodology, new alternatives that have not yet been surveyed can be introduced later in the model.
This requires incorporating a stated preference choice survey along with the main household survey
(survey format 11).
This survey format is designed to capture people’s behaviour in making choices when an improved
alternative mode is available. In order to do this, the respondents must be provided choices that
include both the improved and existing alternatives. The respondents can then either choose among
the given alternatives or choose an alternative within a scenario.
There are certain points of concern to be addressed when formulating the choice set within each
scenario:
People tend to be pre-biased either negatively or positively for a certain alternative
Time and cost attributes are comparatively easy to introduce and understand, however the change
in safety and security parameters needs to be strongly highlighted
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It is likely that middle and high income groups will not consider inferior modes as an available
alternative
It is extremely important to ensure that one particular alternative within a choice set does not
dominate, as it is then difficult to determine the trade-offs between different alternatives
Stated preference choice surveys can help analysts identify the respondent’s probability of shifting
from one mode to other under varying conditions, and thus estimate shifts in alternative scenarios for
CMP. This requires analyzing the effect of various factors on people’s mode choice. In the survey, a
range of scenarios that show variations in the attributes of different modes or options are presented to
the respondent. The respondent is then asked to choose one preferred mode of travel for each
scenario. Using the variations in attributes of modes and respondent choice, parameters for making
mode choices can be extrapolated based on the socioeconomic profile of the respondent. BIOGEME
(freeware) or N-logit (licensed) can be used by the analyst to determine the co-efficient of each of the
individual parameters taken into account. The survey methodology enables the analyst to understand
the impact of improving infrastructure, taxation and pricing regimes or introducing a new mode
choice mode in alternative scenarios.
Task 4-4 Technology Transitions under a Low Carbon Scenario
In the low carbon scenario, the fuel mix is expected to diversify further from BAU towards biofuels,
electricity and natural gas (Figure 10). Vehicle efficiency will also improve (Figure 8), and thus the
overall demand for fuels will be lower.
Figure 10. Fuel Mix for Transport in Sustainable Low Carbon Scenario 38
38 Adapted from Figure 11, Low Carbon City: A Guidebook for City Planners and Practitioners available at
http://www.unep.org/Transport/lowcarbon/Pdf's/LowCarbonCity_Guidebook.pdf. World Energy Outllook 2012 from
IEA shows a diversification towards biofuels and other fuels from oil.
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Another major transformation has to do with electricity, which is quite low in CO 2 intensity (Figure 6)
and therefore electricity-powered transport modes can become low carbon options.
Task 4-5 CO 2 Emissions and Air Quality (Refer task 3-6)
The model framework is same as the BAU scenario for estimating CO 2 emissions and air quality.
Task 4-6 Analysis and Indicators (Comparison with Benchmarks)
The indicators for the sustainable urban transport scenario are similar to those estimated for the base
year (Task 2.8), however, some of the indicators are more difficult to measure for the future and can
be left out of the list of indicators to be estimated.
TASK 5: Development of Urban Mobility Plan
The Urban Mobility Plan should be developed in consultation with stakeholders and on the basis of
the analysis carried under Task 3 and 4. The urban mobility plan can be defined along the following
lines however it is important that the plan includes a timeframe, financing options, and
implementation agencies.
Task 5-1 Integrated Land Use and Urban Mobility Plan
CMP advocates integrating the urban mobility plan with the land use plan and vice-versa. In most
cities, the land use plan is already in force via the DP mechanism, even as the urban mobility plan is
being prepared. In such cases, the urban mobility plan must respond to the mobility demands created
as a result of the DP. Ideally, the urban mobility plan should be an integral part of the DP document.
This would help in guiding land use allocation in a manner that facilitates and encourages low-carbon
mobility.
Integrating land use with the urban mobility plan would entail a two-way interaction between the two
plans. High density residential areas intertwined with high density employment areas, along with
increased travel costs and an efficient public transport system would incite people to use NMT for
shorter trips and public transport for longer ones, thus encouraging low-carbon mobility. The land use
should be allocated in a manner that encourages shorter but more frequent trips, thereby enabling
improved accessibility to activities. This would also help people shift from private travel modes such
as cars to NMT (including cycling and walking). To additionally encourage NMT, neighbourhood
design measures such as variety in public spaces, pedestrian footpaths and cycling tracks must be
implemented. To summarize, the land use plan should locate activities in a manner that encourages
low-carbon mobility and the urban mobility plan, in turn, should facilitate access to activities.
Task 5-2 Formulation of the Public Transport Improvement Plan
CMP divides Public Transport Improvement Plans into a number of sections, including service
improvements for buses, trams and para-transit, appropriate MRT options and development plans,
trunk and feeder network systems and intermodal facility plans.
Formulating a public transport improvement plan in small sized Indian city can involve several
challenges. These range from assessing transport demand to service provision and its alignment with
land use. Most Indian cities, especially middle-sized ones, do not have an extensive public transport
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network. Therefore, it is very difficult to judge the demand for public transport based on revealed
preferences, and data collected on stated preferences should be used for demand assessment of PT
systems.
Improvement in public transport involves infrastructural improvements like reserving lanes and
tracks, improving the location and design of stops, and operational improvements like optimizing
routes and scheduling. It is necessary to identify the type of improvement required to improve the
level of service. The improvement in level of service is likely to not only maintain the existing modal
share of public transport but also create a shift from other modes to public transport. These shifts are
determined by city structure and travel behaviour. Important consideration needs to be given to
optimizing the fleet based on demand: instead of offering a 50-seat bus every 30 minutes, it might be
better to provide 25-seat buses every 15 minutes. Secondly, most of these small cities are likely to
grow into larger metropolitan towns in future, so a gradual progression towards public transport
technology can be also suggested. For example, a strategy could start with city buses and progress to
BRT and eventually to a metro. This is also important from the low-carbon point of view, as operating
a public transport system at low capacities will result in higher per-capita carbon emissions from
transport use, in comparison to a PT transport system operating near its capacity.
System planning should consider not only where it’s placed (i.e. routes and stops), but also whether it
is accessible to all potential users. Plans for the system should take into account accessibility issues
for pedestrians and cyclists, the disabled and elderly, as well as private vehicle users once they have
parked.
Task 5-3 Preparation of Road Network Development Plan
CMP lists road projects to be developed, including hierarchical road network, arterial road
construction/widening projects, secondary road construction/widening projects, intersection
improvement projects, flyover projects and railway over bridge or underpass projects.
According to CMP, the hierarchical road network should be based on travel demand. In addition to
assigning the proper hierarchy to the road network, which is derived from its land use, it is important
to consider urban roads as streets and assigned functions. Considering that more than half of the trips
recorded in India are NMT, it is essential roads provide proportionate space for NMT. Despite the
latent demand for motorized vehicle use, proposals to improve motorized vehicle mobility by
increasing road space under the pretext of easing congestion should be discouraged as much as
possible.
Task 5-4 Preparation of NMT Facility Improvement Plan
In preparing NMT facility improvement plans, the most important consideration to keep in mind is
that a large proportion of urban travel involves using these transport modes. Thus, is essential to
identify specific streets and the street types preferred by individuals when walking or using a bicycle.
This, in turn, will lead to ranking streets for walking and bicycle use. As stated earlier, if the TAZ
sizes are small, the spatial interaction between zones can be captured and assigned to the network
using street ranking for walking and bicycle use. The modelling spatial interaction should represent
the current preferences and demand, as well as for stated choices, which represent demand for
walking and bicycling if a certain level infrastructure is provided. When planning NMT infrastructure,
due consideration should be given to the existing networks and not patches. For example, all roads
where individual are likely to walk should include at least 2 metres of clear, walkable footpath.
Moreover, all potential walking or bicycling locations should have NMT infrastructure, including
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comfortable footpaths, cycle tracks, streetlights, zebra crossings and NMT-designed signals at all
junctions. Access to activities and transport services should also be taken into account. The design of
these facilities should be such that they are inclusive, and provide travel opportunities to the so-called
disadvantaged sectors of society (the physically challenged, urban poor, women, children, individuals
with special needs, etc.).
While at a policy level, NMT planning may be accepted, detailed NMT improvement plans and traffic
management measures should be worked out for CBD, commercial centres, and other major activity
centres. These detailed plans define NMT policy for the whole region, and provide the cost basis for
implementing such policy. CMP refers to on-the-ground traffic management for pedestrians and
cyclists, but does not talk about a city level infrastructure planning for pedestrians and cyclists, who
account for 40 to 50% of trips in mid-sized cities like Rajkot.
Task 5-5 Preparation of Mobility Management Measures
In CMP, traffic management plans cover parking plans, traffic control measures, intermodal facilities,
demand management measures, traffic safety plan and ITS.
Mobility management measures suggested in the CMP should enable use of public transit and NMT
modes. As shown below, additional measures should be added to increase the cost and discourage the
use of motorized travel, including the taxation of cars and fuel, land use planning that encourages
shorter travel distances and traffic management by reallocating space on the roads.
Table 19.
TDM measures varying from push and pull factors
TDM Measures
Taxation of cars and fuel
Closure of city centres for car traffic
Road pricing
Parking control
Decreasing speed limits
Avoiding major new road infrastructure
Sourced from Gärling et al. (2002)
Tele-working
Land-use planning encouraging shorter travel distances
Traffic management reallocating space between modes and
vehicles
Park and ride schemes
Improved infrastructure for walking and biking
Task 5-6 Preparation of Regulatory and Institutional Measures
Effective development of urban land use and transport systems often requires regulatory and
institutional changes. Such requirements should be thoroughly worked out and documented in the
CMP. These measures can be developed region-wide or be project specific. The regulatory and
institutional plan should include the following:
Regulatory measures in relation to:
Bus service improvement (concession, privatization, and lease contract);
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Traffic safety improvement (traffic regulation, mandatory road user education, enforcement
systems);
Introduction of Transport Demand Management (TDM) measures;
Vehicle emissions (focus on non-fuel based vehicles and compressed natural gas/CNG vehicles);
and
Public-Private Partnerships (PPPs).
Institutional measures in relation to:
Coordination mechanism to integrate public transport operation and to integrate fares;
Establishment of Unified Metropolitan Transport Authorities (UMTA);
Establishment of SPVs for the implementation of proposed projects; and
Other changes necessary to promote PPPs.
Task 5-7 Development of Fiscal Measures
Fiscal measures should also be considered to achieve a balanced modal split, and to secure the budget
necessary to implement urban transport projects. As fiscal measures usually correspond to
institutional and regulatory measures, the following aspects may have to be examined in the CMP
document:
Fare policy for public transportation, and parking;
Subsidy policy for public transport operators;
Taxation on private vehicles and public transport vehicles; and
Potential for road congestion charging.
Task 5-8 Mobility Improvement Measures and NUTP Objectives
The land use and transport measures proposed in the CMP will improve mobility in the metropolitan
area and cover the critical issues addressed in the NUTP. A table can be prepared summarizing the
relationship between the NUTP objectives and the measures proposed in the study, together with a
classification of the measures according to their implementation time frame (short, medium and long
term).
TASK 6: Preparation of the Implementation Program
Task 6-1 Preparation of Implementation Programs
Task 5 involves the development of various urban mobility measures like public transport
improvement plans, road development plans, NMT facility improvement plans and mobility
management measures. The necessary interventions for these measures are listed next into a set of
actionable projects to be implemented in the city. and prioritised into the following categories
Immediate priority / actions (0 - 2 years)
Short term (next 2-5 years)
Medium term (5-10 years)
Long term (more than 10 years)
All the projects are presented to the city stakeholders and the likely implementing agency for each
project is identified.
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It should be made clear in the CMP that the project list is merely a description of priority projects.
Detailed project reports with cost estimates and financing will have to be prepared by the city
authorities and approved by the local urban body and state government before applying for funding
from the MoUD or any other agency.
Task 6-2 Identification and Prioritisation of Projects
The prioritisation into immediate, short term, medium term and long term can be done using the
following criteria
Immediate and short-term measures are aimed at improving the safety and accessibility of
pedestrians, cyclists and public transport users, area level traffic circulation plans and measures
like implementing traffic signals
Medium-term measures typically involve corridor-level projects like implementing cycle tracks
and mass-transit corridors, city level initiatives like public transport fleet improvement and
efficient scheduling, developing area level cycle networks and Public Bicycle Sharing (PBS)
schemes, parking policy development and implementation in the city. They are primarily aimed at
halting the decrease in the city’s public transport and non-motorised transport mode shares
Long-term measures include implementing the overall vision of the CMP. This includes
developing city level networks for walking and cycling, bus systems, mass-transit networks,
parking regulation measures and pricing strategies as a demand management tool, improving the
overall road network to provide adequate accessibility for existing developed areas and new ones
as the city grows, centralised control measures for traffic signal systems and public transport
operations
An additional set of criteria for prioritising projects can be
Balance between improving existing infrastructure and creating new infrastructure in upcoming
areas of development
Costs versus project’s benefits measured in terms of mobility and accessibility, safety, energy,
environment and CO 2 mitigation.
These project ideas are presented to the stakeholders in order to get their feedback on both the
projects and their prioritisation. Multi Criteria Assessment (MCA) technique 39 can be used to
evaluate alternate options using stakeholder feedback. The final list of identified projects then
undergoes detailed studies on implementation, cost estimates and likely funding agencies.
Task 6-3 Funding of Projects
Over time and following constitutional amendments (73rd and 74th), the strategic importance of
Urban Local Bodies (ULBs) in developing urban amenities and delivering services which directly
influence the wellbeing of city’s local populace have significantly increased without a commensurate
increase in the ULB’s resource base. This constitution-led inbuilt imbalance has resulted in the
growing dependence of ULBs on the state government and subsequently on the central government
for financing urban infrastructure projects. The present structure of fiscal dependence of ULBs is
outlined in the following diagram.
39
Refer MCA handbook for methodology for prioritisation http://eprints.lse.ac.uk/12761/1/Multicriteria_Analysis.pdf
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Figure 1.
Fiscal Dependence of ULBs
Source: RBI working paper
As the CMP is a long-term vision for the city authority, the overall ownership of the CMP lies with
ULBs. Given the ULB’s dependence on funding, a city’s CMP should make a resource assessment for
all the projects listed in the CMP and should suggest the city authority, city specific and project
specific indicative source of financing for the project.
Assessing financing options for urban transport needs to be carried out on two broad levels:
Level 1: Review and Assessment of Available Resource Bases and Awareness Campaign.
On this level, an assessment of the existing resource base needs to be carried out according to
different tasks and sub-tasks. The city civic authority and state government officials should be made
aware of the different sources of funding based on best practices.
Task 1: Assessment of ULB’s resource base.
Sub-Task 1: Review of ULB budgets (Municipal Authority, Development Authority etc.). A review of
at least the three most recent budgets is required. The budget review will enable planners to
understand the pattern of revenue source and expenditure.
Sub-Task 2: Review of the status of urban governance reforms achieved by the ULB. As per the
MoUD/JnNURM/UIDSSMT etc. guidelines, cities are required to perform various reforms for
improving the financial transparency and accountability of the ULBs. Based on the city’s reform
performance, potential sources of revenue must be identified, taking into account the city’s level of
preparedness. Suggestions for augmenting revenue generation through increasing FAR/FSI for
funding transportation infrastructure projects should be based on city’s preparedness. For example, if
a particular city is not able to achieve property tax reform, then suggestions for Transferable
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50

