final toolkit for scpp v4 - mpurban.gov.in · cfl! compact!fluorescent!lamp! cgwb!...

! !! !

!

ICF!International!

!

!!

!

!

MADHYA PRADESH URBAN INFRASTRUCTURE INVESTMENT PROGRAMME (MPUIIP)

!

!!!!!

!Toolkit!For!Smart!City!Plan!Preparation!

!!!!

September(2015(

!!!!!!!!

!

!

!

!

!

! !

!!

!!

ICF!International!!! 2!

! !

!

List!of!Acronyms!ACCCRN! Asian!Cities!Climate!Change!Resilience!Network!!ADB! Asian!Development!Bank!AMR! Automatic!Meter!Reading!AVKN! Audyogik!Kendra!Vikas!Nigam!Ltd.!AVLS! Automated!Vehicle!Location!System!AWC! Aganwadi!Centres!BRTS! Bus!Rapid!Transit!System!!BSUP! Basic!Services!To!The!Urban!Poor!CAGR! Compound!Annual!Growth!Rate!CDAC! Centre!For!Development!Of!Advanced!Computing!CDP! City!Development!Plan!CEPI! Comprehensive!Environmental!Pollution!Index!CFC! Citizen!Facilitation!Centre!CFL! Compact!Fluorescent!Lamp!CGWB! Central!Ground!Water!Board!

CIDMAP/CEDMAP!Centre!For!Entrepreneurship!Development!Madhya!Pradesh!

CIS! Cyber!Infrastructure!CMP! Comprehensive!Mobility!Plan!!CNG! Compressed!Natural!Gas!CRF! Citizen!Reference!Framework!CSC! Citizen!Service!Centres!CSC! Computer!Sciences!Corporation!CST! Central!Sales!Tax!DBOT! DesignQBuildQOperateQTransfer!DDMP! District!Disaster!Management!Plan!!DDP! District!Domestic!Product!DEM! Digital!Elevation!Model!DES! Department!Of!Economics!&!Statistics!DFID! Department!For!International!Development!DGS&D! Directorate!General!Of!Supplies!And!Disposals!DMIC! Delhi!Mumbai!Industrial!Corridor!!DMP! Disaster!Management!Plan!!DoPH&FW! Department!Of!Public!Health!And!Family!Welfare!DPR! Detail!Project!Report!DTIC! District!Trade!&!Industries!Centre!!DUDA! District!Urban!Development!Agency!ECBC! Energy!Conservation!Building!Code!EHS! Environmental,!Health,!And!Safety!EMRI! Emergency!Management!And!Research!Institute!ERP! Enterprise!Resource!Planning!ESCOs! Energy!Service!Companies!

!!

!!


! !

ESP! Environmental!Sustainability!Plan!ETM! Electronic!Ticketing!Machines!FAR! Floor!Area!Ratio!FGD! Focussed!Group!Discussion!FSI! Floor!Space!Index!GDDP! Gross!District!Domestic!Product!GDP! Gross!Domestic!Product!GEF! Global!Environment!Facility!GHG!! Green!House!Gases!GIS! Geographic!Information!System!GoI! Government!Of!India!!GoMP! Govt.!Of!Madhya!Pradesh!GPS!! Global!Positioning!System!GRIHA! Green!Buildings!Rating!System!India!HPEC! High!Powered!Expert!Committee!HRMIS! Human!Resource!Management!Information!System!HUDCO! Housing!And!Urban!Development!Corporation!ICDS! Integrated!Child!Development!Scheme!!ICT! Information!&!Communication!Technology!IEC! Information!Education!And!Communication!IGEA! Investment!Grade!Energy!Audit!IPT! Intermediate!Public!Transport!IT! Information!Technology!ITMS! Integrated!Transit!Management!System!ITP! Integrated!Transport!Plan!ITS! Intelligent!Transportation!Systems!JNNURM! Jawaharlal!Nehru!National!Urban!Renewal!Mission!LED! Light!Emitting!Diode!LOS! Level!Of!Service!!LRT! Light!Rapid!Transit!M&SE! Medium!&Small!Enterprises!!MAPPR! Municipal!Action!Plan!For!Poverty!Reduction!MIC! Mayor!In!Council!MIS! Management!Information!Systems!MLD! Million!Litres!Per!Day!MNRE! Ministry!Of!New!And!Renewable!Energy!MoMSE! Ministry!Of!Medium!&!Small!Scale!Industry!MoUD! Ministry!Of!Urban!Development!MP! Madhya!Pradesh!MPCON! Madhya!Pradesh!Consultancy!Organization!Ltd.!MPHB! MP!Housing!Board!

MPHIDB!Madhya!Pradesh!Housing!And!Infrastructure!Development!Board!

MPPCB! Madhya!Pradesh!Pollution!Control!Board!MPSACS! MP!State!Aids!Control!Society!

!!

!!


! !

MPSAPCC! Madhya!Pradesh!State!Action!Plan!On!Climate!Change!MPSCB! Madhya!Pradesh!State!Cooperative!Bank!MPSIDC! Madhya!Pradesh!State!Industrial!Development!Corporation!!MPTRIFAC! MP!Trade!And!Investment!Facilitation!Corporation!Limited!MPUDC! Madhya!Pradesh!Urban!Development!Company!

MPUIIP!Madhya!Pradesh!Urban!Infrastructure!Investments!Programme!

MPUSP!! Madhya!Pradesh!Urban!Services!For!The!Poor!Programme!!MPUVNL!! MP!Urja!Vikas!Nigam!Limited!MRT! Mass!Rapid!Transit!MSME! Ministry!Of!Small!&!Medium!Enterprises!MSW! Municipal!Solid!Waste!MSWM! Municipal!Solid!Waste!Management!NAAQS! National!Ambient!Air!Quality!Standards!!NBO! National!Buildings!Organisation!!NHB! National!Housing!Bank!NUHM! National!Urban!Health!Mission!NULM! National!Urban!Livelihood!Mission!O&M! Operations!&!Maintenance!PCB! Pollution!Control!Board!PHED! Public!Health!Engineering!Department!PIS! Passenger!Information!Systems!PMU! Project!Management!Unit/Performance!Monitoring!Unit!PSU! Public!Sector!Undertaking!PT! Public!Transport!PWD! Public!Works!Department!RAY! Rajiv!Awas!Yojana!RLVDS! Red!Light!Violation!Detection!System!RoW! Right!Of!Way!RSPM! Respirable!Suspended!Particulate!Matter!RTO! Regional!Transport!Office!SCADA! Supervisory!Control!And!Data!Acquisition!SCP! Smart!City!Plan!SDC!! State!Data!Centre!SEARO! SouthQEast!Asia!Regional!Office!SEZ! Special!Economic!Zone!SHG! Self!Help!Group!SIDBI! Small!Industries!Development!Bank!Of!India!SIEEA/SEIAA! State!Environment!Impact!Assessment!Authority!SMEs! Small!And!Medium!Enterprises!SPM! Suspended!Particulate!Matter!SPV! Special!Purpose!Vehicle!STP! Sewerage!Treatment!Plant!SQUMTC! State!Unified!Metropolitan!Transport!Council!SUTP! Sustainable!Urban!Transport!Project!

!!

!!


! !

SWAN! State!Wide!Area!Network!SWM! Solid!Waste!Management!T&CP! Directorate!Of!Town!And!Country!Planning!TCPO! Town!&!Country!Planning!Organisation!!TDR! Transfer!Of!Development!Rights!!TFR! Total!Fertility!Rate!TIN! Triangulated!Irregular!Network!!TMCC! Traffic!Management!&!Control!Centre!TOD! TransitQOriented!Development!UADD! Urban!Administration!And!Development!Department!UASB! Upflow!Anaerobic!Sludge!Blanket!!UBS! Urban!Bus!Specifications!UQCHC! UrbanQCommunity!Health!Centre!UDC! Urban!Development!Company!UDED! Urban!Development!And!Environment!Department!UDPFI! Urban!Development!Plan!Formulation!And!Implementation!ULB! Urban!Local!Body!!UMTA! Unified!Metropolitan!Transport!Authority!UQPHC! UrbanQPrimary!Health!Centre!USMIS! Urban!Sector!Management!Information!System!UT! Urban!Transport!VAT! Value!Added!Tax!VAW! Violence!Against!Women!VTMS! Vehicle!Tracking!Management!System!WFPR! Work!Force!Participation!Rate!WiTrac! Wireless!Traffic!Signal!System!

!

!!

!

!

!

!

! !

!!

!!


! !

Table&of&Contents&

!

1.! Introduction!to!the!Toolkit!...............................................................................!10!

2.! Smart!Cities:!Conceptual!Understanding!...........................................................!12!

3.! Overview!of!Smart!City!Proposal!Preparation!Process!......................................!19!

4.! Public!Consultations:!Framework!and!Approach!...............................................!28!

5.! Municipal!Finance!Analysis!...............................................................................!34!

6.! Approach!to!CityNWide!Concept!Plan!................................................................!38!

7.! CityNlevel!SWOT!Analysis!..................................................................................!62!

8.! Approach!to!Smart!City!Visioning!.....................................................................!66!

9.! Approach!to!Smart!City!Proposals!....................................................................!68!

10.! Approach!to!Financing!Plan!..............................................................................!72!

11.! Packaging!the!Smart!City!Proposal!....................................................................!77!

Annexure!I:!Data!Tables!.............................................................................................!80!

Annexure!II:!Timelines!and!Deliverables………………………………………………………………….113!

Annexure!III:!Consultation!Strategies!Guide!.............................................................!114!

