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Institutional Development in Urban Transport. Role of Institutions in Urban Transport. Cities need transport planning, provision, management and monitoring. States need to set norms and provide finances and guidance Centre needs to provide enabling frameworks, policies and finances.

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role of institutions in urban transport
Role of Institutions in Urban Transport
  • Cities need transport planning, provision, management and monitoring.
  • States need to set norms and provide finances and guidance
  • Centre needs to provide enabling frameworks, policies and finances.
  • Urban transport governance is challenged at various levels- capacity, authority, finances, co-ordination, etc.
end objectives of the module
Get an understanding of the existing institutional set-up for UT in India

How can we improve the existing institutional set up?

How can we take forward the existing institutional set up towards the desired set-up?

End Objectives of the Module
defining institutions
Defining Institutions
  • Institutions are broadly defined as systems of rules, either formal or informal (soft or hard),and those rules define the boundaries and interaction within/across institutions.
  • Institutions are also likely to be organizations;the physical embodiment of an institution, that is, people who carry out a particular set of activities.
  • The term ‘institution' is also used to refer to many different types of entities including organizations as well as the rules, norms, and strategies used to structure patterns of interaction within and across organizations.
  • “While the buildings in which organized entities are located are quite visible, institutions themselves are usually invisible.” (Ostrom, 1990, p.822-823)
defining governance
Governance is a process that brings together actors from the public and the private sphere to steer(parts of) societies by a variety of mechanisms that include institutions, but also partnerships, networks, belief systems, etc. (Biermannet al., 2009)

Institutions is a part and parcel of the concept of Governance

6 dimensions of Governance: Accountability, Transparency, Productive relationships, Advocacy, Clarity of Purpose, Responsiveness

Discussion: How are we faring on these dimensions in our present system of urban transport governance today?

Defining Governance
slide8
Create a policy and vision, framework to ensure cities adopt a sustainable path of growth

Provide funds for the cities to implement this vision by physical infrastructure and capacity creation, maintenance and constant improvement

Regulate the sector to ensure discipline, order, efficiency, travel safety, good health and environment, public spaces and liveability

Plan for public transport and other ‘clean, green and high quality’ mobility services and facilities

Set fares, standards, quality norms, etc.

finally what is the role of institutions in creating ensuring urban transport
Finally…What is the Role of Institutions in creating/ensuring Urban Transport?
  • Decision making level
  • Long term planning
  • Policy formulation
  • Development vision
  • Financing strength
  • Specialized Government Departments
  • Setting service standards
  • Fixing of routes, fares and schedules
  • Vehicle registration
  • Issue of permits
  • Regulation
  • Specialized Public or Private Agencies
  • Bus operations / BRT
  • Rail / Metro
  • IPT and para transit
  • Others
  • Specialized Public or Private Agencies
  • Highway construction
  • Urban roads
  • Bridges
  • Airports

Source: UMTC, 2012

tier wise listing of actors
Centre-

Ministries (Road transport and Highways, Urban Development, Railways, Heavy Industries, Environment, Home, Housing and Urban Poverty Alleviation, Finance, Petroleum and Natural Gas) – policy making, financial assistance, standard setting

Planning Commission- Five year plans

State-

Transport Department- Vehicle licensing and registration; emission norms

State Transport Undertakings- Inter and intra city Public transport (bus) provision

State Development Authorities- carry out city and satellite town planning

The Public Works Department- has responsibility for roads and bridges in the cities

Pollution control board- enforces emission norms

Labour department- enforces labour laws

Finance Department- budgetary allocations, impose and collect different taxes

City-

Local municipal government- provides roads, infrastructure like bus stands, regulates traffic along with Traffic Police, controls construction, etc.