Development Rights, selling of extra FAR/FSI, etc. should be made once the city civic authorities are
sensitized on the importance of property tax reform during stakeholder consultation.
Sub-Task 3: Identification of potential sources of revenue based on past experience in other cities (for
example, citing the best case study involving the issuance of municipal bonds by Ahmadabad
Municipal Corporation). During the stakeholder consultations, the city civic authority should be made
aware of alternative sources of revenue, which in turn can be used as innovative mechanisms for
financing urban transport infrastructures.
Task 2: Assessment of State Government’s Resource Base for Urban Transport Development.
Sub-Task 1: Review of state’s five-year plans and the state’s annual budgets. This review will help
planners understand the state’s priority areas regarding its ability to mobilize and disburse resources.
Sub-Task 2: Review of the status of urban transport reforms achieved by the state. The formation of
the Unified Metropolitan Transport Authority (UMTA) and the development of the Urban Transport
Fund (UTF) will enhance the state’s resource base for developing and maintaining the state’s urban
transport infrastructures. During stakeholder consultations, officials from the state government and
city civic authority should be made aware of urban transport reforms and the same should be
documented in the CMP.
Task 3: Review of Central Government’s Schemes and Policies for Urban Transport
Development.
Sub-Task 1: Review of the central government’s schemes and policies for urban transport
development, such as JnNURM, etc., will help state government and city authority officials structure
projects indentified in the CMP so they are in alignment with the central government’s schemes, and
thus receive funding. During the stakeholder consultations, state government and city civic authority
officials should be made aware of all such central government-sponsored schemes and the same
should be documented in the CMP.
Task 4: Review of Funding Patterns of Banks, Financial Intermediaries and Multilateral
Funding Agencies (MFAs) in Terms of Developing Urban Amenities.
Sub-Task 1: Financial intermediaries such as HUDCO, IL&FS, IDFC, commercial banks and MFAs
such as the Asian Development Bank, World Bank and JICA provide term loans for infrastructure
development based on certain terms and conditions. A review of the funding pattern of these banks,
financial intermediaries and MFAs will help the city authority structure the projects indentified in the
CMP according to the financial institution’s guidelines.
During the stakeholder consultations, state government and city civic authority officials should be
made aware of the funding pattern of banks, financial intermediaries and MFAs and the same should
be documented in the CMP.
Task 5: Assessment of Tapping Private Resources in Development and/or Management of
Urban Infrastructure.
Sub-Task 1: Review of the state’s successful PPP projects in urban infrastructure (these projects
should not necessarily in urban transport; they may also be in water supply or solid wastes or other
domains). Reviewing of successful PPP projects will indicate the quantum of the state’s
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51

conduciveness towards private investment in developing / managing infrastructural projects. This will
also help civic authorities to evaluate the confidence level of private players in investing its funds in
developing and or managing public amenities. Based on the state’s current trends, the city civic
authorities and state government officials should be made aware of PPP/private funding as alternative
source for developing urban transport infrastructure during stakeholder consultations.
Task 6: Listing and Sensitization to Innovative Financing Options for Developing Urban
Transport Infrastructure.
Sub-Task 1: Sensitization to market-based financing options. During the stakeholder consultations,
the civic authority and state government officials should be made aware of various market based tools
such as issuance of taxable and tax free municipal bonds, pooled financing, and other mechanisms as
alternative sources for financing urban transport.
Sub-Task 2: Sensitization to PPP as financing options. During the stakeholder consultations, the civic
authority and state government officials should be made aware of various PPP options such as
management contracts, BOT and other possibilities as alternative sources for financing urban
transport.
Sub-Task 3: Sensitization to climate financing. During the stakeholder consultations, the civic
authority and state government officials should made aware of various climate financing options such
as CDM, NAMA financing and carbon credits as alternative sources for financing urban transport.
Sub-Task 4: Sensitization to capturing indirect user benefits and pricing. During the stakeholder
consultations, the civic authority and state government officials should be made aware of capturing
indirect user benefits and pricing such as land value capture, TOD, transferable development rights,
financing from increases in FAR/FSI, congestion pricing, establishment levies, etc.
Level 2: Suggestions for Financing Options for Project Implementation
Based on review of the civic authority’s existing resource base and preparedness, the CMP should
suggest project and city specific financing options for the projects identified in the CMP. These
should take into account the options or combination of options, but not limited to the options
mentioned in the Table 1. The CMP should always encourage the civic authority to fund their
transport infrastructure projects through innovative and self-sustainable means of financing, such as
PPP options, issuance of bonds etc. Various financing options for urban transport infrastructure are
listed in Table 1, details of which are described in Annexure 1.
Further, as the CMP is a vision document, the projects identified in the CMP should be detailed by
preparing Detailed Project Reports (DPR) and/or Feasibility Reports for each individual project. The
CMP should also suggest funding sources for preparation of DPRs and Feasibility Reports. Various
financing options for project development (preparation of DPR/Feasibility Report) are described in
Annex 7.
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52

Table 20. Financing options for urban transport 40
Funding Source Type Options Responsibility
Funding from Domestic
Public
fund
Advertisement/Fare
box
ULB
Source at Local Level
Domestically
revenue/Parking Fee
(ULB)
Mobilized
Creation of City Level UTF
Congestion pricing
Cess on fuel, private vehicle
taxation/ green cess on existing
private vehicles
Property development/TOD
Land value capture/ Betterment
charges/ Vacant land tax
Municipal bonds
Pooled Financing
Funding
from
Public
fund
General budget funding
State Govt.
Domestic Source at
Domestically
Viability gap funding
State Level
Mobilized
Loans from Financial
Institution/Banks
Creation of State Level UTF
Funding
from
Public
fund
General budget funding
Central Govt.
Domestic Source at
Domestically
National level funding Scheme
National Level
Mobilized
like JnNURM
Viability gap funding
Climate Funding (NAMA
Financing)
Funding
from
Public
fund
Loans from Multilateral
State Govt. and
International Source
Mobilized
from
Funding Agency
ULB
International
Carbon Finance
Source
Climate Funding (NAMA
Financing)
Funding from Private
Private
fund
PPP
Options
State Govt. and
Source
Domestically
(BOOT/BOT/Lease/Annuity
ULB
Mobilized
etc.)
40 Various financing options for Implementation of Project are described in Annexure 1
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53

Task 6-4 Monitoring, of CMP Implementation
CMP is the basis for approving projects, plans and various regulatory measures within the city related
to transport and it is therefore important to monitor and measure the impact of interventions taken as
an outcome of CMP.
The first level of monitoring can be with regard to the status of implementation of the Urban Mobility
Plan (Task 5) in terms of time frames proposed and achieved. This is helpful to understand the pace of
CMP implementation.
The second level of monitoring can be to understand the impacts of CMP implementation. The
indicators created as a part of CMP can form the basis of this monitoring and this monitoring can be
done on a biannual basis. CO2 emissions are also a part of these indicators and if a city wants to
register their CMP as a nationally appropriate mitigation action 41 (NAMA) then a more
comprehensive approach for monitoring reporting and verification (MRV42) is required.
41 Cities have registered their Comprehensive Mobility Plans as NAMA (Shukla, P.R., Sharma, S, & Dhar,S 2013 NAMA in
transport sector http://www.unep.org/Transport/lowcarbon/Pdf's/NAMA_ClimateFinancing.pdf or visit UNFCCC website
for a listing of NAMAs http://www4.unfccc.int/sites/nama/SitePages/Home.aspx )
42
For a detailed guidance on MRV for NAMAs is available in the following guidebook
http://www.lowemissiondevelopment.org/docs/resources/Guidance_for_NAMA_Design_2013_.pdf
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54

SECTION III:
ANNEXES
Annex 1 Sample Survey Forms
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55

Survey format 1. Inventory for pedestrian facility
Along Road (Survey format 1a)
Name Width of Segregation tools to From To Length Encroachment/ other Pavement Lighting Barrier free design
of
road
footpath
(m)
separate footpath from
(km)
MV lane (kerbs/ green
barriers (Parking/
vendors/trees/ light
condition
(Good/
(Access at entry/
guiding tiles/
belt/ fences/ others)
poles/ other services) Average/ Bad)
audible/none)
L R Left Right
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56

At Intersection (Survey format 1b)
Name of intersection Type of
intersection At
grade/ flyover/
clover leaf/
roundabout/
others
Type of crossing
Level/ raised/
foot over bridge/
subway
Signalized Y/N Pedestrian
accentuated
signal (y/n)
Traffic
calming tools
Rumble strips/
speed
breakers
Crossing
distance
(meters)
Barrier
free access
guiding tiles/ audible
pedestrian crossing /
none
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57

