Appendix AMaking of the Guidelines A.1 Background and Objective

The first National level planning guidelines ‘The Urban Development Plans Formulations and Implementation Guidelines’ (UDPFI) were framed in 1996. Since then, many changes have taken place in the field of urban development especially in view of emerging needs and requirements of urban settlements due to rapid population growth and other reasons like globalization and liberalization. The towns and cities have been more dynamic in nature and are subject to unprecedented changes in terms of requirements of infrastructure and other basic services/ amenities. Besides, new emerging aspects like inclusive planning, sustainable habitat, land use and transport integration at planning stage, preparation of Comprehensive Mobility Plans (CMP) for urban transport, Service Level Benchmarks, disaster management, environmentally sustainable transport and urban reforms have given a new dimension to the planning process. Therefore, it necessitated to revisit the UDPFI Guidelines, 1996.

The Ministry of Urban Development (MoUD), through the standard tendering procedures, awarded the task to revise the guidelines to Mott MacDonald (referred to as Consultant) in August 2013. The time frame was 9 months. The objective was to revise ‘The Urban Development Plans Formulation & Implementation (UDPFI) Guidelines, 1996’ and formulate-

“The Urban and Regional Development Plans Formulation & Implementation (URDPFI) Guidelines, 2014”

Ministry of Urban Development proposed to formulate the URDPFI Guidelines, 2014 to accommodate the future needs of the ever growing population coupled with urbanization with the following Terms of Reference (ToR):

Review the UDPFI Guidelines, 1996, revise and prepare the URDPFI guidelines;

Undertake stakeholder consultation with all relevant stakeholders;

Consult key Ministries and the Planning Commission, NCRPB, MMRDA and other relevant State and Central Ministries, Bodies or Authorities;

Study relevant Central and State Laws , rules and regulations;

Address to the data available with BHUVAN, ISRO, NESAC, NUIS Census 2001 and 2011, Survey of India and GIS database of NIC;

Integration of different types of plans;

Identify the gaps where new set of norms and standards for plan formulation are required;

Suggest a clear-cut framework for plan formulation in view of the emerging scenario of the country’s urbanization and overall vision;

Suggest the new set of norms and standards, zoning regulations including integrated development of peri-urban areas which are easily comprehensible and user-friendly;

Suggest framework and standards, for transit oriented development, affordable housing projects and slum redevelopment and incorporate principles of inclusive development;

Suggest set of norms and standards for land use and transport integration at planning stage itself, integration of CMP with the master plan of the planning area;

Suggest planning, regulatory and enforcement mechanisms for effectively dealing with challenges of urbanization;

Suggest set of norms and standards for earthquake prone areas, environmentally fragile zones such as CRZ areas and hazard prone areas etc.;

Suggest mechanism for improving economic opportunities of cities;

Include framework for Crisis/Disaster Management Plans as part of Development Plan;

Suggest mechanism and avenues for participatory planning; and

Suggest various resource mobilization options and institutional supporting systems for urban development.

Assess the Legal Implications and framework for plan preparation, monitoring and impact assessment of the Master Plans.

Evolve participatory plan approach including planning at ULBs, planning for peri-urban areas and provide for integration between different levels of plan.

While formulating the URDPFI Guidelines, 2014 the following issues was to be focussed upon as was indicated by the MoUD:

1. The service level benchmarks developed by the MoUD.

2. A broad based consultation process by developing a discussion portal and disseminating the Guidelines in regional language.

3. Integration between different levels of plans including integration of City Development Plan and Comprehensive Mobility Plan (CMP) with statutory Master Plan.

4. Integrated land use transport planning with priority to public transport and non-motorised transport.

5. A separate volume on legal aspects.

6. Need for assessing the impact of the plan on growth, employment etc. in a quantifiable manner to make it more acceptable to various stakeholders.

7. A separate chapter should be included on redevelopment of inner city areas as well the city as a whole, with densification along mass transit corridors.

8. A separate Chapter on Urban Transport Impact Assessment for different land use scenarios in terms of overall travel demand, average trip length Maximum time of travel by public transport (for 80% of the trips) in peak time.

9. Guidelines for regional planning including for interstate region that would require cross cutting interventions from zonal administration.

10. Norms and standards for earthquake prone areas, environmentally fragile zones such as CRZ areas and hazard prone areas etc.