Local city development authority-discharges town planning functions

Traffic Police-regulates traffic

SPVS- plan and manage bus operations

Tier wise listing of actors
existing challenges
Existing challenges

Photo source: EMBARQ 2013

more specifically the challenges can be categorized as
More specifically, the challenges can be categorized as..
  • Adaptation challenges:
      • Governments’ acceptance of the need to change.
      • Increased globalization and politicization of the urban mobility issue.
      • Integrating urban land-use and mobility planning.
  • Administrative and governance challenges:
      • Complications associated with urban administrative boundaries.
      • Changes in organizational arrangements of agencies.
      • Integrated planning and management.
      • Multiple Actors
      • Inter-agency collaboration.
  • Policy, planning, management and regulatory issues
      • Mainstreaming social and environmental concerns
      • Addressing public transport planning and management issues, multi-modal integration.
      • Other specific issues related to enablers and functions related to urban transport
  • Resourcing and capacity-building challenges:
      • Lack of sustained funding for urban transport infrastructure and services.
      • Developments of information and communications technologies.
      • Institutional capacity-building and training of staff.

(adapted in parts from forthcoming UN-Habitat’s GHRS report)

administrative and governance issues
Overlapping or fragmented institutional responsibilities

Horizontal co-ordination and vertical integration between departments is a challenge

Lack of a single lead authority to provide direction and decision-making

Regularly changing organizational arrangements

Countless committees and meetings with many times questionable outcomes

City governments still do not see urban transport as a basic municipal service/responsibility (like water, sanitation); state provides PT services in most cities

Issues with:

Organizational culture- vision and motto

Organizational processes- HR, performance, rewards, etc.

Organizational capacity/skills

Administrative and Governance Issues

UDA

Master Planning, Building Lay outs

M Corp./ ULB

Local Roads, Footpaths, Parking, Signages

Traffic Police

Signals, Enforcement

PWD

Maintenance of Roads (SH/NH/MDR), Flyovers, Underpasses

Office of District Collector

Land management & Overall Administration

SPCB

Emission Standards

RTO

Licensing, Registration, Fare fixation

Railways

Intercity/ interstate rail connectivity

STU

Inter & intra city bus operations

Source: UMTC, 2012

administrative and governance issues1
Lack of a comprehensive legislation regarding UMTAs – They are legally incomplete until such time as they are not backed up by requisite legislation.

UMTAs were designed as co-ordination bodies but do not have the necessary legal backing to summon departments and make them do their job.

Need for an UMTA to be part of a larger body – either the development authority or metropolitan planning committee. Reporting line?

Need for a strong, competent individual to lead UMTA who should be a domain expert and report to the development authority head

Issues of seniority and ranks often prevent officers from seeing eye-to-eye with other department colleagues and leads to project delays, cost-overruns, and nothing being done.

Independent control of funds is still an issue

Administrative and Governance Issues

Challenges with UMTAS

enablers progress till date
ENABLERS:Progress till Date

UMTA for Vijaywada, Guntur, Tenali & Mangalgiri

UMTA for 6 cities in UP

Mysore City Land Transport Authority (MCLTA)

Directorate of Urban Land Transport (DULT), Bangalore

UMTA for Rajasthan urban areas

NTDPC

UMTA for MMR Region in Mah State

UMTA for Bhubaneswar& Puri

UMTA for Kohima city

UMTA for 4 cities in MP

UMTA for Uttar Pradesh urban areas

Bangalore Metropolitan Land Transport Authority (BMLTA)

UMTA for Jharkhand, Ranchi, Jamshedpur

UMTA for Hyderabad

NUTP

Draft UMTA Bill discussed

JNNURM PT Bus Funding

UMTA for Chennai

Landmark GoI Interventions

2006

2007

2008

2009

2010

2011

2012

Source: UMTC 2012

policy level challenges
Ambiguity in policies, laws and programs (Enablers)

The ‘AVOID’ option is not mainstreamed into policies

Gender, vulnerable groups’ and environmental concerns not mainstreamed into policies and plans

Lack of translation of national policy into state and city level action plans (NUTP came out in 2006)

Limited success with improvement in public transport systems in cities; focus to NMT is limited; Hardly any efforts at recognition and integration of informal transport modeslike para transit into city transport

Urban freight is a neglected issue

Intermodal integration will require integration and co-ordination at the institutional level first

No focus on base lining and mandatory performance measurement for improvement/compliance purposes