Survey format 2. Inventory for NMV (bicycles and cycle rickshaws) facilities
Along Road(Survey format 2a)
Name Width Segregation tools to separate NMV lane From To Length
of
road
of
NMV
lane
from other modes (Painted marking/
(km)
kerbed/ none)
(m)
L R
Encroachment
(Parking/
vendors)
Pavement
condition
(Good/
Average/
Bad)
Lighting
L
R (y/n)
(y/n)
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58

At Intersection (Survey format 2b)
Name of
Type of intersection (At grade/ flyover/
intersection
clover leaf/ roundabout, etc)
Type
of crossing (Level/
raised/ grade separated)
Signalized
(y/n)
NMV
accentuated
signal (y/n)
Traffic
calming
tools
(Rumble
strips/
speed
breakers)
Crossing
distance
Other facilities (NMV
box etc.)
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59

Parking Area (Survey format 2c)
Name of Parking lot Location Nearest Pt stop Distance to PT stop Number of Parking Parking charges
Bicycle Cycle Rickshaw
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60

Survey format 3. Inventory for cycle rickshaws and autos
Fleet inventory- cycle rickshaw (Survey format 3a)
Owner (Owned/ Fleet Average Vehicular Average Vehicle Average passenger
Rented)
size km/day
age
carried
Peak hour Average
Access
to legal
parking (y/n)
Average earning
per day
Average Passenger
per day
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61

Fleet inventory – auto rickshaw (Survey format 3b)
Owner (Owned/ Fleet Type of fleet Use (Shared
Rented)
size (Capacity) or not)
Average Vehicular
km/day
Average
Vehicle age
Access to legal
parking
y/n
Occupancy Average Passenger
per day
Peak Average
hour
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62

Route inventory for shared auto rickshaws (Survey format 3c)
Route
Route
Locations covered Headway
number
length
(minutes)
Average
passengers/day
Average routing time Average Delays
Peak hr Average
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63

Cost and Fare (Survey format 3d)
Operator Operation cost per km Tax levied Fare structure Revenue per km (Rs) Profit/ loss (Rs)
Parking Area (Survey format 3e)
Name of
Parking lot
Location Nearest Pt stop Distance to PT stop Number of Parking Parking charges
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64

Survey format 4. Inventory for public transport (bus)
Along Road (Survey format 4a)
Name
Applicable in case of BRT corridor No. of
of
road
Width of
Bus lane
(m)
From To Length
(km)
Bus lane location wrt road
section (Median/ left side)
Type of bus infrastructure
(open/close)
Bus lane Segregation tools
(Kerbs/lane marking/ fences)
routes
catered
L R
Average
speed
(kmph)
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65

Bus stop details (Survey format 4b)
Name
of Bus
Location
(coordinates)
Bus stop
capacity
stop
X Y
Applicable for BRT Near/ far
junction
Location wrt Type of bus
road section
(Median/ left
stop
(Staggered/
side)
island)
Traffic calming
tools (Rumble
strips/ speed
breakers)
Safe crossing
facility (Zebra
crossing/ signalized
crossing/ FOB/
subways)
Access
distance to
bus stop from
either side
(m)
Barrier
free
access
(y/n)
Passenger
amenities
(Sitting area/
toilets/
hawkers)
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66

Fleet inventory (Survey format 4c)
Owner Fleet size Type of fleet (Mini bus/ standard) Fleet utilization rate Vehicular km Average vehicle age Occupancy Average Passenger per day
Peak hour Average
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67

Cost and Fare (Survey format 4d)
Operator Operation cost per km (Rs) Tax levied (Rs) Fare structure (straight / incremental) Revenue per km (Rs) Profit/ loss (Rs)
Page
68

Route inventory (Survey format 4e)
Route number Route length Location covered Headway (minutes) Average passengers/ day Average routing time (hour) Average Delays (minute)
Peak hr Average
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69

Survey format 5. Inventory for private motorized vehicles
Along Road (Survey format 5a)
Name of Width From To Lengt No. Lighting Average speed (kmph) Road encroachment
road (m)
h (km) of
lane
(Parking/vendor/oth
er)
L R MTW Cars IPT
On
road Parking
restriction (Restricted /
Unrestriced)
Vehicle restriction
PMV NM
IPT
V
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70

At intersection (Survey format 5b)
Name of
Type
of intersection (At grade/
intersection
flyover/ cloverleaf, etc)
Signalized
(y/n)
Turning time from each
direction
Type
of traffic operation
(Automated/ Human)
Signal
Phasing
Intersection
design
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71

Parking areas (Survey format 5c)
Name of
Parking charge
Location Type of Parking (On/off road) Nearest Pt stop Distance to PT stop
Parking lot
(Paid/ unpaid)
(km)
Number of
Parking
Parking
charges (Rs)
MTW Car MTW Car
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72

Survey format 6. Freight Survey
Along Road (Survey format 6a)
Date of Survey: Survey Corridor From: Name of Enumertor:
Day of
Survey:
Direction of Survey: To: Name of Supervisor:
Time Vehicle Type Origin Destination Type of Commodity Tonnage Trip Frequency
Vehicle Code Commodity Code Commodity Code Trip Frequency Code
LCV 1
Empty
1
Iron coils/pipes/ cables/ wire
/machines
9 Daily
Way)
once (one-
1
2-Axle Truck 2
Vegetables/Fruits/Milk/ Fish
2
Minerals
(Limestone/Lignite,etc.,)
10 Daily Twice (Up &
Down)
2
3 Axle Truck 3
3
Food Grains (Rice/Wheat/etc.,
Petrol/ Diesel/Gas/ LPG/etc
11 Daily Thrice or 3
More
Multi Axle Vehicle 4
4
12 Others 4
Salt
Fertilizer
Tractor 5 Sand/Cement/Aggregate/Steel/
Brick/Tiles
Tempo 6
Wood
5
6
Finished consumer Goods
Paint/dyes
13
14
NMT 7
7
15
Textile Materials/Cotton /Leather
Others
Plastic Products
8
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73

Parking areas (Survey format 6b)
Name of Parking lot Parking charge (Paid/ unpaid) Location Type of Parking (On/off road) Parking charges (Rs)
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74

Survey format 7. Traffic volume count at screen line, cordon and intersection
Location Direction from Date/Month Year
Count station no Direction Right Straight Left turn Day
Passenger vehicle Goods vehicle
Heavy fast Light fast Slow Other Heavy fast Light fast Slow
Bus Mini bus Car MTW Auto Cycle Pedestrian Truck LCV Others Cycle rickshaw trolley Others
6 – 7 am
….
5 – 6 pm
….
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75

Survey format 8. Traffic safety
Road Accident Recording Form
Accident Information
Form No.
Filled By Date filled (dd/mm/yyyy) / /
Police Report Available 0=No 1=Yes FIR No.
City/Town/Village/Highway
Time of Accident 9999=Unknown
Date (DD) (MM) (YYYY)
Day 1=Monday 2=Tuesday 3=Wednesday 4=Thursday 5=Friday 6=Saturday 7=Sunday 9=Unknown
Holiday 0 = No 1 = Yes 9=Unknown
Hit and Run 0 = No 1 = Yes 9=Unknown
Accident Severity 1=Damage only 2= Injury 3=Fatal 9= Unknown
No. of Fatalities
No. of Injured 999=Many
No. of Vehicles Involved
Multiple Collisions 0=No 1=Yes
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76

Collision Type
1 = Hit pedestrian 2 = Vehicles head on 3 = Vehicle hit from back
4 = Vehicle hit from side at right angle 5 = Sideswipe (same direction) 6= Vehicle sideswipe (opposite direction)
7 = Overturn 8 = Vehicle hit fixed object 9 = Run off the road
10= Others 99 = Unknown
Collision Spot 1 = On straight road 2 = Road junction 3 = Other 9 = Unknown
Type of Road 1= Un-metalled 2=Metalled (Black topped/Concrete) 3=Others 9=Unknown
Divider 1=Two-way without raised median 2= Two-way with raised median 3= One-way 4=Other
9= Unknown
Location 1=Urban 2=Rural 3=Semi-Urban 4=Other 9=Unknown
Road Category RURAL : 1= State Highway 2= National Highway 3= Other district road
URBAN : 4=Arterial 5= Local street 6= Other 9= Unknown
Distance Km post. In the absence of km post - from the nearest police station (km) (m)
Police Station Name Highway No.
Global Position (latitude) (longitude)
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77

Road 1
Road 2
Road 3
Landmark
Brief Description of Accident Special Case 0=No 1=Yes
Vehicle Information
Form No. Vehicle No.
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78

Vehicle Type
1 = Multi-Axle Heavy Goods Vehicle 2 = 2-Axle Heavy Goods Vehicle 3=Light Goods Vehicle 4 =Mini Bus
5= Bus 6 = Car/Van/Jeep/Taxi 7= Ambulance 8= Fire Fighting Vehicle
9= Three Wheeler Passenger 10=Three Wheeler Goods 11 =Thela 12=Electric Cycle
13 = Tractor without Trailer 14= Tractor with Trailer 15 = Cycle Rickshaw 16 = Motorcycle/Scooter/Moped17 = Animal Drawn Vehicle 18=Bicycle 98=Others
99=Unknown
Maneuver of Vehicle at Crash Time
1 = Proceeding Straight 2 = Turning 3 = Reversing 4 = Overtaking 5=Parked/Stopped
6= Going Wrong Way 7= Making U turn 8=Other 9 = Unknown
Impacted 1=Rear 2=Front 3=Left 4=Right 5=Side 6=Other 9=Unknown
Loading 1=Normal 2= Overloaded 3= Others 9= Unknown
Disposition 0=Not Roadworthy (needs to be towed away) 1= Roadworthy ( can drive away ) 9 = Unknown
Mechanical Failure 0=No 1=Yes 9=Unknown
Hazardous Cargo 0=No 1=Yes 9=Unknown
Fire 0=No 1=Yes 9=Unknown
Impacting-Vehicle/Object
If another vehicle impacted this vehicle use Vehicle Type from above 20=Tree 21=Kerb
22=Median 23= Pole 24=Pedestrian 98= Other 99=Unknown
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79

Model-Make Model – Year Impacting Vehicle No.
Form No. Vehicle No.
Type
1 = Multi-Axle Heavy Goods Vehicle 2 = 2-Axle Heavy Goods Vehicle 3=Light Goods Vehicle 4 =Mini Bus
5 = Bus 6 = Car/Van/Jeep/Taxi 7= Ambulance 8= Fire Fighting Vehicle
9 = Three Wheeler Passenger 10=Three Wheeler Goods 11 =Thela 12=Electric Cycle
13 = Tractor without Trailer 14= Tractor with Trailer 15 = Cycle Rickshaw 16 = Motorcycle/Scooter/Moped 17 = Animal Drawn Vehicle 18=Bicycle 98=Others
99=Unknown
Maneuver of Vehicle at Crash Time
1 = Proceeding Straight 2 = Turning 3 = Reversing 4 = Overtaking 5=Parked/Stopped
6= Going Wrong Way 7= Making U turn 8=Other 9 = Unknown
Impacted 1=Rear 2=Front 3=Left 4=Right 5=Side 6=Other 9=Unknown
Loading 1=Normal 2= Overloaded 3= Others 9= Unknown
Disposition 0=Not Roadworthy (needs to be towed away) 1= Roadworthy ( can drive away ) 9 = Unknown
Mechanical Failure 0=No 1=Yes 9=Unknown
Hazardous Cargo 0=No 1=Yes 9=Unknown
Fire 0=No 1=Yes 9=Unknown
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80

Impacting-Vehicle/Object
If another vehicle impacted this vehicle use Vehicle Type from above 20=Tree 21=Kerb
22=Median 23= Pole 24= Pedestrian 98=Other 99=Unknown
Model-Make Model – Year Impacting Vehicle No.
Victim Information Victim No.
Form No. Vehicle No.
Road User 1= Passenger 2= Driver 3= Pedestrian 4=Others 9= Unknown
Seating Position 1= Front 2= Back 3= Other 4= Not Applicable 9=Unknown
Location of Non Motorised Traffic 1=Motorised Vehicle Lane 2=Pedestrian Pathway 3=Median
4=Shoulder 5=Cycle Lane 6=Others 9=Unknown
Age
Sex 1 = Male 2 = Female
Injury 1 = No injury 2= Injured 3 = Fatal 9 = Unknown
Impacting Vehicle No.
Mode of Treatment 1=None 2=First aid only 3=Discharge after casualty ward treatment 4=Admitted to hospital
5=Dead Before Reaching Hospital 6=Others 9=Unknown
No. of Days in Hospital
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81