Annexure!IV:!Smart!City!Benchmarking!....................................................................!115!

Annexure!V:!Madhya!Pradesh!Urban!Development!Profile!.......................................!132!

Annexure!VI:!List!of!Key!Documents!for!Reference!...................................................!135!

Annexure!VII:!List!of!Organisations!Involved!in!Industrial!Development!in!MP!.........!136!!

!! !

!!

!!


! !

List!of!Figures!Figure!1:!Smart!City!Framework!............................................................................................................!12!Figure!2:!Smart!City!Mission!…………………………………….………………………………………………………………………….13!Figure!3:!Smart!City!Approach!………………….…………………………………………………………………………………………13!Figure!4:!GoI!Stages!of!Competition!………………………………………………….………………………………………………..14!Figure!5:!GoI!Suggested!Smart!Solutions!...............................................................................................!15!Figure!6:!SPV!Structure!..........................................................................................................................!15!Figure!7:!SPV!Management!...................................................................................................................!16!Figure!8:!SPV!Functions!.........................................................................................................................!16!Figure!9:!Financing!Options!...................................................................................................................!17!Figure!10:!Participatory!Planning!Process!………………………………………………………………..………………………….28!Figure!11:!Solid!Waste!Management!Chain!...........................................................................................!49!Figure!13:!ULB!Transparency!.................................................................................................................!60!Figure!14:!Project!Identification!............................................................................................................!64!!

! !

!!

!!


! !

List!of!Tables!Table!1:!Consultation!Evaluation!Checklist!............................................................................................!33!Table!2:!Matrix!For!Financial!Performance!Assessment!.........................................................................!36!Table!3:!City!Assessment!Matrix!............................................................................................................!39!Table!4:!Strategy!Checklist!....................................................................................................................!40!Table!5:!Swm!Efficiency!Checklist!..........................................................................................................!51!Table!6:!Tourism!Demand!.....................................................................................................................!59!Table!7:!Parameters!For!Assessment!Of!City!Administration!.................................................................!61!Table!8:!Swot!Analysis!...........................................................................................................................!63!Table!9:!Pancity!Evaluation!...................................................................................................................!64!Table!10:!AreaNBased!Project!Evaluation!...............................................................................................!65!Table!11:!Capital!Investment!Plan!.........................................................................................................!76!Table!12:!Cash!Flow!Statement!.............................................................................................................!80!Table!13:!Financial!Position!...................................................................................................................!80!Table!14:!Income!And!Expenditure!Statements!.....................................................................................!81!Table!15:!Change!In!No.!Of!Taxable!Property!........................................................................................!81!Table!16:!Total!No.!Of!Properties!..........................................................................................................!81!Table!17:!Change!In!Property!Tax!Arrears!..............................................................................................!82!Table!18:!Tax!Collection!Efficiency!.........................................................................................................!82!Table!19:!Fixed!Asset!Summary!.............................................................................................................!83!Table!20:!Comparison!Of!Budget!And!Actuals!........................................................................................!83!Table!21:!ProNPoor!Budget!Summary!.....................................................................................................!84!Table!22:!ProNPoor!Budget!Details!.........................................................................................................!84!Table!23:!Ratio!Analysis!........................................................................................................................!84!Table!24:!District!GDP!...........................................................................................................................!86!Table!25:!District!Per!Capita!Income!......................................................................................................!86!Table!26:!Workforce!Participation!Rate!.................................................................................................!86!Table!27:!Indore!Workforce!Distribution!...............................................................................................!87!Table!28:!Formal!&!Informal!Employment!.............................................................................................!87!Table!29:!SectorNWise!Ddp!At!Current!Prices!.........................................................................................!87!Table!30:!Status!Of!Industrial!Zones!......................................................................................................!88!Table!31:!Status!Of!Sezs!........................................................................................................................!88!Table!32:!Micro!&!Small!Enterprises!......................................................................................................!88!Table!33:!Urban!Poverty!Analysis!..........................................................................................................!89!Table!34:!Different!Demographic!Groups!..............................................................................................!89!Table!35:!Key!Indicators!........................................................................................................................!89!Table!36:!Key!Indicators!For!Youth!........................................................................................................!89!Table!37:!Key!Indicators!For!Elderly!.......................................................................................................!90!Table!38:!Key!Indicators!For!Specially!Abled!..........................................................................................!90!Table!39:!Planned/Ongoig!Initiatives!.....................................................................................................!91!Table!40:!Proposed!Modal!Share!...........................................................................................................!91!Table!41:!Operating!Characteristics!Of!Pt!&!Nmt!...................................................................................!91!Table!42:!Decadal!Growth!In!Public!&!Pvt!Vehicles!................................................................................!92!Table!43:!Ground!Water!Availability!&!Utilization!For!The!District!........................................................!94!Table!44:!Chemical!Analysis!Of!Water!Samples!Collected!In!City!...........................................................!94!Table!45:!Ambient!Air!Quality!At!Different!Parts!Of!The!City!.................................................................!95!Table!46:!Distribution!Of!Housing!Stock!By!Use!.....................................................................................!96!Table!47:!Distribution!Of!Housing!Stock!By!Ownership!..........................................................................!96!Table!48:!Slum!Population!In!Major!Towns!(In!Madhya!Pradesh)!..........................................................!97!Table!49:!Growth!Of!Slums!....................................................................................................................!97!Table!50:!Housing!Need!In!The!City!.......................................................................................................!97!Table!51:!Contribution!Of!Various!Stakeholders!In!Housing!Production!.................................................!98!Table!52:!Housing!Price!Index!Movement!In!Indore!And!Bhopal!(Madhya!Pradesh)!..............................!98!Table!53:!Waste!Collection!Profile!.........................................................................................................!99!Table!54:!Swm!Collection!&!Transport!Vehicles!.....................................................................................!99!Table!55:!Existing!And!Proposed!Land!Use!Distribution!Of!City’s!Urban!Area!......................................!100!

!!

!!


! !

Table56:!Sanitation!Scenario!...............................................................................................................!101!Table!57:!Waste!Water!Scenario!.........................................................................................................!101!Table!58:!Proposals!Planned!In!The!City!..............................................................................................!102!Table!59:!Operating!Cost!Of!Sewerage!And!Sewage!Treatment!...........................................................!102!Table!60:!Grievance!Redressal!System!.................................................................................................!103!Table!61:!Estimated!Demand!..............................................................................................................!104!Table!62:!Installed!Capacity!Of!Water!Sources!.....................................................................................!104!Table!63:!Capacity!Utilisation!Of!Water!Production!.............................................................................!104!Table!64:!Average!Distribution!Input!...................................................................................................!104!Table!65:!Water!Quality!Surveillance!..................................................................................................!105!Table!66:!Assessment!Of!Water!Losses!................................................................................................!105!Table!67:!Operating!Cost!Recovery!Trend!............................................................................................!106!Table!68:!Prevailing!Water!Tariffs!In!The!City!......................................................................................!106!Table!69:!Load!&!Energy!Consumption!................................................................................................!107!Table!70:!Load!&!Energy!Consumption!For!Past!5!Years!.......................................................................!107!Table!71:!Energy!Consumption!Scenario!..............................................................................................!107!Table!72:!Energy!Consumption!Scenario!For!Street!Lighting!................................................................!107!Table!73:!Connected!Load!Of!Street!Lighting!In!The!City!......................................................................!108!Table!74:!Excess!Billing!In!Street!Lighting!System!In!The!City!...............................................................!108!Table!75:!Shared!Savings!Model!–!Responsibilities!..............................................................................!109!Table!76:!Deemed!Savings!Model!–!Responsibilities!............................................................................!109!Table!77:!Swan!Bandwidth!Utilisation!Across!States!...........................................................................!110!Table!78:!Households!With!Computer/Laptop!And!Mobile/Telephone!Usage!.....................................!110!Table!79:!Number!Of!Citizens!Utilizing!The!Current!It!Enabled!Services!In!The!City!..............................!110!Table!80:!Planned!/!Ongoing!Initiatives!...............................................................................................!110!Table!81:!Services!Provided!By!The!Department!In!The!City!................................................................!111!Table!82:!Status!Of!Initiatives!/!Applications!Used!In!The!Departments!...............................................!111!Table!83:!Hardware!Infrastructure!Available!In!The!Department!.........................................................!111!Table!84:!Key!Issues!At!City/Department!Level!...................................................................................!112!Table!85:!Water!..................................................................................................................................!115!Table!86:!Wastewater!.........................................................................................................................!115!Table!87:!Solid!Waste!Management!....................................................................................................!116!Table!88:!Storm!Water!Drain!...............................................................................................................!117!Table!89:!Public!Transport!Facilities!....................................................................................................!117!Table!90:!Pedestrian!Infrastructure!Facilities!.......................................................................................!117!Table!91:!Non!Motorized!Transport!(Nmt)!Facilities!............................................................................!118!Table!92:!Level!Of!Usage!Of!Intelligent!Transport!System!(Its)!Facilities!..............................................!118!Table!93:!Travel!Speed!(Motorized!And!Mass!Transit)!Along!Major!Corridors!......................................!119!Table!94:!Availability!Of!Parking!Spaces!..............................................................................................!119!Table!95:!Road!Safety!.........................................................................................................................!120!Table!96:!Pollution!Levels!....................................................................................................................!120!Table!97:!Integrated!Land!Use!Transport!System!.................................................................................!121!Table!98:!Financial!Sustainability!Of!Public!Transport!By!Bus!..............................................................!121!Table!99:!Birth/!Death!Registration!.....................................................................................................!123!Table!100:!Calculation!And!Payment!Of!Property!Tax!..........................................................................!123!Table!101:!Payment!And!Management!Of!Utility!Bills!.........................................................................!124!Table!102:!Grievances!Handling!..........................................................................................................!125!Table!103:!Building!Plan!Approval!.......................................................................................................!126!Table!104:!ENProcurement!And!Project/!Ward!Works!..........................................................................!128!Table!105:!Solid!Waste!Management!System!......................................................................................!129!Table!106:!Licenses!.............................................................................................................................!129!Table!107:!Accounting!System!.............................................................................................................!130!Table!108:!Personnel!Management!System!.........................................................................................!131!! !