Policy level challenges
slide22

National Urban Transport Policy

  • Focus on moving people not vehicles- public transport
  • Integrated land use and transport
  • Clean fuels and technology
  • Capacity building

2006

specific issues with nutp
Lack of translation into effective state and city level action plans with supporting organizational reforms

Greater focus on the need to build and develop mass transit systems in cities of various sizes; inadequate emphasis on the need to improve the availability, accessibility and quality of the existing public transport systems

No mention of setting targets to increase modal shares of public transport in cities

No mention of demand management measures and the “Avoid” option

Inadequate emphasis on the need to develop detailed guidelines on procedures for conducting mobility audits, traffic surveys and data modelling and analyses for transport planning, alternative analysis (including engineering, economic & environmental) between two or more transport options, etc.

Specific Issues with NUTP
jnnurm
Source: MoUD, 2007

First reform-driven financial stimulus package exclusively targeting urban areas by the central government

Envisaged “mission projects” for 65 select cities

An investment of over INR 1,00,000 croresby centre, state and city govts

Publicly stated aim of the programme: to make cities “investor friendly”; active PPPs

JNNURM

Source: IIHS, 2011

jnnurm specific issues
JNNURM – specific issues

Failure to mainstream urban planningand link land use and transport, which is the key

Continued focus on road widening projects

Focus on disbursing money, not delivering quality projects

No Alternative Analysis; issues of cost overruns, land acquisitions, approvals, etc.

Incomplete reforms, slow progress in project implementation,

Poor service delivery, quality and institutional hurdles

Lack of focus on vulnerable groups, infrastructure resilience and climate adaptation

Lack of capacity at city level to absorb and implement reforms; resulting in new problem

Lack of monitoring and evaluation framework (KPIs)

comprehensive mobility plans issues
Comprehensive Mobility Plans- Issues

Followed from JNNURM; to be in line with NUTP goals

Preparation was rushed and funding and capacity was limited – not enough time/resources

A wish list of projects and not a holistic program/planning approach to sustainable mobility

Consultant's vision; not city’s (lack of participatory processes)

Started with public transport; ended up doing road widening and construction in many cases

Not linked to existing Mater Plans or budgetary allocations

Absence of KPIs to evaluate CMP and its impact

more issues jnnurm decentralization
74th Amendment must be implemented by elected urban local bodies; Eg. “city planning” is to be undertaken by the “elected local body”. However in many cities such as Bangalore, Mumbai, Ahmedabad, etc., it is seen that the “city planning function” is undertaken by the local development/planning authorities, which are parastatals and which do not have any direct linkages to citizens (as opposed to municipal corporations, whose councillors are elected by people). More issues: JNNURM Decentralization
more issues jnnurm decentralization cont d
States must set up Metropolitan Planning Committees: West Bengal was the only state that had an active MPC before the JNNURM. States such as Maharashtra, Andhra Pradesh, and Gujarat have passed enabling legislations.

Community Participation Law must be enacted by states which will allow for “Area Sabhas” (legally mandated local urban meetings within a ward) and“Ward Committees”.For many years, states did not implement these and only chose to act when there was threat of non-payment of funds from the central government.

More issues: JNNURM Decentralization (cont’d)
integrating urban land use and mobility planning the institutional challenge
Increasing recognition that this is important, yet little being done to address it. Challenges:

Time frame: mobility plans are dynamic and changing, whereas land use planning is more permanent and ‘one-time’

Both professions demand different skill sets; hardly any courses that teach both in detail

Both departments do not necessarily consult each other

Lack of legislation requiring coordination between land use planning and transportation planning. For example: municipal agencies are responsible for development of CMPs, however implementation is largely by planning bodies

Lack of micro plans and schemes like Town Planning Schemes leads to varied interpretations of the terms like “mixed land use”

Transit Oriented Development policies

Integrating urban land-use and mobility planning- the Institutional challenge
other institutional functions needing attention improvement
Traffic Management