11. Framework to make Crisis/Disaster Management Plans a part of Development Plan.

12. Use of GIS technologies for plan formulation including integration with Bhuvan and Google Map etc.

13. Dovetailing the guidelines with various statutory provisions as also the recommendations of 2nd Administrative Reforms Commission and the Working Group on Urban Planning.

14. Measures to tackle the problems arising out of the transition of rural areas into peri urban and urban areas.

15. Include guidelines for special purpose cities, industrial towns, smart cities, port cities, sport cities, heritage cities, medicities, IT corridors, corridor (main and subsidiary), SEZ, Hi tech cities, greenfield towns, hill towns etc.

16. Focus on land suitability and urban renewal norms.

17. One National Workshop and three Regional Workshops to be organized with at least one workshop in the eastern region with State T&CP Department, Urban Development Department, Transport Department, Traffic Police, Development Authorities, UMTAs and Local Bodies.

18. Links with the National Building Code and parameter under National Mission for Sustainable Habitat.

19. Include plans for water, sanitation and drainage.

20. Principles for determination of the costs (capital & recurring) to implement the different aspects of the plan along with specific measures to meet such costs.

21. Uniform/ standardisation of colour code

22. Framework for implementation of the plan, including governance of the same.

23. Ultimately, the URDPFI guidelines should culminate in a responsive planning system.

The project was delivered in six stages as tabulated below:

Table A.1: Deliverables of the project

Source: Terms of reference of the project

A.5 Approach and Methodology for the Revision Study

With the vision to encompass and provide for the holistic urban and regional development for the entire land cover of India, the approach followed in the formulation of URDPFI Guidelines, 2014 comprised of a participatory consultation of the various stakeholders through the following pathways, viz:

1. Formulation of Technical Core Group (TCG): TCG was formed by MoUD for this revision. The consultant held periodic interactions with the TCG members formally and informally for getting inputs. The role of TCG members included:

Co-ordination with the consultant on technical aspects

Technical inputs & area specific recommendations

Review the consultant's work at various stages

Guide & support - data collection, stakeholder consultation and workshops

2. Google Discussion Group: An online group was facilitated by TCPO which allowed interface of various planners and practitioners for the following:

Technical inputs & area specific recommendations

Sharing of information

Technical feedback & interaction

3. Monthly Review Meetings with MoUD: Monthly review meetings were held by MoUD for the consultant to appraise the progress of the project and highlight the key issues for inclusion in the guidelines.

4. Key Consultations: The foremost criteria adopted in provisions of the URDPFI guidelines, 2014 were to make them in concomitance with the provisions of the Policies/ Guidelines/ Acts/ Bills of various other Ministries and Departments.

5. Regional workshops and National Consultative meeting: A total of five Regional workshops were conducted to invite comments from all the 35 States and Union Territories of India. Regional workshops were organised wherein the planning aspects varying across States were discussed and approach to planning in future was directed. Regional workshops were held at Panchkula, Mysore, Goa, Guwahati and Bhubaneswar. The National Consultative meeting was organised in New Delhi on the 4^th of April 2014 to deliberate on the aspects of the guidelines to holistically consult with National and State level stakeholders.

All the key suggestions, comments and provisions obtained from the legal documents, authentic reference and the consultations held have been comprehensively incorporated in the URDPFI Guidelines, 2014 amongst other inclusions upon appraisal at various stages.

The methodology adopted for formulation of the guidelines is described in the figure below:

Figure A.1: Methodology of preparation of URDPFI Guidelines, 2014

Source: MM

A.5.2.1 Stage I - Inception

The Inception stage comprised of brainstorming sessions for finalisation of road map of URDPFI guidelinesand a kick off meeting with the MoUD. The major aspects covered in the inception study/report were:

Finalisation of methodology and work plan.

Framework and locations for regional workshop,

List of stakeholders to be consulted including Ministries & Departments, ULBs, Experts and Institutes and issue of authorisation letter,

Suggestions on datato be referred.

Selection of the State Town & Country Planning Acts, cities for case studies

Formation of the Technical Core Group as suggested by the consultant.

Discussion on the overall National consultation framework and stakeholders & set up of “Google Discussion Group”.

A.5.2.2 Stage II - Review& Analysis

The second stage undertook secondary data review & analysis of the UDPFI guidelines, 1996. During this stage the stakeholder consultations were initiated which followed through the Stages III and IV.