!!

!!


! !

1. Introduction!to!the!toolkit!

The!Smart!City!Mission!(SCM)!was!launched!on!25th!June,!2015!by!the!Ministry!of!Urban!Development! (MoUD),! Government! of! India! to! promote! cities! that! provide! job!opportunities,!improve!livability!in!a!sustainable!and!‘smart’!manner.!

In! a! firstQofQitsQkind! move,! GoI! launched! a! ‘challenge’! for! cities! to! qualify! under! this!Mission.!In!Stage!1,!an!intraQstate!competition!was!organized!where!100!cities,!from!all!over! India,! meeting! certain! eligibility! criteria! were! shortlisted.! Of! these,! 7! cities! in!Madhya! Pradesh! (MP)! have! made! the! cut:! Indore,! Bhopal,! Jabalpur,! Ujjain,! Gwalior,!Satna!and!Sagar.!At!Stage!2,!these!cities!will!conduct!an!asQisQassessment,!and!develop!a!Smart!City!Plan!(SCP)!through!participatory!planning!processes.!!!

While! Smart! City! Guidelines! (SCG)! and! various! workshops! at! the! national! and! subQnational! levels! have! attempted! to! facilitate! this! process,! the! information! is! dispersed!and!piecemeal.!This!toolkit!has!been!designed!to!fill!this!gap!in!guidance.!

The! objective! of! the! toolkit! is! to! provide! urban! local! bodies,! and! consultants! a! clear!processQbased! guide! to! access,! assimilate,! and! present! information! in! confirmation! of!government! expectations! and! guidelines! on! the! SCM.! The! toolkit! should! enable!consultants!to!anticipate,!and!systematically!address!problems! likely!to!be!faced!while!preparing!a!smart!city!plan.!Using!resources!assembled!here!consultants!and!urban!local!bodies! (ULB)! will! be! able! to! draw! up! a! strategy! for! addressing! impending! planning!challenges.!!

The! toolkit! is! based! on! information! gathered! through! secondary! research,! interviews!with! stakeholders! including!officials!at! the!central,! state!and!ULB! level.!Accordingly,! it!has!been!nuanced!to!reflect!state!level!priorities!and!decisions!on!the!governance!and!execution!of!this!project.!The!toolkit!provides!the!user!with!a!wide!range!of!resources!to!work! with.! It! has! been! structured! bearing! in! mind! that! the! SCM! mandates! a!participatory!planning!framework!where!the!process! (of!consultations,!priority!setting,!area!selection!etc.),!analysis!of!inputs!and!innovation!design!are!all!given!importance!by!GoI.!!!

The!guidance!provided!here!has!benefitted! from!the!practical!experience!of!preparing!the!situational!analysis!of!one!of!the!seven!MP!cities!in!the!competition.!The!challenges!faced,!knowledge!acquired!and!process!followed!have!guided!the!drafting!of!this!toolkit.!Over!and!above!this,!the!toolkit!has!received!inputs!from!a!multiQsectoral!expert!team!reviewing! the! strategies! for! each! sector.! This! is! a! working! document! that! will! be!developed! and! updated! over! time! building! on! experience! and! knowledge! generated!through!various!activities!at!the!city,!country,!regional!and!international!level.!

This! toolkit! has! been! developed! by! a! technical! assistance! (TA)! team! deployed! by! the!Department! for! International! Development! (DFID),! UK.! DFID,! UK! has! partnered! with!GoMP! to! support! Madhya! Pradesh! Urban! Infrastructure! Investment! Programme!(MPUIIP).!Under! the!program,!DFID! is! supporting!UDED!through!a! technical!assistance!(TA)! team! for! smart! cities.! The! TA! team! has! been! providing! handholding! and! quality!

!!

!!


! !

assurance! support! to! UDED! in! ensuring! that! the! smart! city! plan! for! each! city! meets!international!standards!and!prepared!in!best!possible!manner.!!

This! toolkit! is! for! guidance! purposes! only! and! ULBs/consultants! may! use! their! own!discretion!to!produce!the!SCP.!

! !

!!

!!


! !

2. Smart!Cities:!Conceptual!Understanding!!

Increased! mobility! of! societies! has! created! intense! competition! between! cities:! for!investment,! for! talent,!and! for! jobs.!Urban! infrastructure!will!need!to!better!meet! the!challenges! of! city! environments:! energy! and! water! scarcity;! pollution! and! emissions;!traffic!congestion;!crime;!waste!disposal;!and!safety!risks!from!ageing!infrastructures.!

Furthermore,! to! retain! and! attract! the! most! promising! residents,! companies,! and!organizations,! as!well! as! promote! a! thriving! culture,! cities!must! achieve! three! critical!traits:! become! more! efficient,! more! livable,! and! more! sustainable.! The! pressures! of!urban!flareQup!coupled!with!climate!change!impacts!have!driven!a!shift!towards!the!use!of!digital!and!information!infrastructure!for!devising!intelligent,!efficient!and!economic!ways!of!managing!utilities,!transport,!infrastructure,!environment!and!others.!!

Smart! cities! have! emerged! as! a!milestone! in! the! urban! policy! agenda! in! the! hope! of!essaying!the!Indian!growth!story!through!cities!that!are!efficient,!technologyQdriven,!and!capture!the!pulse!of!citizen’s!aspirations.!While!there!are!many!frameworks!for!defining!a!smart!city,!global!discourse!highlights!the!following!factors:!

• Stakeholder+focussed!–!CitizenQcentric!approach!to!develop!proposals!that!arise!from!peoples’!aspirations!and!local!needs!

• Matching+global+standards!–!Improving!levels!of!service!delivery!to!match!stateQofQart! global! standards! in! an! environmentally! sustainable! and! economical!manner!

• Area6based+development!–!Focus!on!specific!areas!which!define!character,!USP!and!local!aspirations!of!city!

• Remunerative! –! Improving! economy! through! employment! generation! and!resource!optimization!!

• Technology+ supported! –! providing! digital! solutions! to! induce! transparency,!efficiency!and!affordability!in!services!delivery!

FIGURE&1&SMART&CITY&FRAMEWORK&

!

!!

!!


! !

2.1. Mission!Overview!

Urban!development!is!central!to!India’s!strategy!of!achieving!faster!and!more!inclusive!growth! because! agglomeration! and! densification! of! economic! activities! (and!habitations)! in! urban! conglomerations! provides! more! opportunities! for! earning!livelihoods.! This! increases! avenues! for! entrepreneurship! and! employment! enabling!faster!inclusion!of!more!people!in!the!process!of!economic!growth.!!!

Taking!the!urbanization!agenda!further,!GOI!announced!the!development!of!‘100!Smart!Cities’! –! through! the!development! of!satellite! towns! of!larger! cities! and! by!modernizing! existing!midQsized!cities! in! its!interim! budget! in!2014.! MOUD!subsequently!circulated! a! concept!note,!guidelines,!and!held! several!workshops! to! clarify!the! contours! of! the!SCM! (Figure!2).! SCM!definition! for! ‘smart! cities’! emphasises! the! role!of! ICT! in! creating! cities! that! are!more!citizenQfriendly,!efficient!and!drive!economic!growth! in!a! sustainable!manner.!Keeping!these!parameters!as!a!guide,!cities!are!required!to!innovate!and!experiment.!!

The! guidelines! encourage! cities! to!adopt! a! systemic! and! holistic! view!of! the! city! as! an! organism.!Instead! of! weaving! a! plan! with!disjointed! and! offQtheQshelf!initiatives! offered! aplenty,! both!by! the! private! sector,! and! the!international! community,! the!guidelines! advocate! a! processQbased,! participatory,! structural!approach.! Four! types! of! core!infrastructures,! with! citizen!choice!as!the!governing!principle,!have! to! provide! the! foundation!for!a!smart!city!(Figure!3).!

!

FIGURE&2:&SMART&CITY&MISSION!

!

Ins$tu$onal*Infrastructure*(planning*&*management*

systems*including*Governance)*

Physical*Infrastructure**(urban*mobility*system,*

housing*and*municipal*services)*

Social*Infrastructure*(educa$on,*healthcare*

entertainment)*

Economic*Infrastructure**(ci$es’*compara$ve*advantage*&*infrastructure*that*enhances*

ci$es’*compe$$veness).**

Transparency*and*Accountability*to*

Ci$zens*

FIGURE&3:&SMART&CITY&APPROACH!

!!

!!


! !

2.2. Timeline!and!Milestones!

GoI!has!approved!an!allocation!of!Rs!48,000!crore!for!the!Smart!Cities!Mission;!with!100!crore!to!be!given!to!each!city!per!year!for!the!next!five!years!(2015Q2020).!The!process!of!smart!city!selection!has!been!unrolled!in!stages!(Figure!4).!Detailed!project!milestones!and!timelines!can!be!observed!in!Annexure!II.!