Survey format 9. Security
SI.
FIR
Location Time of
No.
no.
occurrence
Nature of
security issue
Victim profile Offender profile Mode in which victim was there (Pedestrian/ Bicyclists/
Age Sex Marital
Age Sex Marital
MTW/ Car/ Bus users/ Autos/ cycle rickshaw)
status
status
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82

Survey format 10. Household Survey – Part I (Revealed Preference Survey)
1. Reference
Form No. Date: Surveyor name:
Area: Settlement Code: Settlement name:
Traffic zone: Contact number of respondent (Landline and mobile):
2. Household Information
Relation
S.No. Name
with
head
Sex
(M/F)
Age Education Main
Activity
Subsidiary
Household Assets owned
activity
1 2 3 4 5 6 7 Y/N Number
1 Head 1 Phone / Mobile phone
2 Desktop/Laptop Computer
3
4
5 A.C.
6 T.V.
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83

7 Car
8 Cycle
9 Scooter (M2W)
Code (Relation with Head of the Household) (2) Education (5) Activities (6-7)
1. Self 1. No school education 1. Salaried employment (regular waged)
2. Wife / Husband 2. Primary education (Upto 8 th ) 2. Daily Wages employment (casual labour)
3. Son / Daughter 3. Matriculation/upto 12 th 3. Self Employed (work in h/h enterprise)
4. Mother / Father 4. Graduate 4. Domestic Worker at Fixed Rate
5. Others 5. Others (Specify) 5. Honorary Worker
6. Home-based paid work
7. Home-based unpaid work (house manager)
8. Attending educational institute
9. Pensioners/remittance recipient
10. Unemployed – due to disability
11. Unemployed – seeking work
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84

12. Others - specify
3. Housing and Living Conditions (Desirable)
1 What is the type of the house? Kutcha Semi-Pucca Pucca
2 What is the tenure arrangement of the house you live in? Tick the right option Owned Rented Shared
Household Tap (Y/N) Piped Sewerage (Y/N) H/h Toilets (Y/N) No.
4. Vehicle Ownership in the household 5. Accessibility to important destination
Present Before 2 year Distance (km) Walking minutes
Type Make (Year) Type Make (Year) School
1 Doctor
2 Others (specify)
3
4
5
Type: Car, MTW, Bicycle, Auto-rickshaw, Cycle Rickshaw, Bus
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85

6. Choices and opinions
How far is the nearest public transport/shared transport station from your house?
No. Mode Nearest stop
(distance)
Time
taken to
Avg.
Waiting
How often do you use it in a
week? (no. of times per week)
Is it reliable service? Is it safe? Is it too
expensive?
reach
time
1 Public Bus Good Ok Bad Good Ok Bad Good Ok Bad
2 BRTS (if any) Good Ok Bad Good Ok Bad Good Ok Bad
3 Shared Auto Good Ok Bad Good Ok Bad Good Ok Bad
4 Do you think it is safe and convenient to walk on roads of ………………. city? Good Ok Bad
5 Are you satisfied with the way you travel in the city? Yes No
6 If No, What do you think needs to be improved?
Instruction for travel diary: In the survey one trip is the round trip made by the respondent. Here a trip is divided into 6 segments, where each segment of the trip presents
the additional activity taken within a trip that can be either changing mode of transport, doing interchange or additional trip purpose like buying vegetables or dropping kids.
Primary trip purpose is the main trip being made by the respondent. For example, main trip is going to work while dropping child or buying vegetables on the way is the
secondary trip. If number of segments in the round trip is more for a respondent then he/she can use the other table for filling up the details.
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86

7. Travel Diary (Similar format will be filled for each member of the household travelling on the previous day)
HH member no Day of trip Mon/tue/wed/thur/frid
Origin Start time
Primary Trip purpose 43 Mode used
Seg Mode Sec trip Start Location Start
purpose 44 time
Waiting Time Arrival time Distance (km) Arrival location Fare / parking cost No. of HH
member
1
2
3
4
5
6
43 Primary Trip purpose: pick up or drop off, work (office, factory, field, and shop), school/education, shopping, access social services (religious etc), leisure, go home, buy vegetables and
others (please specify)
44 Sec trip purpose: pick up or drop off, shopping, access social services, leisure, buy vegetables and others
Page
87

HH member no Day of trip Mon/tue/wed/thur/frid
Origin Start time
Primary Trip purpose
Mode used
Seg Mode Sec trip
purpose
Start Location Start
time
Waiting Time Arrival time Distance (km) Arrival location Fare / parking cost No. of HH
member
1
2
3
4
5
6
HH member no Day of trip Mon/tue/wed/thur/frid
Origin Start time
Primary Trip purpose
Mode used
Seg Mode Sec trip
purpose
Start Location Start
time
Waiting Time Arrival time Distance (km) Arrival location Fare / parking cost No. of HH
member
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88

2
3
4
5
6
HH member no Day of trip Mon/tue/wed/thur/frid
Origin Start time
Primary Trip purpose
Mode used
Seg Mode Sec trip
purpose
Start Location Start
time
Waiting Time Arrival time Distance (km) Arrival location Fare / parking cost No. of HH
member
1
2
3
4
5
6
1
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89

8. Surveyor’s remarks
_________________________________________________________________________________________________________________________________
_________________________________________________________________________________________________________________________________
_________________________________________________________________________________________________________________________________
_________________________________________________________________________________________________________________________________
Modes: walk, bicycle, cycle rickshaw, auto, taxi, bus, shared auto, two wheeler, car, other
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90

Survey format 11. Household Survey – Part II (Stated Preference Choice survey)
This survey format is designed to capture the people’s behavior in making choices when alternative mode is available and improved. This requires providing
choices to the respondents including the improved and existing alternatives. The respondents can then either choose among the given alternatives or choose an
alternative within a scenario.
However, there are certain points of concern while formulating the choice set within each scenario-
People are likely to be pre-biased for a certain alternative either on negative or on positive side
Time and cost attributes are comparatively easy to introduce and understand however the change in safety and security parameters needs to be
strongly addressed.
It is likely that inferior modes are not considered as an alternative available for middle income and high income group
It is extremely important to take care that an alternative within a choice set does not dominate as then it is difficult to determine the trade-offs
between different alternatives
Stated preference choice surveys can help analyst to identify the probability of shifting from one mode to other by the respondent under varying conditions
and thus estimate shifts in alternative scenarios for LCMP. This requires analyzing the effect of factors on the mode choice of people. Thus, in the survey
various scenarios are presented to respondent that shows variations in the attributes of different modes/options and the respondent is asked to choose one
preferred mode of travel in each scenario. With the help of variations in attributes of modes and respondent choice, effect of parameters can be determined in
making mode choice that can be extrapolated based on the socio-economic profile of the respondent. BIOGEME (freeware) or N-logit (licensed) can be used
by the analyst to determine the co-efficient of each of the individual parameter taken into account. The survey methodology enables the analyst to understand
the impact of improving infrastructure, taxation and pricing regime or introducing new choice mode in alternative scenarios.
Page
91

9. Stated preference survey and perception study
State the second preferred mode if 1st mode is not available Choice sets / Choice cards (examples shown below) : sample
Bicycl
Mem no. Walk
e Bus MTW Car Auto Card 1 Card 2 Card 3 Card 4 Card 5
1 Fare
2 Comfort
3 Safety
4 Travel time
Inaccessible Not socially acceptable Parking cost
Unaffordable Unavailable
Fear of accident Others (specify) For trips (Scenario 1)
Existing
Mem no
work trip Buying vegetables/daily needs Going school
Rate safety between 1 to 5 1
Bicycl
Walk
e Bus MTW Car Auto 2
Page
92

1 3
2 4
3 5
4 6
5 7
Rate security between 1 to 5
Bicycl
Mem no Walk
e Bus MTW Car Auto
1
2
3
4
5
6
Page
93

Description of scenarios: Choice sets / Choice cards (examples shown below) : sample
Card 1 Card 2 Card 3 Card 4
Walk Bicycle Bus MTW Car Walk Bicycle Bus MTW Car Walk Bicycle Bus MTW Car Walk Bicycle Bus MTW Car
Fare
Comfort
Safety
Travel time
Parking cost
Each card represents one scenario. Based on scenarios attributes of modes in each card is defined by the consultants as given in example which is presented to
respondents one by one and asked to select mode of travel in each scenario (to be filled in table below).
Which mode will you use for each of the following scenarios?
Member No. Trip Purpose Scenario 1 Scenario 2 Scenario 3 Scenario 4
work trip
1
shopping for daily needs
Going to School
2 work trip
Page
94

Member No. Trip Purpose Scenario 1 Scenario 2 Scenario 3 Scenario 4
shopping for daily needs
Going to School
work trip
3
shopping for daily needs
Going to School
work trip
4
shopping for daily needs
Going to School
work trip
5
shopping for daily needs
Going to School
work trip
6
shopping for daily needs
Going to School
Page
95

Addendum to Household Survey Formats
Sampling method note
The purpose of the household surveys is to quantify and analyze the travel characteristics of people
belonging to various socio-economic groups in the city. Besides, the household level survey will also
help in modelling origin-destination of trips, vehicle emissions and stated preferences etc. This survey
mainly captures the existing conditions of the respondents and their preferences or choices as stated
by them.
Sampling
Urban areas are large and highly diverse. An assessment of the full universe for an appropriate
sampling is itself a hard task, given that many of the available data from the census tracks, which can
be used for getting the characteristics of the universe, are not available in the public domain.
Secondly, for such large universes, a stratified systematic sampling is required provided we are able to
identify the strata from the available data set. Thereafter the task is to decide the strata for survey and
then identify samples within each stratum. More diversified the sample, more the strata identified and
better the identification of strata more representative the sample is. We discuss below the process of
identifying different strata and sub-strata in a city and then selecting sample households for detailed
structured questionnaire surveys.
1. Stratifying the city by spatial (geographic) units
The urban areas need to be selected for survey on the basis of unbiased spatial representation. The
first task is to identify the spatial units from within which the second level of stratification is done.
Based on the demographic characteristics and delineation of traffic analysis zones (TAZs), the first
level of strata can be identified. At the first level, the city can be divided into different spatial units
based on either population density or delineated TAZ in case the latter data are available. Since the
data of TAZs is not available, the demographic data has to be used.
For the use of demographic data, the hypothesis is: ‘people of same economic and social
characteristics congregate in the same area’ and that densities indicate economic characteristics of a
neighborhood. Population census gives the demographic characteristics and from among the available
data, four can be of use in combination or individually (i) housing characteristics – katcha housing
representing the poor and pucca housing representing the rich and the middle classes (ii) female
literacy rate – higher the income higher is the female literacy, (iii) density and (iv) proportion of
Scheduled Castes/ minorities.
The census has the data for each household but when the data is given out, it is by wards of the city.
Ward can be used as a basic unit of spatial stratification, if the wards are not too large. If the wards are
too large then we have to go at the sub-ward level and we need to find out from the Urban Local Body
(ULB) if it has this data. If it is not available with the ULB then one can use the data of the
enumeration block of the census, which is a data aggregated for about 100 to 120 households. This
data can be plotted on the map to get the spatial divisions and then pick up the strata for sampling.
This is the First Stage Stratification. Some of the cities now have a Geographic Information System
(GIS) data with building footprints and from mapping these; we can identify homogenous zones as
First Stage Strata (FSS). Since the demographic data are available at a micro spatial unit level, these
96