Citizen participation in governance

Financing and budgeting

Monitoring and evaluation

Capacity building

Other Institutional Functions needing attention/improvement

We need to find a way to mainstream these into the current policy and planning processes and clarify roles and responsibilities for these.

case studies lessons
Essential requirements of effective institutions:

VISION: Clear, attainable objectives

An enabling Act: An appropriate and sound legal basis for the exercise of powers and duties

Well defined functions: Strategic planning, service planning and regulation done by nodal public agency, supported by subsidaries, pvt. Sector under well defined contracts

Presence of a regulatory and co-ordinating body to ensure integration

High degree of importance of public transport, paratransit and NMT projects to ensure sustainability

Ensuring integration of land use and transport

Political championship at the local level

Well-defined working procedures with limits to officers’ discretion

Adequate resources: funds and qualified, motivated staff

Accountability for performance to a higher administrative or political body

Procedures for public reporting and consultation with stakeholders

Case Studies: Lessons
victoria
VICTORIA
  • Australia’s smallest and most

densely populated state

  • Population of close to 6

million people in 201

  • Original Transport Act had multiple agencies and actors, no linkage to land use or non-land transport modes; and little focus on people’s participation and environment and social benefits
victoria transport integration act
Victoria Transport Integration Act
  • 2010: Transport Integration Act to unify all elements of the transport portfolio under one central statute by providing a common direction for transport and a legislative platform for an integrated and coordinated transport system
process of change
Process of change
  • The Act was passed by Parliament in February 2010 and commenced on 1 July, 2010.
  • Two-year stakeholder and community consultation process.
  • 40 briefings, 8 forums (in both metropolitan and regional areas) attended by local government, industry, community associations, and MPs from state and federal government, 120 workshops, two Ministerial Stakeholder Round Tables, and 78 formal submissions.
  • The strong message received was the need to emphasize transport and land use integration and to consider social, environmental, and economic outcomes in transport decisions. This feedback is reflected in the Act.
victoria transport integration act policy framework
Victoria Transport Integration Act: Policy Framework

Principles

Integrated decision making

Triple bottom line assessment (people, planet, profit)

Equity

Transport system user perspective

Stakeholder engagement and community participation

Transparency

Etc.

functions listed for the transport department as per the new act
Functions listed for the Transport Department (as per the New Act)

Act as the lead in all of the strategic policy, advice, and legislative functions

Coordinate the development of regulatory policy and legislative advice

Lead in the improvement of the transport system, including the development and construction of new infrastructure and the provision of new services

Develop strategies, plans, standards, performance indicators, programmes, and projects relating to the transport system and related matters

Develop and issue guidelines with respect to the implementation and operation of this Act

victoria transport integration act outcomes lessons
Multiple agencies working together resulted in:

Increased accountability

Detailed enough policy to provide clear direction

Flexible enough policy to accommodate agencies’ different roles and responsibilities

Principles of institutional integration for sustainable development reinforced

Integrated approach to safety regulation

More efficient: unnecessary duplication in systems and processes removed

Victoria Transport Integration Act: Outcomes & Lessons
translink vancouver vision mission values
TransLink Vancouver- Vision, Mission, Values

TransLink (legally the South Coast British Columbia Transportation Authority) is the organization responsible for regional roads, transit, transportation demand management, promotion of transportation alternatives and vehicle emission control in Metro Vancouver