!

!

!

!

!

!

!

!

!

!

!

!

!

!

!

• Stage!1:!Nomination!of!cities!by!state!governments!based!on!GoI!criteria!• Stage!2:!Submission!of!SCPs!by!100!cities!and!competition!for!approval!• Stage!3:!Selection!and!approval!of!20!city!plan!

This!toolkit!is!designed!to!support!processes!at!Stage!2!of!the!competition.!At!this!stage,!consultants!hired!by!ULBs!are!expected!to!develop!a!smart!city!proposal!within!100!days!from!the!date!of!inception.!This!process!must!be!participatory,!and!transparent.!!

The! SCP! preparation! would! require! carrying! out! a! rapid! assessment! of! the! city,! its!infrastructure! and! services! based! on! secondary! information,! analyse! key! issues! and!challenges,!formulate!vision,!targets!and!overall!strategy!for!smart!city,!select!potential!site! for!smart!city!and!propose!desired!development,!propose!panQcity!smart!solution,!project! prioritization! and! phasing,! cost! implication,! financial! resource! mobilization!

FIGURE&4:&GOI&COMPETITION&STAGES!

!!

!!


! !

strategy!and! implementation!arrangement.!The!proposal!would! include!an!areaQbased!smart! development! (on! greenfield/retrofit/redevelopment)! or! cityQwide! service!improvement! using! technology! or! innovation! with! focus! on! poor! and! marginalized!(Figure!5).!!

FIGURE&5:&GOI&SUGGESTED&SMART&SOLUTIONS&

!

!

2.3. Implementation!Mechanism:!Special!Purpose!Vehicle!!

(

Scope(and(structure((FIGURE&6:&SPV&STRUCTURE&

The! Special! Purpose! Vehicle! (SPV)! will! be! a!private! limited! company! under! the!Companies! Act,! 2013.! Its! management! will!comprise! of! a! fullQtime! CEO! with! Centre,!State!and!ULB!nominees!as!Board!Members!(Figure!7).! State!and!ULB!will!have!an!equal!equity!stake!in!the!company.!Private!equity!is!encouraged,!but!must!never!exceed!the!sum!of!state!and!ULB!share!(Figure!6).!!

!

&

!

!

SPV!

State!Govt.!!

Pvt!Partners!

ULB!

!!

!!


! !

FIGURE&7:&SPV&MANAGEMENT&

!

Functions(and(Responsibilities(

It! will! be! the! functional! responsibility! of! the! SPV! to! plan,! appraise,! approve,! release!funds!related!to!the!SCP.!SPV!may!appoint!Project!Management!Consultants!(PMC)!for!managing! areaQbased! projects.! However,! the! state! administration! has! decided! that!implementation!of!initiatives!will!remain!with!the!ULB!(Figure!8).!!

FIGURE&8:&SPV&FUNCTIONS&

!

Mission(Monitoring(

A! Smart! City! Advisory! Forum! is! to! be! constituted! at! the! city! level! comprising! of! the!District!Collector,! local!MPs,!MLAs,!Mayor,!CEO!of!SPV,! local!youths,!technical!experts,!and!at!least!one!member!from!a!body!representing!citizens!(RWA,!Mahila!Mandal,!NGO,!Chamber!of!Commerce!etc.).!

!

!

!!

!!


! !

Fund(Management(

SCP!will!be!provided!a!total!funding!of!500!crores!over!5!years!from!the!Centre.!An!equal!and!matching!amount!must!be!contributed!by!the!State/ULB!taking!the!total!schematic!funding!to!1000!crores.!Over!and!above!this,!funds!from!private!investors,!bilateral!and!multilateral! agencies! along! with! monies! available! under! various! state! and! central!government!schemes!and!programmes!must!be! leveraged.!Norms!for!spending!will!be!determined!by!the!nature!of!source,!and!must!be!adhered.!!

The!SCP!guidelines!also!specify!norms!for!matching!the!source!of!funding!with!type!of!activity!planned!(Figure!9).!While!the!funds!from!the!centre!are!to!be!delivered! in!the!form!of!a!tied!grant!usable!only!for!innovations!approved!in!the!SCP,!SPV’s!are!strongly!encouraged!to!raise!funding!from!other!sources.!

FIGURE&9:&FINANCING&OPTIONS&

!

2.4. Expectations!from!municipal!corporations!

The!Consultant!would!be!expected!to!develop!a!smart!city!proposal!for!the!city!within!100!days.! For! this! they!would! require! cooperation! and!handholding! support! from! the!ULB.!To!expedite! the!planning!process!ULBs!should!provide! the! following!support! in!a!timely!manner:!

1. Appoint!a!Nodal!officer!in!ULB!for!liaising!with!consultants,!within!ULB,!with!UADD!and!with!other!departments!/!organizations.!

2. Provide! authorization! letter! to! consultant! for! data! collection! and! stakeholder!discussions.!

3. Share! data,! especially! related! to! service! levels,! finances,! current! ICT! use,! as! per!requirement!with!consultants.!

4. Share! previous! studies! on! sectoral! efficiency,! infrastructure! mapping,! baselines,!area! development! etc.! including! city! level! plans! such! as! CDP,! CSP,! CMP,! CTTS,!

!!

!!


! !

SFCPoA,!Development!(Master)!Plan!etc.!and!subQcity!level!plans!such!as!Zonal!Plans!etc.!

5. Provide! ULB! financial! information! to! consultants! so! that! consultants! can! assess!latest!financial!position!of!ULB!and!its!ability!to!raise!finances.!

6. Provide! ULB! level! details! of! progress! and! plans! under! ongoing! programmes! and!schemes!such!as!AMRUT,!PMAY,!SBM!etc.!and!ensure!that!smart!city!proposals!are!well!converged!with!these!schemes.!

7. Ensure!that!consultants!leverage!the!unique!selling!point!and!characteristics!of!the!city!to!develop!theme!for!SCP.!

8. Involve! stakeholders! in! identification!and!prioritization!of! strategic! area! selection,!and!panQcity!initiatives.!

9. Appoint!an!event!management!or!public!relations!company!at!city!level!which!can!carry!out!social!outreach!program!under!Smart!Cities.!

10. Create! and! actively! engage! in! a! public! outreach! and! participation! strategy! and!regularly! communicate! developments! to! public.! Engage! with! media! actively! to!generate!interest!among!citizens!for!smart!cities.!

11. Ensure!that!consultants!develop!a!plan!that!is!not!merely!infrastructure!upgradation!but!demonstrates!use!of!smart!and!innovative!ideas!and!solutions.!

12. Ensure!that!consultants!promote!renewable!energy!and!energy!efficiency!measures!through!SCPs.!

13. Monitor!the!progress!of!consultants!on!a!dayQtoQday!basis!and!resolve!issues!faced!by! consultants! immediately.! ULBs! must! ensure! that! there! are! no! delays! in! SCP!preparation!and!all!necessary!support!is!provided!by!ULB.!

14. Ensure! that! plan! proposal! outcomes! provides! highest! opportunity! for! economic!growth!and!set!high!standards!for!quality!of!living.!

15. Ensure!that!consultant!team!for!each!city!is!different!and!not!working!on!any!other!smart!city!proposal!within!Madhya!Pradesh.!Apart!from!the!team!proposed!by!the!consultant,! each! consultant! team! must! also! include! finance! specialist,!architect/urban! designer,! and! communications! specialist! at! all! times.! If! required,!Commissioner!shall!make!sure!that!the!Consultant!make!replacements!in!consultant!team!and!add!additional!resources!based!on!requirements!at!the!earliest.!

16. ULBs!must!organize!the!consultations!and!citizen!engagements.!The!consultant!shall!provide! support! as! knowledge! partner! in! all! such! events.! Consultant! shall! also!develop!the!formats!and!design!collaterals!for!citizen!engagements.!ULB!may!wish!to! appoint! a! separate! communications! agency! to! provide! specialist! inputs! on!organizing!citizen!engagements!and!running!city!level!smart!city!campaign.!

!

!

!

!!

!!


! !

3. Overview!of!Smart!City!Proposal!Preparation!Process!

The!planning!process!may!be!broadly!organized!into!three!phases,!each!with!a!set!of!key!activities!as!below:!

!

These!activities!are!discussed!in!more!details!as!below:!

Preparatoy)Phase Assessment)Phase Proposal)Phase

Task)1Review)of)MoUD)SCM)documents

Task)1 Preparation)of)sector)profile Task)1Review)of)concepts)for)smart)city)and)sustainable)development

Task)2Review)of)best)practices)in)smart)cities

Task)2Overview)of)sectorCwise)existing)situation)and)proposed)solutions

Task)2Development)of)planning)principles)and)design)guidelines

Task)3Sector)wise)analysis)of)data)requirements

Task)3 Identifying)key)growth)drivers Task)3Preparation)of)conceptual)master)plans

Task)4Classification)of)input)data)based)on)primary)and)secondary)source

Task)4Data)collection)from)various)agencies

Task)4Development)of)broad)specification)of)project)components

Task)5 Listing)of)key)stakeholders Task)5

Stakeholder)consultations)to)identify)sites)for)smart)city)development)and)priority)sector)of)city

Task)5 Estimation)of)project)costs

Task)6Identification)of)parameters)and)their)weightage)for)ranking)of)municipal)wards

Task)6 Establishing)vision)for)smart)city Task)6 Preparation)of)project)pipeline

Task)7Meeting)and)discussion)with)the)ULB

Task)7Identification)of)key)issues)and)challenges

Task)7 Project)lifecycle)assessment

Task)8Gap)assessment)between)ULB)expectations)and)initial)A&M)and)workplan

Task)8Finalization)of)screening)parameters

Task)8 Implementation)phasing

Task)9 Revisions)in)A&M)and)workplan Task)9Evaluation)and)ranking)of)municipal)wards

Task)9Review)of)AMRUT,)Housing)for)All)guidelines)etc.