data can be used to prepare an index, which is mapped on a GIS base to identify zones of different
economic strata.
Scheduled caste dominated zones can also be identified thus and these can be superimposed on the
economic strata to identify different zones/ spatial units with different economic and social
characteristics. The challenge will remain to identify spatial units with concentration of minority
groups, if they are in substantial numbers. Many Indian cities are segmented by religion as well and
through discussions with key informants and physically moving across the city, the spatial units where
minorities are concentrated can be identified.
2. Second stage strata for transport studies
If the TAZs are available then that can be used. If not then it is assumed that spatial units located at
different distance from the city centre would have different travel characteristics’ and hence second
level of stratification can be based on different distance from the city centre. In Indian cities,
informality allows people to stay near their work place if they cannot afford a formal house and hence
industrial workers tend to stay in or near industrial areas and loaders-unloaders tend to stay near the
railway station or wholesale markets. Distance from the city centre can be interpreted as distance from
the work centres and hence zones can be delineated based on the landuse. The city would definitely
have a land-use map and through physical movement in the city by the researchers, a broad idea of the
city’s employment centres can be obtained. This can be used for preparing zones. Subsequently a
further stratification can be done based on location by distance from the centre, e.g. core, intermediate
zone, periphery and outer periphery depending on the size of the city and landuse structure (or
morphology) of the city.
To summarize, the urban areas in a city can be selected representing following criteria to represent
unbiased spatial distribution:
I. Spatial distribution determined by administrative units (based on demographics) such as
municipal wards to get spatial units representing different economic and social groups.
II. Landuse structure or city’s morphology
III. Distance from the city centre (Core city, intermediate, peripheral and outer periphery)
IV. Spatial distribution determined by traffic-analysis zones if available
While ensuring unbiased spatial distribution, it is important to ensure that various socio-economic
groups are also well-represented as part of these samples. Within each spatially representative
area/zone/cluster of zones, the low-income group housing or slum households should be included in
the sample. The sample of slum households in each selected zone/area should be at least as much as
the percentage population residing in slums at the city level (or at the zone level if data is the zonal
level data is available).
3. Identifying settlements for survey
Once the spatial zones/ units have been identified for survey, settlements within them have to be
identified. At this stage, housing typology can be used for decision. The housing typologies are: (i)
slums and chawls (ii) independent bungalows, (iii) twin bungalows, (iv) low rise apartments and (v)
high rise apartments. Low-rise apartments tend to house lower middle income groups whereas high
rise apartments tend to house higher middle income to high income groups. Bunglows tend to house
high income groups and elites. After selecting the settlement, either random sampling using random
97

numbers or systematic sampling (every nth house depending on the sample size required for the
settlement) can be deployed. If the settlement is large, as some of the slum or housing board colonies
may be then clusters can be identified in the settlement to capture the homogenous groups within a
settlement after which random or systematic sampling method can be applied.
Within the selected area, it should be ensured that all socio-economic groups are well-represented.
While surveying in low-income housing or slums, it should be ensured that housing typologies (i.e.
Katcha houses) and socially vulnerable groups (i.e. female headed households). In slums, care must
be taken to pick up samples of households living in katcha housing to be able to get a sample of the
poorest of the poor.
Logistics
The h/h surveys should be conducted in the household settings answered by one adult member of
the family.
There should be a team of two senior people to monitor the survey teams.
Ideally, data-entry of the surveys should be simultaneously done so that in case of missing
information or errors, the surveyor can be sent back again for the survey.
This is a generic sampling guide for the purpose of transport related household survey in Indian
cities. Indian cities have diverse set of data and situations, the researchers can use this note as a
guide while taking cognizance of the diverse situation in different cities based on their own
perceptions and intuition.
98

Survey format 12.
Fuel Name:
Energy Consumption in transport : City Level
Unit:
Sr.No. Item Year
TRANSPORT
1 Road
2 Rail based
3 Water based
Instructions for filling:
1 A separate format will be furnished for Petrol (MS), Diesel (HSD), Compressed Natural Gas
(CNG), LPG and Electricity
2 Priority should be on collecting data for latest year or the year for which the information is
collected for other activities
3 The information should be collected at an aggregate level from the respective Oil Companies,
Electricity Utility, Public Transport Utilities, Railways or Mass Transit Operators
4 If the information is not available at city level then district wise figures should be recorded. In
order to make the information consistent with CMP planning area population should be used as
a proxy.
99

Survey format 13.
Vehicle inventory – registered vehicles at city level
Vehicle Type Fuel Year 1 Year 2 Year 3 Year 4
Latest
Year
Two Wheelers
Petrol
Others
Three Wheelers
Petrol
Diesel
CNG
Others
Four Wheelers
Petrol
Diesel
CNG
Others
Taxis
Petrol
Diesel
CNG
Others
Buses
Diesel
CNG
Others
Trucks (LCV)
(Upto 7.5 tonnes)
Trucks (HCV)
Diesel
Others
Diesel
Others
100

Survey format 14. Vehicle Survey at petrol pump
1. Type of vehicle (Tick one) Car SUV 3 wheeler 2 wheeler Bus Truck Other(Specify)
2. Type of fuel (Tick one) Petrol Diesel CNG LPG Other (Specify)
3. Make 4. Model 5. Year of Mfg
6. Mileage Km/Iitre 7. Odometer Reading kilometers
Instructions for filling questionnaire:
1. To be carried out at petrol pumps or CNG stations and preferably at stations with PUC checking so that vehicle pollution parameters can also be
measured. Vehicles sampled should be in proportion to their population as per Survey format 13
101

Annex 2 Sample Project Sheets
Title
Purpose
Categories
‣ Pick amongst the following - Non-motorised transport (NMT) , Mass Transit,
Para Transit, Transit Oriented Development, Demand Management, Traffic
Management, Vehicles and Fuels, Others
Project Duration ‣ XX years
Brief description of project
and proposed activities
Cost
Estimated GHG Emission
Reductions
Project proponents
‣ Provide brief account of target policy, measures, relevant Ministries &
Government Departments, activities (project features – technology, capacity
building measures- workshops, financing – model etc.,) etc.,
‣ Lumpsum cost for project
‣ Estimated Annual Average (MtCO 2 / year)
‣ Provide specific details of proponents and their responsibilities in
implementation
‣ Provide details of agencies involved in design, development, implementation,
management and financing
102

Annex 3 Stakeholder Engagement
Table 21.
Institutional framework for urban and regional transport functions for Vishakapatnam
Mode Hierarchy Planning and
Policy
Infrastructure Operations Monitoring and
Evaluation
Private
Motorised
Centre HPCL NHAI
State VUDA Traffic Police RTA, APPCB
City
GVMC
Non-
Motorised
Centre
NHAI
State VUDA Traffic Police
City
GVMC
IPT Centre HPCL NHAI
State VUDA IPT Operators,
Traffic Police
RTA, APPCB
City
GVMC
City Bus Centre HPCL NHAI
State
VUDA,
APSRTC
APSRTC, Traffic
RTA, APPCB
APSRTC
Police
City
GVMC
BRT Centre HPCL
State VUDA APSRTC, Traffic
Police
VUTCL
City GVMC GVMC
Intercity
Bus
Centre HPCL NHAI
State APSRTC, AP
R&B (PWD)
Dept.
APSRTC
103

Mode Hierarchy Planning and
Policy
Infrastructure Operations Monitoring and
Evaluation
City
Railways Centre East Coast
East
Coast
East
Coast
Railway
Railway
Railway
State
City
Airport Centre AAI AAI Airlines DGCA
State
City
Port Centre Ministry of
Shipping
Ministry of
Shipping, VPT
VPT
State
City
Goods Centre NHAI
State
VUDA
City GVMC Private Operators
Table 22.
Stages of CMP Project where SH consultation carried
Task Description Work involved Approach (exemplified by Vizag)
Vizag Urban Agglomerattion (VUA) shall be
Delineation of Planning
considered. GVMC area, which includes the Vizag,
Task 1
Delineation of
Planning area and
area
Gajuwaka and 32 other villages shall be considered.
Even the Census considered GVMC as the VUA area.
planning horizon
i) Short term-5 years---Emphasis on safety and
Planning Horizons
accessibility of all
ii) Medium Term-10 years---Corridor +network level
projects
104

Task Description Work involved Approach (exemplified by Vizag)
iii) Long term> 20 years---Vision for the city-mode
shifts towards PT
Vision for the city
Review of City Profile
For the area and the horizon, set a vision and targets for
the city in addition to the Low carbon goals
Regional linkages, demography etc.
Existing land use pattern Master Plan of Vizag- 2021
CDP for road network, PCTR; RTA for Vehicle
Existing transport system
ownership; DPRs made for BRT, NMT; PT from
APSRTC; Primary road inventory surveys (including
Task 2
Review of existing
scenario
Existing
energy
PED, NMT and PT infra)
Transport energy from gas station data i.e. total fuel
consumption
consumed
Existing emissions
Ambient air quality measures
Demand surveys
HHI, TVC, OD-cordon, point sources,
Indicators
Developed from the above data as per methodology
specified
Population growth---From Census, urbanisation trends
Task 3
Analysing
Business As Usual
(BAU) scenario
for horizons
Future socio-economic
profile
Travel Demand
Modelling
Economic Growth--- From economic survey, CSO, state
investments Vehicle ownership--- From RTA trends
Sectoral growth--- From central government initiatives
??
4 step modelling to be used and its description; Accurate
demand estimation from HHI, OD surveys; PT
modelling for future;
Energy and Emissions
Carbon benchmarking, Urban Air quality forecastig
modelling
system
Task 4
Alternative
Scenario Analysis
Urban Structure
PT Improvement
Land-Use Transport interaction, street hierarchy
Mode-choice modelling for BRT corridors+ improved
105

Task Description Work involved Approach (exemplified by Vizag)
bus systems
NMT Improvement
Effect of segregated walkways and cycle tracks
Technology Improvement
Reduction in emission factors
Developing
Scenario analysis
Each scenario indicators + best scenario identification
indicators
for
Modelling results
For scenario to convert to measures
future
Back casting
Technologies+Measures for best scenario
Policy reforms
City policies towards NMT, Parking, PT
Task 5
Mobility
Plan
Institutional reforms
Projects+Funding options
UMTA, division of responsibilities etc.
For projects based on existing funding patterns i.e.
MoUD, state etc.
Modelling for selected
Detailed feasibility like ridership, people benefiting
projects
from project
Task 6
Implementation
Program
Funding
Implementation
and
Cost estimates+Agency responsible+Timelines of
implementation
Template for funding
JNNURM/ ADB/ World bank format
106

Table 23.
Types of Stakeholders Consultation (exemplified by Vizag Consultations)
Type Process Purpose
Stage I: Focus Group
Discussion
i. GVMC Commissioner convened a SHC
meeting introducing LCMP and iTrans
ii. LCMP methodology and approach
outlined by iTrans
iii. A questionnaire survey of all SHs on
their views on Low Carbon Transport
vision for Visakhapatnam.
i. Identifying relevant Stakeholders
ii. Discussions and views
summarised into mode-wise subthemes
i.e. Public transport, Nonmotorised
transport, IPT,
congestion management, safety and
security, pollution control
Stage II: Individual SH
meetings
i. Meeting the identified stakeholders
individually
ii. Discussion on the mode-wise sub
themes identified in Stage I
iii. Stakeholders’ views, existing measures
and challenges towards sustainable
transport in the city to be used for
scenario analysis in the future
i. Mapping the institutional
framework governing urban
transport of Visakhapatnam, Scope
of
various
agencies and overlapping
jurisdictions between different
agencies
ii. Inputs for low-carbon scenario
analysis
Stage III: Joint meeting
with GVMC and VUDA
Stage IV: Meeting
Political decision makers
i. Meeting with Vice-Chairman, VUDA,
Commissioner, GVMC, Engineering
and Planning departments of VUDA
and GVMC
ii. Progress update and discussion on Task
1 of LCMP
iii. Discussion on integrating LCMP with
the Master Plan and other upcoming
initiatives in Visakhapatnam
i. Meeting with the MP of Visakhapatnam 45 on
the LCMP approach and objectives, progress
update up to Task 1 of study and Stage III of
SHCs.
i. Identifying the existing transport
projects envisioned by VUDA and
GVMC like Metro system and
MMTS for regional connectivity
and NMT in core-city
ii. Inputs from both agencies on
future Tasks of LCMP
i. Go-ahead on the existing
progress of the work ii. Inputs on
identifying the executing agencies
for the longlist of projects that are
to be proposed in the LCMP
45 MP for Vishakapatnam was also the Minister of State in the Centre at the time of LCMP formulation
107