  • Vision: A better place to live built on transportation excellence.
  • Mission: “Together, we connect the region and enhance its liveability by providing a sustainable transportation network, embraced by our communities and our people.”
  • Values: Safety, Customer Service, People, Inclusiveness, Integrity, Excellence, Sustainability, Accountability
functions of translink
Functions of TransLink
  • Today Translink is responsible for regional transit, cycling and commuting options as well as AirCare (the air quality program) and Intelligent Transportation System programs. Translink delivers its services through its operating companies. 
powers of translink
Powers of TransLink
  • Translink’s powers are governed by the SCBCTA Act (1998)
  • Powers to contract for the delivery of service and to create subsidiaries, regulatory and pre-emptive powers of government, including the power to approve of independent transit services, the power to expropriate property, and the power to establish fares, user charges and taxes.
      • Road network identification and funding
      • Assessment, Levying and Collection of taxes- parking, fuel, property taxes
      • Land inspection rights
      • Fare setting and collection for transit services
      • Plans and planning strategies
      • Organizational arrangements
translink governance
TransLink- governance
  • Board of Directors, the Mayor's Council on Regional Transportation and the Regional Transportation Commissioner
  • Has access to a wide range of transportation-related revenues including an annual vehicle charge, tolls on facilities it finances, parking taxes and transportation user charges; also provincial revenues
  • Public consultation a must
  • Transparent decision making
translink lessons
TransLink- Lessons
  • Responsibility for roads, transit, transportation demand management, promotion of alternate transportation modes and vehicle emission controls is consolidated under one political authority controlled by local government.
  • The authority is required to operate within the broader policy context set by regional government for regional growth management, air quality, economic development and public finance.
  • The authority’s transportation services are funded primarily from transportation revenue sources – fares, fuel taxes, parking taxes, vehicle test fees, vehicle charges and tolls.

(Source: Puil, 1999)

london
LONDON
  • Capital of England and UK
  • Major world city
  • Global centre of industry,

finance, and culture.

  • Population 7.56 mill in 2007
  • 4,807 persons/sq. km: one

of the most densely

populated cities in Europe

  • One of the most extensive

public transport systems in the world

Slide credits for the London case study go to Peter Wright Principal Transport Planner, Policy and Strategy, Transport for London and EMBARQ’s Bus Karo publication.

key institutional elements of success in london
Strong political leadership

London-wide transport strategy

Gradual reforms

Phased deregulation of bus services

Technically excellent transport authority, TfL

Strong Institutional set-up under TfL enabled by legislation

Political Will to implement attractive fare policies

Innovative Tendering and Contracting Processes

Performance-linked financial incentive schemes

Consultative Approach with bus operators

Partnerships between GLA and local councils for bus priority measures

Extensive System Monitoring

Key Institutional Elements of Success in London
creation of bmlta
Creation of BMLTA
  • NUTP recommends UMTA for cities >1m
  • BMLTA – created as UMTA for BMR March 2007
  • Coordinating all land transport activities
  • Empowered committee: chaired by CS, GOK
  • Member Convener: Commissioner, DULT

Stakeholders

  • BBMP /BDA
  • BMRDA
  • BMTC/ KSRTC,
  • BMRCL
  • Bangalore Traffic Police
  • KUIDFC
  • SW Railways
  • NHAI, PWD
  • Dept. of Transport, GoK

Source: Gaurav Gupta, April 2012

creation of the directorate of urban land transport
Creation of the Directorate of Urban Land Transport
  • DULT a precursor to having a separate dept. for Urban Transport issues
  • Jurisdiction : Bangalore & 6 Tier II Corporation cities
    • Mysore, Mangalore, Bellary, Belgaum, Hubli-Dharwad & Gulbarga
  • DULT to also act as secretariat for the BMLTA.
  • To initiate CTTP for other cities
  • To act as Nodal agency for coordinating urban transport issues

MANGALORE

Source: Gaurav Gupta, April 2012

bmlta challenges ahead
BMLTA: Challenges ahead…
  • Augmenting Public Transportation (PT)
  • Integrating agency plans to fit within the CTTP
  • Pedestrian commuting & cycling - encourage NMT
  • Innovative Strategies to implement projects in pipeline
  • Innovative financing mechanisms for projects
  • Use of technology to review & monitor transport plans
  • Communication with all stakeholders to make them see the big picture & take up sustainable transport projects
  • Evolving Consensus and participation

Source: Gaurav Gupta, April 2012

summation of institutional transport issues in bangalore
All departments/parastatals/city corporation funded and controlled by province/federal government

Agencies with little or no reporting to elected city representatives

Obsession with big ticket projects and motorized transport

Lack of debate and transparency regarding how decisions about urban transportation are made

Multiple agencies with multiple mandates

No talk with other departments which have a direct link with transport (housing, commerce, health, etc.)