Task)10 Discussion)with)key)stakeholders Task)10 Assessment)of)project)benefits

Task)11 Online)citizen)survey Task)11Mapping)of)project)on)cost)benefit)axis

Task)12 Preparation)of)site)basemap Task)12Identification)of)high)impact)low)cost)solutions

Task)13 Site)analysis Task)13Stakeholder)discussions)on)proposals

Task)14 Preparation)of)SWOT)matrix Task)14Revisions)in)proposals)based)on)stakeholder)feedback

Task)15 Service)level)benchmarking Task)15 Assignment)of)project)priorities

Task)16 Visioning)exercise Task)16Estimation)of)annual)expenditure)statement

Task)17Development)of)smart)city)definition,)criteria,)objectives)and)targets

Task)17Identification)of)key)revenue)sources

Task)18 Stakeholder)consultations Task)18Develop)measures)to)augment)resources

Task)19 Revisions)in)smart)city)vision Task)19 Present)final)plan)

A1:!Review!of!smart!city!mission!statement!and!guidelines!The!Consultant!will!review!smart!city!mission!statement!and!guidelines!to!establish!methods!for!–!carrying!out!asQis!assessment,!site!selection,!stakeholder!consultations,!area!development!(greenfield,!redevelopment!and!retrofit!model)!and!panQcity!smart!solutions.! The! Consultant! will! also! review! international! and! domestic! practices! to!define!smart!cities!and!establish!criteria!for!smart!city.!

!!

!!


! !

3.1. Preparatory!Phase!

This!phase!will! focus!on!establishing! contact,! developing!understanding!with! the!ULB,!and!undertaking!preparatory!work!for!the!project.!The!major!activities!are!as!discussed!below:!

!

A2:!Preparation!of!data!checklist!and!questionnaires!The! Consultant! will! develop! a! comprehensive! list! of! data! required! for! each! sector,!theme!and! cityQwide,! tentative! sources! of! information,! formats! in!which! information!may! be! available,! period! /! year! and! concerned! agency.! Further,! Consultant! would!prepare! a! publicQoutreach! and! engagement! strategy.! This! would! include! design! of!semiQstructured!questionnaires!for!stakeholder!interviews!and!survey!forms!for!citizen!survey,! establishing! partnerships! with! different! print! and! electronic! media! and!employing!social!media!tools.!A!comprehensive!checklist!on!the!data!requirements!will!be! prepared.! Consultant! shall! also! operationalize! online! presence! of! city! smart! city!initiatives! through! mygov,! ULB! website,! facebook,! twitter,! youtube,! instagram,! and!other!popular!social!media!tools.!Key!tasks! Methods! Expected!output!Sector! wise! analysis! of! data!requirements!Classification! of! input! data! based! on!primary!and!secondary!source!

Primary!analysis! Data!checklist!Survey!questionnaire!

!

A3:!Developing!framework!for!selection!of!sites!for!smart!cities!The! Consultant! team! will! undertake! quick! reconnaissance! survey! of! the! city! to!understand! city! fabric.! Consultant! will! use! both! experiential! knowledge,! public!consultations! and! factual! analysis! to! arrive! at! site! selection! criteria! for! smart! cities.!Leveraging! experiential! knowledge,! Consultant! will! identify! key! stakeholders! to!understand! city! fabric,! unique! characteristics,! dynamics,! economic! base,! upcoming!growth! trends! etc.! These! key! stakeholders! could! include! administrative! and! political!representatives,! business! leaders,! think! tanks,! academicians,! citizen! groups! etc.!Consultants! may! also! use! social! media! to! crowd! source! ideas.! Leveraging! data,!Consultant!will!develop!multiNcriteria!matrix!to!rank!sites!across!various!parameters.!These!parameters!could!include!demographic!factors!like!density,!land!use!distribution!etc.!socioNeconomic!factors!like!share!of!slum!population,!literacy!rate!etc.,!real!estate!dynamics! like! land! values,! building! permissions,! planning! permissions,! property! tax!billing!and!collection!etc.,! infrastructure!provision! like!water!connections,!number!of!toilets! etc.! ICT! readiness! like! eQgovernance,!wifi! network,! teledensity! etc.,!economic!potential! like!direct!and! indirect! jobs,!economic!output,!contribution! in!city!GDP!etc.!

Key!tasks! Methods! Expected!output!Review! of! MoUD! SCM!documents!Review! of! best! practices! in!smart!cities!

Primary!analysis! Note!on!requirements!for!smart!city!planning!

!!

!!


! !

and! intangible!factors! like!degree!of!alignment!with!unique!selling!proposition!of!the!city.! Based! on! review! of! Smart! City! Guidelines,! the! Consultant! would! refine! the!framework!for!site!selection!and!come!up!with!indicators!and!parameters.!!Key!tasks! Methods! Expected!output!Listing!of!key!stakeholders!Identification! of! parameters! and! their!weightage! for! ranking! of! municipal!wards!

Weighted! index! multiQvariable!analysis!

Site! evaluation!matrix!

!

A4:!Inception!meeting!The! Consultant! team! will! conduct! a! meeting! and! discussion! with! the! ULB! officials,!UADD!officials!and!MPUIIP!TC!team!to!understand!expectations!and!discuss!approach!to! smart! city! development.! Consultant! would! establish! contact! with! ULB,! designate!nodal!point!of! contacts,! setup! reporting!arrangement!and!working!arrangement!and!way!forward.!The!framework!for!public!participation!and!selection!of!site!along!with!other! parameters!will! be! shared!with! the!ULB! and! the!detailed! questionnaires/data!sets! required! will! be! discussed.! Based! on! feedback,! the! Consultant! would! make!appropriate! modifications! in! approach,! methodology! and! workplan! to! suit! local!context,!needs!and!aspirations.!Key!tasks! Methods! Expected!output!Meeting!and!discussion!with!the!ULB!Gap! assessment! between! ULB!expectations! and! initial! A&M!and!workplan!Revisions!in!A&M!and!workplan!

Focused! group! discussion!and! brainstorming!techniques!!Primary!analysis!

Minutes! of! meeting!of!kickQoff!meeting!Revised! A&M! and!workplan!

!

Deliverable!1:!Inception!Presentation!This! presentation! will! include! outline! overall! framework! for! execution! of! this! study!including!approach,!methodology!and!workplan.!In!addition,!presentation!will!also!take!cognizance! of! ULB! requirements! and! framework! for! citizen! aspirations! and!demonstrate! preparatory! work! related! to! site! selection,! stakeholder! identification,!data!checklists!and!questionnaires.!The!deliverable!will!be!submitted!within!two!weeks!of! project! commencement.! This! presentation! will! be! showcased! on! the! city’s!website/smart!city!portal.!!

3.2. Assessment!Phase!

This! phase! will! establish! baseline! of! city! across! sectors,! themes! and! functions! with!special!focus!on!assessment!of!specific!sites!for!smart!city!to!be!develop!on!greenfield,!redevelopment! and! retrofit!model.! Further,! Consultant!will! develop! vision,! objectives!and! targets! for! smart! city! at! area! level! (for! greenfield,! redevelopment! and! retrofit!model)!and!at!panQcity!level.!It!will!also!lay!down!broad!principles!for!area!based!smart!city!planning.!The!major!activities!are!as!discussed!below:!

!!

!!


! !

A5:!Review!of!planning!documents!and!secondary!research!Based!on!the!data!provided!by!the!ULB!and!other!documents,!the!Consultant!will!collect!and! review! documents! that! were! prepared! or! available! such! as! Master! Plan! /!Development! Plan,! City! Development! Plan,! City! Mobility! Plan! /! City! Traffic! and!Transportation! Plan,! City! Sanitation! Plan,! Slum! Free! City! Action! Plan,!Master! Plan! for!Water! Supply,! Sewerage! and!Drainage,! Solar! City!Master! Plan! and! any!other!Detailed!Project!Reports! for! urban! sector! projects.! The! review!will! provide! inputs! into! the! city!profile,! overview! of! sector,! identifying! major! issues,! challenges,! and! proposed!solutions! etc.! In! addition,! based! on! secondary! information,! Consultant! would! also!identify!and!review!major!infrastructure!projects!(SEZs,!transport!corridors!etc.)!having!implication!of!urban!growth!pattern.!Key!tasks! Methods! Expected!output!Preparation!of!sector!profile!Overview! of! sectorQwise! existing!situation!and!proposed!solutions!Identifying!key!growth!drivers!

Analysis! based! on!secondary!information!

Note! on! review! of!planning!documents!

!

A6:!Field!visits,!data!collection!and!stakeholder!consultations!The! Consultant! would! organize! field! visit! to! conduct! reconnaissance! survey! of! city,!collect! information!based!on!data!checklist! from!various!agencies,!conduct! interviews!with! key! stakeholders.! The! Consultant! will! probe! Stakeholders! on! aspirations! from!smart!cities,!priority!sectors!and!potential!locations!for!development!of!greenfield!and!brownfield!smart!city!and!its!rationale.!Key!agencies!for!data!collection!would!include!municipal! corporation! /! council,! development! authority! /! urban! improvement! trust,!town! and! country! planning! department,! water! supply! and! sewerage! board! /! public!health!engineering!department!etc.!Key!tasks! Methods! Expected!

output!Data!collection!from!various!agencies!Stakeholder! consultations! to! identify! sites! for!smart! city! development! and! priority! sector! of!city!Establishing!vision!for!smart!city!