Annex 4 Indicators and Benchmarks
Indicator
Name
Description Measurement/ data source Benchmarks
Mobility and Accessibility
Modal shares*
Travel time*
Modal shares
by trip purpose
i.e. work,
education,
health and
others
Household surveys and some relevant
data may also be available in City Traffic
and Transport Study (CTTS) and
Comprehensive Mobility Plan (CMP)
Modal shares
by social
groups i.e. by National Sample Survey Organization
income, women (NSSO) data and household surveys
headed
household
Average travel
time by trip
purpose
work,
education,
health
others
different
i.e.
and
using
Trip purpose
wise average
travel time
disaggregated
by social
groups
Average trip
length
frequency
distribution
Household surveys or use validated four
step model for different cities
Four step model to capture travel time by
specific social groups for different trip
purpose
CMP or CTTS for specific cities or four
step model
To city averages/proportion
averages for similar towns
To
city
averages/proportion
averages for similar towns
To
city
averages/proportion
averages for similar
towns
To city averages/proportion
averages for similar towns
To city averages/proportion
averages for similar towns
Trip length*
Mode wise
average trip
length
disaggregated
Household survey
by social
groups1
Trip purpose
wise average
trip length
disaggregated
by social
Household survey or relevant data
from NSSO
To city averages/proportion
averages for similar towns
To city averages/proportion
averages for similar towns
108

Indicator
Name
Description Measurement/ data source Benchmarks
Affordability of
PT and paratransit
fare by
social group
Measured as percentage of Household
income likely to be spent if PT/ paratransit
is used
To city averages/proportion
averages for similar towns
Affordability*
Cost
commuting
of
% of Household income spent on
travelling disaggregated by social groups
To city averages/proportion
averages for similar towns
INFRASTRUCTURE AND LAND USE
Average
speed
roads
different
modes1
on
of
Available in CTTS, CMP and City
Development Plan (CDP) for specific
roads in cities
To city averages/proportion
averages for similar towns
Infrastructur
e quality
Percentage of
Household
within 10
min walking
distance of
PT and paratransit
stop
Average number
of interchanges
per PT trip
Needs to be calculated based on the PT
stop inventory and number of
households in census records
Household surveys
To
city
averages/proportion
averages for similar
towns
To city averages/proportion
averages for similar towns
Accessibility of
disadvantaged
groups by
different
modes1
More specific indicators to be able to
measure accessibility for disadvantaged
people needs to be developed and data
collected
To city averages/proportion
averages for similar towns
Land
parameters
use
Land use mix
intensity
Income level
heterogeneity
Job-housing balance determined using
census data available at ward or
electoral block level
Concentration index of different income
groups in a zone determined by the
asset ownership or housing type data in
census- households
To city averages/proportion
averages for similar towns
To city averages/proportion
averages for similar towns
109

Indicator
Name
Description Measurement/ data source Benchmarks
Kernel density of
Requires road inventory and public
roads, junctions
transport network data in vector form
and PT stop
To city averages/proportion
averages for similar towns
SAFETY AND SECURITY
Risk exposure
mode wise1
Number of fatal accident per 100,000
users of the mode. Detailed accident data
can be collected from traffic police
To city averages/proportion
averages for similar towns
Risk imposed
by modes1
Number of accidents involving
different vehicles and victims per
100,000 of all the road users.
Detailed accident data can be
collected from traffic police
To city averages/proportion
averages for similar towns
Overall safety
Number of fatal accidents per 100,000
populations. Detailed accident data can
be collected from traffic police.
To city averages/proportion
averages for similar towns
Safety
Speed limit
restrictions
Percentage of roads having speed limit ≥
50 kmph
To city averages/proportion
averages for similar towns
Quality of
footpath
infrastructure
Percentage of roads with ≥ 2 m
MOUD SLB Benchmarks
Percentage
road
lighted
of
Data needs to be collected
MOUD SLB Benchmarks
Security
Percentage
footpaths
lighted
of
Data needs to be collected
MOUD SLB Benchmarks
110

Indicator
Name
Description Measurement/ data source Benchmarks
Percentage of
people feeling
safe to Specially designed stated household
walk/cycle and surveys
use PT in city
by gender*
To city averages/proportion
averages for similar towns
ENVIRONMENTAL IMPACTS
GHG emissions Equivalent CO 2 emissions per
passenger km by mode
To city averages/proportion
averages for similar towns
Emissions
Depletion of
land
resource
Lifecycle cost
of different
modes1
Per capita
consumption of
land for
transport
activity
Land consumed
for different
transport
activities1
Total of-
CO2 emissions from construction of
facility per km
CO2 emissions from production of
vehicle or mode per unit
Co2 emission unit transit
Land use data from CDP or master plans
of cities
Percentage of total land used in transport
for different type of transport
infrastructure- road, parking bus lanes,
railways, etc.
Need to map air quality in city and mark
households in the buffer area
Percentage of
O
population
r
exposed to air
Get the relevant morbidity data
pollution
from hospitals or medical
authorities
To city averages/proportion
averages for similar towns
To city averages/proportion
averages for similar towns
To city averages/proportion
averages for similar towns
To
city
averages/proportion
averages for similar
towns
Health hazards
Percentage of
population
exposed to
noise levels >
50 dB*
Need to map exceedance of noise levels
in city and mark households in the buffer
area
111

Indicator
Name
Description Measurement/ data source Benchmarks
ECONOMIC (RESPONSE INDICATORS)
Investment
Trend in
investments for
development of
Data from city budgets across years
infrastructure
for various
modes 1
Tax burden
mode wise 1
Data to be collected from Regional
Transport Office
To
city
averages/proportio
n averages for
similar towns
To city averages/proportion
averages for similar towns
Fuel prices at
pumps by
fuel type
Cost borne by
operators Other charges
levied as
applicable at
city level
disaggregated
by modes1
Transport Department
To city averages/proportion
averages for similar towns
To city averages/proportion
averages for similar towns
Percentage
subsidies
granted
of
Transport department
To city averages/proportion
averages for similar towns
Fare policy
Percentage of
population
owning passes
Transport department
To city averages/proportion
averages for similar towns
112

Annex 5 Four Step Modelling
Model Framework (Four Step Modelling)
The four step model approach for CMP needs to account different social groups and gender (See
Figure 4) and for all modes of transport including NMT, para-transit and public transport and this is
slightly different from conventional four step modelling where there is no differentiation in terms of
socio economic groups and gender and where the focus is mainly on motorised transport. Modeling
softwares like QuantumGIS, ArcGIS, TransCAD, CUBE, VISUM, EMME, OmniTrans, etc can be
used to create the travel demand model of the city. However these softwares are designed primarily
to model motorised modes like cars, two-wheelers and buses. Omnitrans is the only software among
these that has specific modelling capabilities elating to cycle users. Hence adequate care should be
taken in specifying the modelling parameters to suit the softwares for cycles. Various stages of the
modelling procedure have been explained in the following sections.
Figure 2.
Four Step Model Framework
The base year travel demand model is required to replicate the road network and travel patterns of the
city in modelling software and to test for various short term measures that can be taken to improve the
existing transportation systems. The following table gives the input parameters and their data sources
used for developing the base year model.
113