Summation of Institutional Transport Issues in Bangalore
response of the government so far
Response of the Government so far
  • Several committees, working groups, policies and programs
      • 12th Planning Commission
      • NUTP
      • JNNURM
      • NTDPC
      • High Powered Expert Committee (HPEC) for Estimating the Investment Requirements for Urban Infrastructure Services (2008)
      • Ministry of Urban Development – Wilbur Smith’s Recommendations on Institutional Setup regarding Urban Transport
      • Etc.
  • Same recommendations re-iterated time after time
  • Have we made any progress?
key recommendations made
Key Recommendations made
  • 12th Five Year Plan
      • A dedicated UT authority in million plus cities
      • A dedicated urban transport fund
      • New department for UT at Centre and State level
  • NTDPC
      • Strengthening UMTAs (empowering them and bringing them under the fold of independent Metropolitan Planning Committees), creation of a separate urban transport department within the MoUD
  • JNNURM, HPEC
      • Setting up of Metropolitan Planning Committees (MPC) for metropolitan regions
  • MOUD (Wilbur Smith Report)
      • Setting up of an ideal urban transport institute with authority for all metropolitan land transport issues, strategic operations and management policies regarding public transport, arterial roads and parking, formal linkages to land-use planning, strong formal legislative oversight, and enforcement
improving the existing institutional enablers actors and functions
Improving the existing institutional enablers, actors and functions
  • Vision to be strengthened around the land use and transport link
  • Align JNNURM to achieving NUTP objectives
  • Improve co-ordination and communication mechanisms, transparency in decision making
  • Re-imagine UMTAs and empower cities paralley to manage their transport systems
  • Improve the process of creating CMPs; make it a notified document
  • Doing monitoring and evaluation –modal shares, distances, travel time, fuel consumed/emissions, safety, PT and NMT quality; link funding to cities with measurement and reporting of these.
  • Build capacity to implement reforms
  • Shift political influence on investments in favor of sustainability (local champions); make sustainable transport fashionable.
  • Streamline public participatory governance in decision making
improving co ordination
For smaller cities or cities with one or two pre-dominant modes of transport like buses or auto rickshaws, create a cell having representation from various departments; this to co-ordinate with central and other state level bodies.

For larger cities having multiple modes, and presence of central agencies like airports, national highways and railways, an high level co-ordinating mechanism needs to be in place, perhaps an UMTA to facilitate integration of local modes with key nodes like airports, railways stations, etc.

Improving co-ordination
issues to be considered for umtas
Needs legal backing: Integrated Urban Transportation Act

Participation of all actors: heads of states, various industries

Defined either for identified regions or the whole state ; created in a phased manner with scope for expansion in jurisdiction, powers and functions over a period of time.

Have sub-committees looking at the following issues: public transport services, resources and policy, investment and capital projects, standards, subsidies, enforcement, monitoring, etc.

Facilitate co-ordination, do monitoring of goals and city’s performance, ensure regulations and standards are met, introduce new regulations and standards and even bye-laws, bring in good governance practices like transparency and community participation, advise on investment decisions and ensure a constant flow of transport revenues to the city

Not pose as an infringement on the rights and functions of the ULBs and the ULBs should continue to plan and execute projects within their jurisdiction,

Issues to be considered for UMTAS
issues to be considered for umtas cont d
Cities empower themselves to take all relevant decisions and come of up plans and strategies for transport in line with the NUTP and UMTA approved framework/guidelines.

Have clear statutory overriding authority to resolve any conflicts with powers vested by other laws with other agencies or departments.

Cities to experiment and work out best arrangement; document experienceas there is lack of knowledge capital on these issues which are clearly more hierarchy and politically drive.

Funded by revenues coming in from fares, advertisements, cess on fuel and roads, etc.

The question of who will the UMTA report to is a moot one. There is one thought that UMTA should report to the Metropolitan/District planning committee (MPC), and in its absence, to the state Government.

Issues to be considered for UMTAS (cont’d)
suggested umta functions
Suggested UMTA Functions

Source: UMTC, 2012