Primary! data!collection!SemiQstructured!interview!

Data!repository!

!

A7:!City!profiling,!sector!asQis!assessment!and!readiness!assessment!The! Consultant! would! develop! city! and! sector! profiles.! City! profile! will! provide! an!overview! of! geographical! area,! location,! linkages,! population! growth! trend,! economy!base!and!resources,!natural!features,!etc.!Sector!profile!would!provide!an!overview!of!state! of! service! delivery! from!value! chain! perspective.! In! addition,! Consultant!would!analyse! issues! and! challenges! across! sectors! and! identify! crossNlinkages! and!implications! on! other! aspects.! These! sectors! would! include! Physical! Infrastructure!(water!supply,!sewerage,!solid!waste!management,!transport,!energy!efficiency!in!public!utilities),! Social! Infrastructure! (housing,! health,! education),! Economic! Infrastructure!(business! districts,! industrial! areas)! and! Institutional! Infrastructure! (city! governance,!planning! and!management).! For! each! sector,! readiness! could!be!evaluated!across! six!

!!

!!


! !

parameters:!infrastructure!provision,!financial!position,!institutional!framework,!role!of!ICT,!availability!of!skilled!workforce,!policies!and!processes.!Key!tasks! Methods! Expected!output!Identification! of! key! issues!and!challenges!


Note!on!city!and!sector!asQis!assessment!

!

A8:!Comparative!analysis!and!shortlisting!of!potential!sites!for!smart!cities!Based!on! the!parameters!and! framework! set!out! in! the! inception!phase,! the!weights,!rating!scores!etc.!will!be! fineNtuned!as!per! the!priorities! and!preferences!of! the!ULB.!These!final!parameters,!weightages,!evaluating!rating!/!scores!will!be!used!for!each!site!and!the!site!having!highest!potential!for!economic!growth!and!improving!quality!of!life!of!citizens!will!be!selected.!The!findings!will!be!crossNverified!with!qualitative!feedback!on!sites!for!smart!city!as!suggested!by!stakeholders.!Inputs!shall!also!be!sought!through!online!and!offline!crowd!sourcing!of!ideas.!Key!tasks! Methods! Expected!output!Finalization! of!screening!parameters!Evaluation!and!ranking!of!municipal!wards!


Evaluation! matrix! for! site! selection!and! executive! note! on! site! selection!methodology!

!

A9:!Finalization!of!smart!city!site!selection!based!on!stakeholder!consultation!The!Consultant!will!organize! focused!group!discussion!with!key!stakeholders.!The!FGD!will!focus!on!presentation!of!site!selection!process,!discussion!on!findings!of!evaluation,!building! consensus! on! site! selection! and! narrowing! down! to! specific! site! to! be!developed! as! smart! city! on! either! retrofitting,! redevelopment! or! green! field! .! These!stakeholders! will! include! key! decision!makers! of! the! city! and! think! tanks! in! the! City.!Further,!draft!evaluation!results!will!be!posted!on!social!media!for!polling!and!selection!on!most!appropriate!site!through!online!citizen!survey.!Finally,!Consultant!will!select!one!site! each! for! greenfield,! redevelopment! and! retrofit! development.! Based! on! the!feasibility,! either! of! the!model! or! all! the! three!models!will! be! undertaken.! Further,! a!smart! initiative! that! can! be! taken! up! on! panQcity! basis! will! also! be! identified! after!deliberations!with!the!ULB.!Online!media!shall!also!be!used!to!seek!citizen!feedback.!Key!tasks! Methods! Expected!output!Discussion! with! key!stakeholders!Online!citizen!survey!

Focused! group!discussion!Online!polling!

Final! sites! to! be! developed! as!smart!city!

!

A10:!Site!appraisal!and!context!analysis!for!identified!sites!The!Consultant!will!develop!baseNmap!of!selected!sites!through!secondary!information!and! also! conduct! a! reconnaissance! survey! to! understand! site! condition! and! context.!Consultant! will! establish! contact! with! local! leaders! and! conduct! local! stakeholder!meetings!to!understand!socioQeconomic!profile!of!area!and!local!aspirations!from!smart!cities!program.!Based!on!above,!the!Consultant!will!develop!an!area!profile,!analyse!its!location,! connectivity!and! linkages!with! surroundings,!and! identify! issues!&!challenges!

!!

!!


! !

and!impact!of!surroundings!on!site.!The!Consultant!will!conduct!dip!stick!primary!semiNstructured! interviews! with! local! citizens! to! capture! information! related! to!infrastructure,!service!delivery!etc.!from!user!perspective.!Key!tasks! Methods! Expected!output!Preparation! of! site!basemap!Site!analysis!!

Reconnaissance!survey!Focused!group!discussion!SemiQstructured!interviews!

Concept!note!on!existing!situation!of!site!and!its!context!

!

A11:!SWOT!analysis!and!smart!city!benchmarking!The! Consultant!will! assess! strength,!weakness,! opportunities! and! threats! of! the! city!from! smart! city! planning! perspective.! The! focus! would! be! to! bring! out! inherent!character!of!area!and!leveraging!opportunities!arising!from!legacy!and!strategic!location.!Further,! Consultant!would! benchmark! the! service! levels! with!MoUD! benchmarks! and!establish!baseline.!Key!tasks! Methods! Expected!output!Preparation!of!SWOT!matrix!Service!level!benchmarking!

Primary!analysis! Executive! note! on! SWOT!analysis!

!

A12:!Setting!up!smart!city!vision,!objectives,!criteria!and!targets!!Based!on!review,!findings!of!asQis!assessment!and!stakeholder!consultations,!Consultant!will!map!strength!of!the!city!and!stakeholder!aspirations!to!develop!a!vision!for!smart!city! in! consultation! with! the! key! stakeholders.! The! vision! will! be! tested!with! citizens!using!online!and!offline!media.!Based!on!common!vision,!Consultant!would!detail!out!objectives,! criteria! and! targets! separately! for! each! of! four! smart! city! intervention! Q!!greenfield,! redevelopment,! retrofit! and! panQcity! smart! solutions.! The! Consultant! will!conduct!focus!group!discussions!with!city!stakeholders!and!local!stakeholders!at!smart!city! sites! to! discuss! the! vision,! objectives,! criteria! and! targets! for! smart! city!development.!The!focus! is!to!realign!the!larger!picture!with!people’s!aspiration,!build!consensus! for! proposed! development! and! check! amenability! of! proposed! smart! city!with! stakeholders! and! their! willingness! to! make! tradeQoffs! associated! with! proposed!development.!Key!tasks! Methods! Expected!output!Visioning!exercise!Development! of! smart! city!definition,! criteria,! objectives! and!targets!Stakeholder!consultations!Revisions!in!smart!city!vision!!

Primary!analysis!Focused! group!discussions!

Smart!city!vision!statement,!objectives!and!targets!

!

Deliverable!2:!CityNwide!Concept!Plan!This!report!will!include!city!profile,!existing!situation!analysis!of!urban!sectors,!readiness!of! each! sector,! financial! position! of! ULB,! findings! from! stakeholder! consultations! and!online! citizen! surveys,! comparative! analysis! of! potential! sites! for! smart! cities,! final!

!!

!!


! !

selected! sites! for! smart! cities,! basemap,! site! analysis! and! service! levels! of! identified!sites,!and!SWOT!analysis.!This!report!will!define!smart!city!in!respective!city!context,!and!vision,!objectives,!criteria,!targets!and!planning!principles!for!smart!city.!The!deliverable!will!be!submitted!within!six!weeks!from!submission!of!inception!report.!!!

3.3. Proposal!Phase!

This! phase! will! focus! on! development! of! smart! city! proposals,! its! cost! implication,!financing! plan,! project! prioritization! and! phasing.! Special! emphasis! will! be! given! to!stakeholder!engagement!and!building!consensus!of!proposed!development.!The!major!activities!are!as!discussed!below:!

A13:!Developing!planning!principles!and!design!guidelines!for!each!smart!city!site!The! Consultant! will! develop! planning! principles! to! guide! development! of! smart! city.!These! principles! can! touch! upon! aspects! such! as! universal! access,! workQhome!relationship,! transit! oriented! development,! online! citizen! services,! ease! of! doing!business,! low! carbon! footprint,! improved! business! climate! etc.! Based! on! planning!principles,!Consultant!team!will!develop!design!guidelines!underlining!specifications!for!smart! city! development,! such! as,! elements! of! typical! road! section,! smart! utility!management! system,! etc.! These! principles! and! guidelines!must! be! corroborated!with!stakeholders.!Key!tasks! Methods! Expected!output!Review! of! concepts! for! smart! city! and!sustainable!development!Development!of!planning!principles!and!design!guidelines!

Primary!analysis!

Note!on!planning!principles!and!design!guidelines!

!