Secondary Data Review: The secondary data of various Ministries, Departments, Institutions and Professional Bodies uploaded on websites such as of Planning Commission; Ministry of Urban Development; Ministry of Drinking Water Supply and Sanitation; Ministry of Environment and Forests; Department of Land Resources, Ministry of Rural Development, etc. and various City Master/ Development Plans were identified for review and analysis. Some of the important references included - Report of the Working Group on Urban Strategic Planning, Twelfth Five Year Plan, Public Private Partnership Toolkit of ADB and MoUD, JNNURM CDP Toolkit, The Land Acquisition, Rehabilitation and Resettlement Act, 2013, Handbook on Service Level Benchmarking, National Urban Sanitation Policy, NDMA Guidelines for Disaster Management, State Town and Country Planning Acts of Tamil Nadu, Karnataka, Himachal Pradesh, Mizoram, Bihar, Maharashtra and Gujarat, The Kerala Town and Country Planning Ordinance, 2013 etc.

Based on the secondary data review, analysis and consultations; the gaps in the UDPFI guidelines, 1996 were identified. As an output of analysis, the recommendations for formulation of URDPFI guidelines were listed. The gaps and updations were finalised in close consultation with the TCG and MoUD.

Stakeholder consultations: After secondary data review, consultations were through telephonic conversation/ email/ face to face meetings. This undertook in depth interview and assisted in crystallisation of the vision of the URDPFI guidelines. The major consultations corresponding to the information obtained were:

Table A.2: Major Stakeholder Consultations and Key Inputs(in addition to MoUD)

An exhaustive contact list is given in Appendix A.7.

The preparation of the Draft URDPFI Guidelines and organisation of Regional Workshops at five locations were held. The agenda of the regional workshop consultations were:

Learning from State specific best practices and planning innovations

Identification of the sources to bridge data gaps

Sharing of guidelines/ policies and other data

The agenda was attained by a three step procedure followed in the workshops:

a) Circulation of questionnaire: the questionnaire consisting section on information sharing and data sharing was circulated in advance to the identified stakeholders for receiving their comments

b) Presentation: presentation of the identification of gaps in UDPFI guidelines,1996 and major recommendations for the URDPFI Guidelines,2014

c) Deliberations on key points

During the workshops most of the States responded to the questionnaire circulated and provided database for reference. Alongwith this, some States gave presentations on chosen best practices such as Planning in Hilly Areas by Shimla, Himachal Pradesh; Regional planning process by Goa, Plan preparation process by Kerala, Village level planning in Rajasthan etc. The Regional Workshops provided a good platform for communication of URDPFI vision and dovetailing the expectations of the various stakeholders and also getting inputs on best practices.

States and UTs of Andhra Pradesh, Himachal Pradesh, Karnataka, Kerala, Maharashtra, Puducherry, Punjab, Rajasthan, Uttar Pradesh, Uttarakhand, Goa, Sikkim, Tripura, Odisha shared comments on UDPFI Guidelines, 1996 and suggestions for the URDPFI Guidelines, 2014 in writing. Ministries including Ministry of Defence, Directorate General of Defence Estates, Ministry of Shipping, Ministry of Railways, Ministry of Rural Development, Ministry of Road, Transport and Highways, Ministry of Water Resources extended great help in the formulation of the Guidelines.

Further suggestions were invited from the States & Institutes on “Google Discussion Group”. Some academic institutions such as Indian Institute of Technology, Kharagpur; School of Planning and Architecture, Vijaywada, College of Engineering, Pune, Department of Architecture and Planning, College of Engineering, Trivandrum shared their comments.

Recommendations from Regional Consultation: At this stage an analysis of the suggestions was made and a concise recommendation report of all the workshops was prepared. The key points from the recommendation report were appropriately addressed in the URDPFI Guidelines upon consultation with MoUD and TCG.

A.5.2.4 Stage IV – Drafting of URDPFI Guidelines

Based on the inputs from stage I to III and the gaps in the existing UDPFI guidelines, the Draft URDPFI guidelines were prepared containing the following points. In preparation of the guidelines, some of the sections of UDPFI Guidelines were retained which were applicable in the current planning scenario.

Reclassification of the urban settlements

Recommended planning system, Planning process including the inter relationships between various plans and their contents

Resource mobilisation and options for land assembly, fiscal resource mobilisation and institutional set up.