Table 24.
Modeling components and input sources
Model Component
Traffic Analysis Zone Map
Road Network
Trip Production Patterns
Trip Attraction Patterns
Trip Distribution
Base Year Mode Shares
Trip Assignment
Input Source
Derived from Ward Map
Derived from Property Tax Data,
Primary Data collected for road inventory &
Link speeds and secondary data on road widths
Household Interview Data
Land Use Data from Master Plan and
Building wise usage type from Property Tax Database
Trip length distribution patterns from Household Interview data to
calibrate the Gravity Model
Household Interview Data
Traffic Volume Counts used for network calibration
Trip Generation
Trip generation involves estimating the total number of trips produced and attracted to each TAZ.
Trip production is dependent on socio-economic characteristics of households within the TAZ while
trip attraction depends on the land-use type of the TAZ as explained below.
Trip production
Household interview data is normally used to estimate the trip production trends for various types of
households using the following steps:
Purpose wise trips produced in each household are derived as a function of the socio-economic
attributes of the household like household size, income and vehicle ownership.
Total number of households in each TAZ is derived from the census data or the property tax
database and its total households and number of trips produced are estimated.
The socio-economic characteristics of each TAZ are derived from the HH Interview data.
If detailed household level data is not available, TAZ level data and parameters like TAZ
population, employment opportunities etc. are used to derive the productions for each TAZ
Trip Attraction
The number of trips attracted to each TAZ is estimated in this step. The attractiveness of a zone is a
function of the type of land-use of that zone. For example residential land uses produce trips while
commercial, institutional and industrial areas typically attract trips. Hence the existing land use mix is
considered as the critical variable in determining the trips attracted to each TAZ. Land use data at the
city level is provided by the Master plan of the city, but they are only indicative as the land use
allocation in the master plan and the actual usage of land use is observed to be varying widely in
practice.
The Property tax data from the municipal corporations maintain building wise land use type and its
plinth area. Types of land use in the buildings include: Residential, Commercial, Educational,
Industrial, Public Use, Shops, Hospital, Cinema/Pub Entertainment, Others. Except residential, all
other land use types attract trips. Hence, the total plinth area of each type of attracting land uses can
be calculated and used as a measure of attractiveness of the TAZ.
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Purpose wise Trips attracted to each zone from the household interviews is correlated with land use
types in each TAZ using multiple linear regression technique to derive the relation between the trips
attracted and the land uses of the TAZ. Based on these equations, the number of trips attracted to each
zone is re-calculated using the equations. This will however only give the number of trips at the scale
of the sample size of data, since the sample trips are used for deriving the equation. Therefore these
attractions are used as the relative attractiveness of each zone. The attractions of each zone are then up
scaled proportionally to the total attractions based on the total trips produced for each purpose.
Trip Distribution
Trip distribution is used to derive the Origin-Destination (OD) matrix from the Production Attraction
PA table prepared in trip generation. Gravity Method is generally adopted for trip distribution. In this
method trips between zone i and zone j are distributed in proportion to the number of trips produced
in i, number of trips produced in j and in the inverse proportion of the impedance between these zones
i.e. travel time, travel cost, relative safety etc.
Trip Distribution can be carried out purpose wise or mode-wise based on city specific characteristics.
Trip length distribution should be observed both purpose wise and mode wise and whichever
parameter has more clearly defined trip length distribtions should be selected for distribution. If the
type of mode is affecting trip length more, mode share split can be carried out before the trip
distribution. The following is the step wise procedure to be followed.
The purpose wise peak hour trips are added up to get the total trips produced and attracted to each
TAZ.
The TAZ wise mode-share values can be derived from the HH Interview data and applied to the
PA table to get the mode-wise PA table for all zones
Current users: The mode share of cycles in each TAZ is derived from the household interview data
and is used to derive the PA table for current cycling trips. The PA table can be for the peak hour
or for the entire day based on the study requirements.
Potential users: The rest of the trips in the city form the potential cycle users in the city and it is
important to model these trips in parallel to estimate their potential shift to cycles.
One of the features of the four-stage demand modelling process is that only the interzonal trips are
considered for assignment. Hence, the proportion of intrazonal trips in each TAZ is calculated
from the HH Interview data and these trips are excluded from the demand modelling process.
The PA table containing inter-zonal cycling trips is used as the input for trip distribution.
A holistic model to calculate the impedance between zones for the cyclists is the Bicycle
Compatibility Index (BCI). BCI reflects the safety and comfort levels and perceptions of bicyclists
based on observed geometric, land use, street environment and operational conditions of the road
network. The four parameters which affect bicycle compatibility and measured by their variables are:
Physical safety - volume of motorized vehicles, speed of motorized vehicles, frequency of buses
and other heavy vehicles
Social security- land use mix and density, informal sectors on road side, lighting, other bicyclists
and pedestrians
Barriers and attractiveness- parked vehicles, pedestrians on the road, bus stop density, pavement
quality, shade, gradient etc.
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Intersections- density of non-controlled vehicular access, type and level of controlled vehicular
access (signalized intersections).
Impedance for NMT(pedestrians and bicycles) and public transport trips have to be developed
separately from cars and motorised two wheelers.
Mode Choice
Mode choice models should be developed for all modes of transport including NMT, public transport
and para-transit modes. As discussed in Task 2-2 TAZ size for modelling thus needs to be small
enough to cater to walk, bicycle trips and account for impact of access/egress trips on public transport.
Mode choice for walk and bicycle
One of the major differences in modelling NMT modes as compare to motorized modes is the impact
of speed on mode choice. Speed of NMT (walk and bicycle) is constant and there is negligible impact
of congestion. While other parameters like distance to be travelled, infrastructure quality, safety and
security concerns have wider impact over mode choice of walk and bicycle. Along with the mode
related parameters individual socio-economic information needs to be accounted for modelling mode
choice for NMT modes of transport.
Mode choice for public transport
Utility of public transport has minimum three inter-related segments i.e. access trip, haul trip and
egress trip. Studies have shown that access/egress trip has significant impact over public transport as a
mode choice. The impact is not only in terms of public transport in vicinity to origin/destination but is
also in terms of the discomfort and disutility associated with the modes used for access/egress trips
and mode interchanges. The utility function for public transport thus involves waiting time and
discomfort of changing modes other than mode related parameters for access/egress trip and haul trip.
Trip Assignment
This step is performed to determine number of trips made by different modes on each of the existing
transport network link during peak and off-peak hour period. Trip assignment for NMT should
account to land use and density parameters in the vicinity of the infrastructure/facility. While trip
assignment for bicycle also includes parameters related to pavement quality, slope, traffic volume and
speed. This involves using bicycle compatibility index (BCI) and other such measures.
The person trip OD matrices for current and potential users are converted to vehicle trips based on the
average occupancy observed in each mode from the occupancy survey carried out in the city.
However, the floating populations coming into the city through the numerous entry points are
captured from OD surveys at these locations. These sample surveys are up scaled to total volume
based on the traffic volume counts at those locations. The OD matrices from these surveys are added
to the OD from trip distribution to develop the overall OD matrix of the city.
The mode-wise calibrated OD matrices derived from the above step are assigned on to the road
network using User-Equilibrium or Capacity Restraint methods for motorised modes. For cyclists All
or Nothing (AON) method is used in general by considering the minimum BCI or travel distance
between ODs of the cyclists as the determining factor for route choice. Since most links are assumed
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to have enough capacity for cyclists and since cyclists are sensitive to safety and security issues more
than the speed, AON method is adopted.
Network Calibration
The link flows observed from trip assignment are compared with the actual traffic flows observed
from traffic volume counts conducted at various locations across the city. If it is observed that the link
flows from traffic assignment vary from the traffic volume counts the network needs to be re-checked
for its accuracy. Some missing links in the road network are identified through this procedure.
However, the larger contributing factor to this error can be the OD matrix derived from trip
distribution. OD matrix have to be re-calibrated for it to match the traffic volume counts. For this, an
iterative process available in modelling softwares called the OD matrix estimation (TransCAD,
CUBE)/ t-flow fuzzy (VISUM). Using this procedure the network is calibrated to match the actual
volume counts observed on ground.
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Annex 6 Financing Options for Implementation of Projects
Funding from Domestic Source at Local Level (ULB)
1. Fare box revenue/Parking Fee /Advertisement Revenue:
The accumulated profit earned from ULB operated/promoted transport system can be used as partial
source of funding urban transport.
Parking fee collected from parking lots located within the jurisdiction of ULB can also be partial
source of funding urban transport.
City authorities charges fee on advertisement on hoarding, billboards etc., within its jurisdiction. The
accumulated fund generated from such source can be used as partial source of funding urban
transport. In case of Public Transport Projects, the rolling stock can also be an excellent medium for
advertising. In addition, stations, en-route stops and the corridor also provide ample space for
advertisements. These rights may be sold on the basis of a fixed fee or even on revenue sharing basis.
In a booming economy the up-side potential from revenue sharing may be quite high while rates may
drop-off precipitously during a downturn. These rights may also be renewed periodically so that the
best option may be chosen depending upon the scenario and competition for the space.
2. Creation of City Level UTF
A dedicated urban transport fund would need to be created at the city level through other sources,
especially land monetization, betterment levy, land value tax, enhanced property tax or grant of
development rights, advertisement, employment tax, congestion, a cess on the sales tax, parking
charges reflecting a true value of the land, traffic challans etc.
Pimpri-Chinchwad Municipal Corporation has already set up a dedicated urban transport fund through
land monetization and advertisement rights. Similarly, Karnataka has set up a dedicated urban
transport fund through MRTS cess on petrol and diesel sold in Bangalore, which is being used to fund
the metro rail projects. The various sources of funding that can be used to set up the urban transport
fund is given below:
i. Anticipated purchase of land
This method involves public authorities buying land before announcing that an infrastructure will be
built or where the route will run. In this way, the purchase can be made at market price without the
infrastructure. The strategy then consists in:
Directly selling the land to private developers including the estimated added value in the sale price,
such as was done in Aguas Claras on the periphery of Brasilia, or in Copenhagen;
Developing the area as part of an urban renewal project and then selling it at market price, as was
done in Copenhagen or in Japan, where rail companies were the first to use this method to finance
their operations
A city can also levy additional stamp duty (5%) on registration of property.
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ii.
Betterment Tax
A betterment tax is not the same as a property tax, because the increase in value of property is not due
to the action of the owner (such as would be the case with renovations and improvements) but from a
community action, thus justifying the public authorities to impose such a tax. However, it is not easy
to implement, which no doubt explains why this financing mechanism is still underused.
This tax must be levied on all areas that benefit from the new transport infrastructure. The land is
valued each year based on an optimal use of each site, without taking into account the existing
facilities. A tax based on the value of the land is then levied in order to generate funds for the public
sector. Thus, if the value of the land increases, the tax collected also increases. This means that a
vacant plot of land in the city centre which has been earmarked for building a residential and
commercial complex will pay the same tax as an identical site which has already been developed in a
similar manner. Unlike construction taxes, no tax reduction is available to landowners who leave the
site empty. Likewise, taxes are not increased if the site is built upon. Landowners will therefore to
seek to capitalise on the use of their land.
iii.
Land Value Tax
Once an area is well connected by public transport and is accessible to the commercial area and also
the liveability of the area increases it is possible that the price of the land will increase. Such increase
in price can be source revenue for the municipality. Similar to parking, the obtained revenue needs to
be utilized for improvement of the area and other areas in the vicinity. A substantial amount of
revenue could be generated through cess on turnover, particularly in cities, based on industry, trade
and commerce activities. Such cess has already been levied for Bangalore MRTS project. Bangalore
has also levied luxury tax and professional tax towards the metro fund.
iv.
Advertising
This is another important source of revenue for the city. When properly utilised this source can be of
immense value in supporting sustainable urban transport measures in a city. The revenues from
advertising in the city can be used to improve the existing transport system and/or create new schemes
in sustainable transport.
Paris, France has used the advertising money in developing a public bike scheme, which is now a well
renowned model. Similarly, Transport for London (TfL) has made a deal with the advertising
specialist, Clear Channel, for the regular maintenance and design of the street furniture in return for
the advertising space on bus shelters.
One important aspect that needs to be considered is that the advertising money needs to be utilised for
improving the transport system rather than spending it on building more roads. In the similar way, the
advertising should not be overdone to avoid visual pollution. Further, ideally advertising revenue
should not be a reason for building of pedestrian overpasses as the greater good for the society from
these overpasses is minimal.
v. Green Fee
The Municipal Corporation of Shimla charges a fee on vehicles entering in Shimla bearing
registration numbers other than the State of Himachal Pradesh. The rate of fees is valid for a period of
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only 7 days and would be called as Composite Environment Fees (CEF). Municipal Corporation
Shimla utilizes the fees collected basically for tourism related activities, however a certain percentage
of proceeds can be transferred to the Urban Transport fund.
The cities of hilly states or /and the cities famous for tourism can explore of adopting this type of fee.
3. Congestion pricing
Based on urban economics principles of "polluters pay", congestion pricing is a system of surcharging
users of public goods like urban transport infrastructure that are subject to congestion through excess
demand. Congestion pricing allows civic authority to manage the demand without increasing the
supply of that public good. Further, it generates an additional source of revenue for the public
exchequer.
Cities like London, Singapore, Stockholm etc. have implemented congestion pricing system in urban
roads. Ministry of Urban Development, GoI has issued letter in this regard, details of which can
accessed from the ministry’s website.
4. Property development/TOD
Transit Oriented Development (TOD) is a mechanism to shape land use policy to support public
transport system. In order to promote TOD along the public transport network, transit station should
be made nucleus of transit center or say center of various activities like housing, schools, commercial
and public places etc. It will help to increase the transit system rider ship and revenue thereof and
other revenue by levying extra taxes on the development along the transit network which can be in the
following forms (but not limited):