A14! Preparation! of! strategic! action! plans! for! area! developments! and! panQcity! smart!solutions!The!Consultant!will!prepare!conceptual!plans!for!area!development.!These!plans!would!integrate!smart!city!planning!principles!and!would!aim!at!addressing! local!needs.!PanQcity!smart!solutions!would!leverage!technology,!information!and!data!to!provide!better!infrastructure! and! services! with! a! focus! on! poor! and!marginalized.! Consultant! would!also!propose!various!interventions!and!technologies!for!each!sector!at!area!level.!These!plans!would! include! broad! specifications! for! development! and! componentQwise! block!cost!estimates!to!assess!funding!requirements.!The!area!plans!must!showcase!visuals!of!before! and! after! transformations! through! schematics,! videos,! walkthroughs! etc.! The!Consultant!will!develop!master! list!of!projects!under!each!category!along!with!project!costs.!Further,!Consultant!will!assess!the!project! lifecycle!and!propose!implementation!phasing!based!on!criticality!of!the!project.!Key!tasks! Methods! Expected!output!Preparation!of!conceptual!master!plans!Development! of! broad! specification! of!project!components!Estimation!of!project!costs!Preparation!of!project!pipeline!

Primary!analysis!Conceptual!designing!Block! cost!estimation!

Draft! strategic!action!plan!

!!

!!


! !

Project!lifecycle!assessment!Implementation!phasing!!

A15:!Convergence!of!area!plans!with!National!and!State!level!sectoral!financial!plans!The! Consultant! will! review! national! and! state! level! policies! and! schemes! having!implication! on! urban! development.! Consultant! would! identify! probable! funding!windows!and!mechanism!to!supplement!resources.!!Key!tasks! Methods! Expected!output!Review! of! AMRUT,! Housing! for! All!guidelines!etc.!

Primary!analysis! Potential! funding!windows!

!

A16:!Cost!benefit!analysis!of!project!lifecycle!The! Consultant! will! assess! the! impact! of! each! project! on! parameters! of! economic!development! (ease!of!doing!business,!attracting! investments,! increasing! jobs!etc.)!and!quality! of! life! (improvement! in! levels! of! urban! basic! service! delivery,! municipal!revenues,! social! inclusion,! women! safety! etc.! and! reduction! in! operating! costs! of!services,!pollution!levels,!municipal!energy!consumption!etc.)!!Consultant!will!develop!a!cost!vs!benefit!quadrant!matrix!and!map!various!projects!to! identify!high!benefit! low!cost!solutions.!Ideally,!the!proposed!solutions!would!exhibit!following!characteristics!Q!unsecured!funding,!fall!under!planned!programme,!new!leading!but!proven!technology,!scalable,! easy! to! manage,! credible! supply! chain,! track! record! of! successful!implementation! etc.! The! Consultant! will! conduct! focus! group! discussions! with! city!stakeholders!and!local!stakeholders!at!smart!city!sites!to!discuss!the!proposed!solutions,!their! cost! implications! and! potential! benefits.! The! focus! is! to! seek! consensus! of!stakeholders! for! proposed! development! and! realign! the! projects! with! people’s!aspiration.!Key!tasks! Methods! Expected!output!Assessment!of!project!benefits!Mapping!of!project!on!cost!benefit!axis!Identification!of!high!impact!low!cost!solutions!Stakeholder!discussions!on!proposals!Revisions!in!proposals!based!on!stakeholder!feedback!Assignment!of!project!priorities!

Primary!analysis!Value!for!money!analysis!Focus!group!discussions!

Cost!benefit!matrix!and!listing!of!high!impact!projects!Minute!of!meetings!of!stakeholder!consultations!Final!proposals!and!projects!

!

A17:!Project!financing!plan!and!resource!improvement!action!plan!The! Consultant! will! identify! yearNwise! funding! requirement! for! smart! city! proposals,!analyze! sources! and! uses! of! fund! of!municipal! body! and! development! authority! and!identify! funding! capacity! of! municipal! body! or! development! authority.! Consultant!would!suggest!measures!to!sustainably!improve!revenue!base!of!executing!agency!and!improve!cost!recovery!of!smart!city!project!through!use!of!conventional!and!innovative!financing! mechanisms! such! as! landQuse! change,! provision! for! extra! FAR,! surplus! FAR!sale,!municipal!bonds,!tax!increment!financing,!transfer!of!development!rights!etc.!!

!!

!!


! !

Key!tasks! Methods! Expected!output!Estimation! of! annual! expenditure!statement!Identification!of!key!revenue!sources!Develop!measures!to!augment!resources!

Primary!analysis!Financial!modelling!

Project!financing!plan!Resource!mobilization!action!plan!

!

Deliverable!3:!Draft!Smart!City!Proposal!This!report!will!provide!draft!proposals!for!strategic!areas!and!panQcity!smart!solutions,!project! cost! estimates,! potential! benefits! from! projects! and! cost! benefit! analysis! to!identify!high! impact! low!cost!projects.!The!deliverable!will!be!submitted!within!eleven!weeks! from!submission!of! inception!report.!This!will!be!put!up! for!public!scrutiny!and!comment.!!!

A18:!Consensus!generation!and!finalization!of!Smart!City!Proposal!Consultant! will! make! a! presentation! on! process! followed! and! final! prepared! plan! to!stakeholders.! Consultant! will! get! approval! on! the! final! plan,! including! the! capital!investment!plan,!from!public!representatives!and!all!relevant!stakeholders.!Both!online!and!offline!mode!shall!be!used!to!seek!public!opinion!on!plan.!Key!tasks! Methods! Expected!output!Present!final!plan!! Stakeholder!consultation! Final!Smart!City!Plan!

!

Deliverable!4:!Final!Smart!City!Proposal!This! report! will! provide! final! smart! city! proposal! with! strategic! action! plan,! panQcity!smart!solution,!financing!plan,!implementation!programme,!and!resource!mobilization!strategy.!The!deliverable!will!be!submitted!within!two!weeks!from!submission!of!draft!smart!city!proposal.!!

!

!

!

!

!

!

!

!!

!!


! !

4. Public!Consultations:!Framework!and!Approach!

Government!of!India’s!Smart!City!Mission!Guidelines!highlights:!“Citizen!involvement!is!much!more!than!a!ceremonial!participation!in!governance.”!

Consultations!are!a!mandatory!and!important!step!in!the!smart!city!planning!process.!It!is! essential! to! recruit! assistance! and! input! from! all! stakeholder! groups! before,! during!and! after! the! identification! of! smart! city! initiatives! in! a! systematic! and! qualitative!manner.!Consultations!should!be!widespread! so!as! to!ensure! inclusion!of!voices! from!weak!and!vulnerable!sections,!and!transparent!to!enforce!accountability.!Special!effort!should!be!made!to!engage!youth!and!children.!!

Consultations! should! be! designed! to! capture! the! needs! of! the! citizens.! ULBs! should!make! use! of! consultations! as! a! creative! opportunity! to! generate! buyNin! for! hardQtoQimplement!ideas,!and!crowdNsource!ideas.!

FIGURE&10:&SCM&PARTICIPATORY&PLANNING&PROCESS&

Public! engagements! exercises!should!be!viewed!as!a!twoQway!communication! where!information! will! be! exchanged!between! the! ULB! and! the!citizens! to! eventually! arrive! at!a!consensual!vision!for!the!city!(Figure!10).!

!

This! section! provides! a! common! set! of! principles! and! approaches! to! cityQwide!consultations! in!order!to!promote!transparency,!accessibility!and!accountability!during!the!SCP!process.!

4.1. Preparing!for!Consultations:!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Consultants!should!analyse!and!compile!the!following!before!beginning!consultations:!

• Planning!documents,!questionnaires!including!key!decisions!subject!to!consultation!input.!

• Staff!contacts,!consultation!methods.!• Budget!resources!for!the!entire!cycle!of!consultations.!• Identify! participants! (government! –! state! &! city! departments,! public!

representatives;!nonQgovernment!–!Chambers!of!Commerce,!NGOs,!RWAs!etc)!• Prepare! plans! for! identifying! alternative! stakeholders! (Slum! dwellers,! fieldQlevel!

staff! in! key! departments! such! as!water! and! sanitation,! solid!waste!management,!water!supply)!

• Ensure! widespread! communication! with! a! crossQsection! of! groups! to! secure!maximum!participation.!Where!available,!engage!the!following:!

• Community!Micro!Planning!Groups!at!the!slum!level!!

!!

!!


! !

• Thrift!and!Credit!(T&C)!groups/Self!Hep!Groups!(SHGs)!• Development!of!Women!and!Children!in!the!Urban!Areas!(DWCUA)!groups.!• Anganwadi!Teachers!!• Voluntary!Organisations!

• Ensure! that! special! and! vulnerable! groups,! such! as,! the! specially! abled,! women!headed!households,!occupational!groups,!are!included!in!the!consultation!process!

• Frame!schedule!for!consultations!• Map! out! the! number! of! activities! to! be! conducted! and! at! what! stages! of! the!

planning!process,!in!conformity!with!GoI!guidelines!• Formulate! methods! to! evaluate! and! record! the! output! of! consultations! clearly!

showing:!• What!were!the!concerns,!and!ideas!of!the!various!stakeholder!groups?!• How!you!addressed,!and!accommodated!them?!• How!you!managed!opposing!views!and!divergent!interests?!• This!analysis!will!be!crucial!in!justifying!the!final!areas!and!initiatives!selected!under!

the!Smart!City!Plan.!• Maintain! a! record! of! all! consultations! conducted! and! perform! a! group! feedback!

analysis!to!ensure!you!understand!their!concerns,!priorities,!and!objections!clearly.!!• Create!partnerships!with!local!print!and!electronic!media!for!the!campaign.!• Invite!them!before!key!events.!• Regularly!supply!information!to!them!on!developments!at!various!stages.!• Become! the! first! pointQofQcontact! for! media! on! smart! city! planning! processes! to!

ensure!transparency!and!widespread!outreach.!• Maintain! a! record! of! all! consultations! conducted! and! perform! a! group! feedback!

analysis! to!ensure!you!understand! their! concerns,!priorities!and!objections!clearly.!Especially,!show!how!opposing!interests!and!opinions!were!managed!with!regard!to!proposals.! At! all! stages! of! plan! development! ensure! that! the! policy! analysis! is! in!keeping!with!the!recorded!sentiments!of!various!stakeholder!groups.!