A separate chapter on Regional Planning including peri-urban area and land use classification

Revised urban planning approach and planning based on city typologies such as hilly, inner city, industrial, heritage/ religious/ tourism, port, medical and sport cities. An introduction to the planning aspects of compact city covering TOD and Mixed use, green city/ township and Smart city.

Inclusion of mandatory aspects of sustainability- sustainable transportation viz a viz landuse planning, disaster management, environment statutory obligations etc.

Techniques for plan preparation including GIS based planning through use of Bhuvan and allied portals.

Guidelines for assessment of infrastructure demand for the newer kind of integrated developments

Dovetailing with various statutory provisions including recommendations of 2nd Administrative Reforms Commission, Working Group on Planning, 73^rd and 74^th CAA.

A chapter on recommendations and action plan based on rationality.

A separate volume on Legal aspects was formulated, especially focussing on:

Implications of 73^rd&74^th CAA

The Right to Fair Compensation and Transparency in Land Acquisition Rehabilitation and Resettlement Act, 2013

Suggestions on the revision of Model Regional and Town Planning and Development Law, 1985 and Model Municipal Law, 2006

Some of the State level Legal framework were compared to bring out advantages and disadvantages

Legal requirements for industrial developments

Other National level legal requirements for heritage and environment conservation

The draft URDPFI guidelines including its chapterisation structure was prepared in consultation with the various stakeholders. Further draft technical sections were shared with respective agencies for their inputs such as NRSC, NDMA, AAI, various departments of SPA, Delhi etc. who confirmed the provisions with reference to their statutory requirements/ key suggestions. The glossary of the reference is given in Appendix A.8.

The draft URDFPI guideline was widely circulated on MoUD website, Google Discussion Group, web links and to all Ministries, inviting comments and suggestions for inclusion/ making modifications in the guidelines. Comments were received from more than 20 sources before and 22 sources after the National Workshop, which were sorted, examined and considered for inclusion.

National Consultative was held on $4 ^ { \mathrm { t h } }$ April, 2014 in Delhi to have holistic consultation on the Draft Guidelines. Stakeholders for the workshop were finalised in close consultation with MoUD.

Total of 174 participants attended the National Workshop, including the following:

Ministries participated – Ministry of Water Resources, Ministry of Panchayati Raj, Ministry of Shipping, Ministry of Defence

Participating States & Union Territories (about 16) -Andhra Pradesh (HMDA), Assam, Chandigarh, Chhattisgarh, Haryana, Himachal Pradesh, Jammu & Kashmir, Karnataka, Maharashtra, NCT Delhi, Orissa, Puducherry, Rajasthan, Uttarakhand, Uttar Pradesh andWest Bengal.

Other agencies participated- AIA, CPCB, CPHEEO, CSO, CPWD, Delhi Metro, Department of Post and Telegraph, Geological Survey of India, IUT, INTACH, Indian Port Association, International Boundary Directorate, National Disaster Management Authority, RGI, and Survey of India.

ParticipatingPlanning Institutes- College of Engineering Trivandrum, IIT Roorkee, Mysore Institute of Development Studies, NIT Warangal and SPA Delhi.

Based on the comments and recommendation on the Draft Guidelines and outputs of consultative meeting including monthly review meetings with MoUD, the Draft Guidelineswas updated as Final URDPFI Guidelines, 2014.

A.6 Organisation of the Research Study

A.6.1 Project Team

As constituted by MoUD

A.6.2 Technical Core Group Team

As per MoUD, Office Memorandum, dated $2 ^ { \mathsf { n d } }$ September, 2013.

Consultative Members

India Urban Space Foundation

Town Planner, TCPO

Chief Regional Planner, NCRPB

Director, NIUA

Director General, Institute of Urban Transport, MoUD

Director, Centre for Research, Documentation & Training (CRDT), Institute of Town Planners India

Head, Department of Physical Planning, School of Planning & Architecture, New Delhi

Head, Deptt of Transport Planning, School of Planning & Architecture, New Delhi

A.7 Contact List

Ta ble A. 3 : Co ntact l ist for cons u ltation a n d d ata col lection

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A.8 Glossary

A.8. 1 List of reference made in the guidelines (as sources, footnotes, references in the volumes)

Ta ble A.4 : List of refe re n ce mad e i n the g u id el i n es (as sou rces , footnotes , refere n ces i n the vol u mes)

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Table A. 5 : Refe re nces for the G u id el i n es (read , u nd e rstood a nd/o r a nalysed for the pre pa ratio n of the g u id e l i ne)

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