Institutional Development in Urban Transport

1. Institutional Development in Urban Transport

2. 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.

3. 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

4. Sub-objectives / Presentation Structure

5. 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)

6. What makes Institutions?

7. 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

8. 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.

9. Urban Transport Institutions in INDIA

10. 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

11. 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

12. Existing challenges Photo source: EMBARQ 2013

13. 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)

14. 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

15. Role of UMTA as envisaged by 12 FYP and NTDPC Source: UMTC 2012

16. Overview of UMTAs in India Source: UMTC 2012

17. Overview of some UMTAs in India Source: UMTC 2012

18. Overview of some UMTAs in India

19. 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

20. 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

21. 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

22. National Urban Transport Policy • Focus on moving people not vehicles- public transport • Integrated land use and transport • Clean fuels and technology • Capacity building 2006

23. 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

24. 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

25. 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)

26. 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

27. 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

28. 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)

29. 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

30. 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.

31. Examples of Institutional Reforms in Urban Transport

32. Summary of case studies analyzed

33. Summary of case studies analyzed (cont’d)

34. 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

35. 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

36. 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

37. 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.

38. 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.

39. 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

40. 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

41. 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

42. 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. 

43. 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

44. 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

45. 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)

46. 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.

47. Urban Transport Institutional Structure

48. 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

49. Overview of institutional set-up of transportation - Bangalore

50. 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