Development Charges –Development fee on all forms of new buildings-residential, commercial and
industrial along a buffer zone of 100 to 500 m depth on either side of each corridor.
Revenue through incremental FSI - Areas which fall within a certain radius from the transit terminals
shall be eligible for a higher FAR for all permissible uses, irrespective of the FAR applicable for the
respective uses.
Property Tax – By providing better infrastructure facilities to residents along the proposed corridors,
the city civic authority can increase the property tax rates.
Betterment tax –Levying of betterment tax at the time of transaction on the properties in the identified
buffer zones along the transit corridors.
Ministry of Urban Development, GoI has issued letter in this regard, details of which can accessed
from the ministry’s website.
5. Municipal bonds
Based on Indo-US Financial Institutions Reform and Expansion Program—Debt &Infrastructure,
known as the FIRE (D) Program, began in the early 1990s, in support of the Government of India’s
initiatives to liberalize the economy and decentralize government authority to the local level, ULBs
are encouraged to develop market based bond market.
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Issuance of tax free and taxable bonds by the ULBs is one of best self sustainable mode of financing
urban transportation infrastructure. Ahmadabad Municipal Corporation is the pioneer in issuance of
bonds. MoUD has guidelines for issuance of tax free and taxable bonds.
6. Pooled Financing
As majority of ULBs are weak in terms of approaching capital market for raising funds based on their
own balance-sheet. In such case, by pooling a group of ULBs can collectively raise fund from the
market by issuing municipal bonds. MoUD has guidelines for Pooled finance.
Funding from Domestic Source at State Level
1. General budget funding
State Govt. can earmark funds specially meant for development of urban transport in the state,
through general budget provision under both planned and unplanned expenditure head.
2. Viability gap funding
The Government of India through Department of Economic Affairs encourages the ULBs and the
State Governments to structure projects on a PPP model. In order to make projects commercially
viable, the Government will provide support in form of capital grants upto 20% of the total project
cost. An additional grant of 20% may be made available by the implementing agency, state
government or local bodies.
3. Loans from Financial Institution/Banks
Under the aegis respective State Government, in form of guarantor, ULBs can take term loans from
banks and various Financial Institutions including MFAs. According to the Ministry of Urban
Development (MoUD), under JNNURM about 17% (Rs. 1,280 crore or US$285 million) of local
governments’ share of capital costs has been raised through term loans from banks and state-level
funds, as of 2009. Thus, it is apparent that fraction of urban investment required over the next two
decades will come from either bonds or commercial lending.
4. Creation of State Level UTF
As per the guidelines of National Urban Transport Policy, an Urban Transport Fund (UTF) is desired
to be set up to sustain and expand the transit operations and to develop the transit infrastructure. As
cities and towns are generators of national wealth, there is a growing recognition that the resources
needed for urban development be generated from within the urban economies by use of principles like
"beneficiaries pay", "users pay" and "polluters pay".
In this regard, it is proposed to set up a "Mass Rapid Transit System Fund" for implementation of the
transit system in the State by the State Government. The fund may be generated by cess to be levied
on various taxes collected in the city, as follows:
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Table 25.
Potential source for state level UTF
Commercial Tax Department
A. Sales Tax
0.25 paise per litre
(1) Petrol
0.10 paise per litre
(2) Diesel
5%
(3) On goods other than declared goods
B. Luxury Tax 5% on lodging charges of Rs. 750/- and
above.
C. Professional Tax 5% on Professional Tax
C. Betting Tax 5% on Betting Tax
Motor Vehicles Department
A. Motor Vehicle Tax 5% on Motor Vehicle Tax
Registration Department
A. Stamp Duty 5% additional duty
Excise Department
A. Licensing Fee 15% additional licensing fee on liquor
manufacturing and liquor selling
The above mentioned fund shall be meant for urban transport infrastructure in general, though a
significant part of the collections shall go to the SPV for city bus operations and the City Metro Rail
Corporation Limited. Further scaling up of the catchment area of this fund shall be done in the due
course and the proceeds shall be used towards creating better transport facilities in Metropolitan area.
Funding from Domestic Source at National Level
1. General budget funding
Central Govt. can earmark funds specially meant for development of urban transport in the country by
allocating additional funds to the states through general budget provision under both planned and
unplanned expenditure head.
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2. National level funding Scheme like JnNURM
Central Govt. through various ministries such as MoUD introduces and implements number of
Additional Central Assistance schemes such as JnNURM, IDSMT time to time to fund urban
infrastructure including urban transport. MoUD website has detailed information on such schemes.
3. Viability gap funding
The Government of India through Department of Economic Affairs encourages the ULBs and the
State Governments to structure projects on a PPP model. In order to make projects commercially
viable, the Government will provide support in form of capital grants upto 20% of the total project
cost. An additional grant of 20% may be made available by the implementing agency, state
government or local bodies.
4. Nationally Appropriate Mitigation Action 46 (NAMA)
NAMA are voluntary actions taken by a developing country to reduce GHG emissions from a
Business as Usual (BAU) scenario. These actions can be policies or projects. The NAMA are
generally assumed to have a strong contribution of finances from the country itself with possibility of
additional finances from the international donors (multilateral or bilateral). For political reasons the
NAMA can be distinguished as unilateral i.e., without any international support or supported. A key
feature of NAMA is a focus on Measurement Reporting and Verification (MRV). The NAMA need to
communicated to the UNFCCC where a registry of NAMA projects is maintained
Funding from International Source
1. Loans from Multilateral Funding Agency
Multilateral Funding Agencies such as Asian Development Bank, World Bank, JICA etc. provide
term loan for infrastructure development based on certain terms and conditions for promotion of
Public Transport, Non-motorized Transport, Low-carbon transports etc. Detailed guidelines of
funding by Multilateral Funding Agencies are available on the respective websites.
2. Clean Development Mechanism (CDM)
Clean Development Mechanism has been a major source of climate financing for developing
countries. In the transport sector CDM did not get major success baring a few cases for example Delhi
Metro which had success in getting financing from CDM,for a project on regetrative braking
Nationally Appropriate Mitigation Action 47 (NAMA)
46
Guidance for NAMA Design: Building on Country Experiences Available at
http://mitigationpartnership.net/sites/default/files/guidance_for_nama_design_2013.pdf
47
Guidance for NAMA Design: Building on Country Experiences Available at
http://mitigationpartnership.net/sites/default/files/guidance_for_nama_design_2013.pdf
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NAMA as pointed earlier can be funded by multilateral or bilateral donors in which cases they are
referred as supported NAMA.
Funding from Private Source
1. PPP Options (BOOT/BOT/Lease/Annuity etc.)
Public-Private Partnerships is cooperation between a public authority and private companies, created
to carry out a specific project. They can take on a number of forms, and can be a useful method of
capturing property value gains generated by transport infrastructure. In a PPP for a new transport
infrastructure development project, the public authority creates a secure environment for the private
sector to carry out the project, and the private partner offers its industry expertise, provides funding
and shares in the project’s risk.
The decision to undertake a public-private partnership and the choice of the most suitable form of
partnership greatly depends on the context and the type of project to be developed are given below:
Governing Factors
The project context may influence the type of PPP to be implemented. The public partner must
evaluate the total cost of the project, its importance in terms of public need, the time frame, the
number of actors involved and the geographic area in question. Does providing this public service
require a major infrastructure? Will it require high levels of human and financial resources to
provide this service? Before a decision can be made, it is necessary to fully understand the context
of the proposed project.
The cost of the project is of course a critical factor, which will weigh on the choice. Many PPP
concern projects for underground systems, LRT and BRT requiring significant levels of financing
which the local authorities would have difficulty assuming alone.
A well-structured institutional framework and the local authority’s experience in developing
transport projects are also decisive factors. Urban transport is an industrial and commercial
activity, which involves financial risk. Bringing in experienced partners is one way of
compensating for a lack of certain skills in this field, though a good PPP should call upon other
forms of expertise on the part of the public authority. This can sometimes facilitate obtaining a
loan, in particular from international funding agencies.
The tasks entrusted to the private sector (design, construction, development, operation,
maintenance) will influence the type of contract.
The sharing of responsibilities and risks will determine the degree of involvement of each partner
and the type and clauses of the contract. There are many types of contracts but it is primarily the
sharing of financial risk, which will determine the key characteristics. There are two categories of
risk: commercial risk, related to trends in revenue, and industrial risk, related to the cost of
construction and trends in operating and maintenance expenses. if both types of risk are covered by
the public partner, then it would be a management contract in which the private partner is merely
performing the work. The private partner must meet the specifications but will not be motivated to
improve the service nor propose innovative techniques or management;
If the project is not self-financing, i.e. if, at the end of the contract, the total revenues and gains do
not balance out the total costs, the transit authority may be required to provide compensation,
depending on the clauses of the contract.
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PPP Variants
Design-Build (DB): Under this model, the government contracts with a private partner to design
and build a facility in accordance with the requirements set by the government. After completing
the facility, the government assumes responsibility for operating and maintaining the facility. This
method of procurement is also referred to as Build-Transfer (BT).
Design-Build-Maintain (DBM): This model is similar to Design-Build except that the private
sector also maintains the facility. The public sector retains responsibility for operations.
Design-Build-Operate (DBO): Under this model, the private sector designs and builds a facility.
Once the facility is completed, the title for the new facility is transferred to the public sector, while
the private sector operates the facility for a specified period. This procurement model is also
referred to as Build-Transfer-Operate (BTO).
Design-Build-Operate-Maintain (DBOM): This model combines the responsibilities of designbuild
procurements with the operations and maintenance of a facility for a specified period by a
private sector partner. At the end of that period, the operation of the facility is transferred back to
the public sector. This method of procurement is also referred to as Build-Operate-Transfer (BOT).
Build-Own-Operate-Transfer (BOOT): The government grants a franchise to a private partner to
finance, design, build and operate a facility for a specific period of time. Ownership of the facility
is transferred back to the public sector at the end of that period.
Build-Own-Operate (BOO): The government grants the right to finance, design, build, operate and
maintain a project to a private entity, which retains ownership of the project. The private entity is
not required to transfer the facility back to the government.
Design-Build-Finance-Operate/Maintain (DBFO, DBFM or DBFO/M): Under this model, the
private sector designs, builds, finances, operates and/or maintains a new facility under a long-term
lease. At the end of the lease term, the facility is transferred to the public sector. In some countries,
DBFO/M covers both BOO and BOOT.
PPPs can also be used for existing services and facilities in addition to new ones. Some of these
models are described below.
Service Contract: The government contracts with a private entity to provide services the
government previously performed.
Management Contract: A management contract differs from a service contract in that the private
entity is responsible for all aspects of operations and maintenance of the facility under contract.
Lease: The government grants a private entity a leasehold interest in an asset. The private partner
operates and maintains the asset in accordance with the terms of the lease.
Concession: The government grants a private entity the exclusive rights to provide operate and
maintain an asset over a long period of time in accordance with performance requirements set forth
by the government. The public sector retains ownership of the original asset, while the private
operator retains ownership over any improvements made during the concession period.
Divestiture: The government transfers an asset, either in part or in full, to the private sector.
Generally, the government will include certain conditions with the sale of the asset to ensure that
improvements are made and citizens continue to be served.
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Annex 7: Financing Options for Project Development (Preparation of
DPRs/Feasibility Report)
Central Govt. Sponsored Scheme of Urban Transport Planning of Ministry of Urban
Development, GoI JnNURM Scheme
The possible sources of funds for preparation of DPR / Feasibility report from Central Government
and Central Govt. sponsored scheme such as JnNURM are given in the Table below:
Possible source of Finance (for DPR preparation)
S.No Project Head Projects
JNNURM Scheme Centrally Sponsored
Scheme of Urban
Transport Planning of
Ministry of Urban
Development, GoI
1 Public Transport
Projects
City bus
service(Bus
Augmentation)/
Bus based Mass
Rapid Transit
System such as
BRTS/ Rail
based Mass
Rapid Transit
System such as
Metro Rail,
Light Rail, Tram
etc.
0.75% to 2% of
the project cost
depending on the
project cost.
Bypass 0.5% to 0.75%
of the project
cost depending
on the project
cost
50% in case of DPR for
MRTS projects and 80%
of the cost for undertaking
studies/ surveys
50% in case of DPR for MRTS
projects
80% of the cost for
undertaking studies/ surveys
2
Network
Improvement
New Road 0.5% to 0.75%
of the project
cost depending
on the project
cost
80% of the cost for
undertaking studies/ surveys
Tunnels 1.25% to 1.75%
of the project
cost depending
on the project
cost
3 Parking Off street parking
facilities
1.0% to 1.5% of
the project cost
depending on the
80% of the cost for
undertaking studies/ surveys/
master plans
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project cost
4
Non Motorized
Transport
Construction of foot
path
Pedestrian
crossing/pedestrian
phase signal
Improvement of
pathways
Bike Sharing Scheme
Construction of
Lifts and Escalator
100% of the
project cost for
bike sharing
scheme. For
other NMT
infrastructure
0.6% to 1.25%
of the project
cost depending
on the project
cost
80% of the cost for
undertaking studies/ surveys/
master plans
5 Freight Traffic Truck
terminal/Transport
Nagar etc.
1.0% to 1.5% of
the project cost
depending on the
project cost
80% of the cost for
undertaking studies/ surveys/
master plans
State /ULB budget Funding
State Govt. /ULB can earmark funds specially meant for preparation of Project Report
(DPRs/feasibility Report) through general budget provision under both planned and unplanned
expenditure head.
Multilateral Funding Agency (International Source)
Multilateral Funding Agencies such as Asian Development Bank, World Bank, JICA etc. provide
both Technical Assistance (TA) and aid to prepare Project Report for promotion and development of
Public Transport, Non-motorized Transport, Low-carbon transports etc related projects based on its
own set of guidelines. Detailed guidelines of funding by Multilateral Funding Agencies are available
on the respective websites.
India Infrastructure Project Development Fund (IIPDF)
GoI has established India Infrastructure Project Development Fund with 100 crore revolving
corpus. It has been established with a view that most PPP projects require specialist support to
ascertain project viability, feasibility and other preparatory works which need to be funded by the
sponsoring department. Provision has been made to provide upto 75% of total project development
cost from GoI as long as there is a commitment from the sponsoring authority to bring in the balance
25%. Also in such project Sponsoring Agency/Department/State can give additional 20% of the
project cost as VGF support. Project development funding, ordinarily, will be an interest free financial
assistance to meet the project development expenses. This is expected to be recovered from the
successful private sector partner on award of the project. The Sponsoring Authority will reimburse the
IIPDF, the project development expenses along with a fee up to 40% of the funding as provided
below. The Sponsoring Authority must provide a plan for the same.
127