• Undertake! a! quality! assessment! to! determine! to! quality! and! responses! of! each!consultation!(Table!1).!!!

4.2. Objectives!of!the!consultations:!

• Ensure!widespread!dissemination!of!information!about!the!smart!city!initiative.!• Ensure!that!the!widest!crossQsection!of!people!participates!in!the!consultations,!and!

that!they!are!held!in!a!planned!and!participatory!manner.!• Ensure! that! external! experts! rigorously! review! technical! options! presented! in! the!

draft!smart!city!plan.!• Ensure! that! the! priorities! of! poor! communities! and! vulnerable! groups! (elderly,!

disabled,!youth)!are!identified!and!reflected!in!the!planning!process.!• Initiate!a!discussion!with!the!community!on!the!need!for!their!involvement!to!ensure!

the!sustainability!of!infrastructure.!!• CrowdQsource!technologies,!ideas,!and!options!for!finances.!!• Forge!partnerships!between!the!ULB!and!industry!groups,!technical!groups,!citizenQ

groups,!public!representatives!!

!!

!!


! !

• Create!a!sense!of!community!ownership!of!smart!city!innovations!and!actions.!!4.3. Key!information!to!be!accessed:!

• USP!of!city!according!to!its!citizens!• What!activities!will!help!create!more!jobs?!• What!improvements!are!desired!in!the!quality!of!life!by!people?!• Identification!of!infrastructure!needs!and!priorities.!!• Identification!of!existing!coverage!and!quality!of!services.!!• Identification!of!strategic!areas!for!improvement.!

4.4. Approach!to!consultations:!

• UADD!will! be! creating! a! stateQlevel! portal! for! showcasing! the! smart! city! planning!process!of!all! the! seven!cities.!Each!city!will!be!allocated!a!dedicated!webpage! to!highlight!their!processes.!!

• A! panNstate! citizen! outreach! campaign! has! been! created! to! assure! symmetry,!innovation! and! comprehensiveness! of! consultation! processes! the! state.! Over! the!course!of!the!next!four!months,!several!strategic!activities!will!be!conducted!in!all!the!7!cities.!!

• This! campaign! and! the! activities! planned! here! will! be! to! complement! and!supplement!the!efforts!of!the!ULBs!on!citizen!consultations.!

• Cities!are!encouraged!to!brainstorm!and!think!of!innovative!consultation!strategies!to! reach! different! sets! of! stakeholders.! The! city! with! the! most! innovative!consultation!campaign!is!likely!to!have!an!edge!over!the!others.!!

!

4.5. Platform!for!showcasing!consultation!processes!and!outcomes:!

For! planning! and! supporting! these! activities,! a! technology! partner! and! PR! and! Event!Management!consultant!has!been!appointed!by!the!state.!Their!key!deliverables!will!be:!!!

• Web! portal! (in! both! English! and! Hindi).! The! website! will! host! content! under! the!following!categories:!

• Mobile!API!to!send!bulk!messages,!and!conduct!mobileQbased!opinion!polls!• Blog!posts!• Guides!and!handbooks!on!smart!city!planning!and!solution!• News!Room:!Latest!news!on!smart!cities!!• Press!Releases:!GoMP!circulars,!press!notes!• Technical!white!papers!evaluating! the!efficacy!of! smart! solutions!and! smart! cities!

across!the!world!• Videos!• Webinars!• Infographics!• Data!visualizations!

!!

!!


! !

• Interactive!site!resources!• Public!consultation!calendar!for!each!city!• Public! consultation! map! for! each! city! (google! map! with! pins! showcasing! where!

consultations!took!place)!• Customized! social! media! presence:! Twitter,! Facebook,! Instagram,! Whatsapp!

campaigns/contests/trends!• Planning!and!marketing!of!outreach!activities!(such!as!contests!on!twitter,!opinion!

polls! on! Facebook,! partnerships!with! cultural! event! platforms! such! as! Abhivyakti,!Raahgiri,!Literary!Festivals,!radio!programmes!)!!

• Creating! a!partnership! platform! with! leading! academic! and! knowledge! centres! –!IITQIndore,!IIMQ!Indore,!Medical!Colleges,!Think!Tanks!etc.!

• Create!partnerships!with!media!groups!–print,!radio,!online!etc.!

While! the!PR!partner!will!design!a!strategy! for!outreach,! the!ULBs!will!be!expected!to!provide! regular! content! for! this! platform.!ULBs! should! engage!with! the!PR!partner! to!create!unique,!localised!activities!that!will!be!most!successful!at!eliciting!response!from!citizens.!

4.6. Suggested!list!of!stakeholders!

Government!

1. Urban!Development!Department,!Government!of!Madhya!Pradesh!2. Town!and!Country!Planning!!3. Capital!Project!Administration!!4. Madhya!Pradesh!Housing!and!Infrastructure!Development!Board!5. State!Town!Planning!Institute!6. Madhya!Pradesh!State!Employees!Housing!Corporation!!7. Madhya!Pradesh!Pollution!Control!Board!!8. Environmental!Planning!and!Coordination!Organization!9. Municipal!Corporation!10. Public!representatives!–!Mayor,!members!of!the!MIC,!MLA,!MP!11. Department!of!Public!Works!12. Department!of!Public!Health!and!Engineering!13. Department!of!Water!Resources!14. Department!of!New!and!Renewable!Energy!15. District!Administration!

CitizenQgroups:!

1. Resident!Welfare!Associations!2. Mahila!Mandals!!3. Chambers!of!Commerce!4. NGOs!5. ThinkQTanks!6. Technical!Experts!

!!

!!


! !

7. Youth!associations,!School,!college!students!8. Tax!Payers!Association!/!Rate!Payers!Association!9. Slum!level!federation!!10. Thrift!and!Credit!(T&C)!groups/Self!Hep!Groups!(SHGs),!Development!of!Women!and!Children!in!the!Urban!Areas!(DWCUA)!groups.!11. Aanganwadi!Teacher!!(Integrated!Child!Development!Scheme)!12. Shopkeepers’!Associations!

On!need!basis:!

1. MP!Ecotourism!Department!!2. Department!of!Energy!3. Department!of!Culture!4. Department!of!Finance!5. Department!of!Information!Technology!6. Department!of!Sports!and!Youth!Welfare!7. Department!of!Transport!8. Department!of!Tourism!9. Department!of!Home!

&

!!

!!


! !

TABLE&1:&CONSULTATION&EVALUATION&CHECKLIST&

!

!

!

Yes/No

1 Did+you+consult+the+urban+poor,+specially+abled,+women,+children,+elderly?

2 Did+you+consult+business+groups?

3 Did+you+involve+media+partners?

4 Did+you+secure+widest+possible+involvement+of+stakeholders?

5 Did+you+consult+environmental+groups?

6 Did+you+consult+external+sector+experts+and+city+planners?

7 Did consultations achieve the purpose of informing community/soliciting ideas on smart citymission?

8 Was+opportunity+given+to+all+groups+to+speak?

9 Were+the+venues+for+consultations+accessible?

10 Were+mohalla+sabhas,+FGDs,+polls,+surveys+conducted+for+nonLinternet+users?

11 Were consultations conducted in an open and transparent fashion, with appropriate and wellpublicized+procedures?

12 Were+they+conducted+timely?

13 Was+an+open+space+provided+for+articulation+of+contrarian+views?

14 Were+concerns+and+misgivings+of+participants+addressed+successfully?

15 Were+public+representatives+consulted?

16 Were+consultation+results+made+public?

17 Were+social+media+tools+utilised?

18 Were+public+inputs+sought+on+city+theme?

19 Were+public+inputs+sought+on+strategic+area?

20 Were+public+inputs+sought+on+pancity+initiative?

21 Were+consultations+held+at+each+planning+stage?

22 Were+inputs+sought+on+cityLwide+concept+plan?

23 Were+inputs+sought+on+draft+smart+city+plan?

24 Were+consultation+outputs+incorporated+in+planning?

25 Were+consultations+held+in+different+geographical+regions+of+the+city?

Were+your+consultations+inclusive?+

Were+your+consultations+transparent?+

Were+your+consultations+comprehensive?+

Parameter+

!!

!!


! !

5. Municipal!Finance!Analysis!!

Understanding!the!financial!strength!of!the!ULB!and! its!standing!to!raise!credit!will!be!crucial!to!the!SCP!planning!process.!Evidence!of!sound!financial!management!will!allow!municipal! corporations! greater! flexibility! in! engaging! financial! partners,! and! access! to!financial! instruments.! Furthermore,! financial! analysis!will! be! important! in!helping!ULB!decisionQmakers!get!answers!to!crucial!questions!during!plan!preparation,!such!as:!

• How!much!funds!can!the!ULB!contribute!from!its!own!revenue!toward!SCP!projects?!• How!much!can!the!ULB!afford!to!borrow!to!implement!a!new!panQcity/areaQbased!

proposal?!• How!much!can!the!ULB!afford!in!payments!each!year!if!they!do!borrow?!!• Should! the! ULB! increase! the! property! tax! rate/user! charges! to! meet! projected!

expenditures?!And,!by!how!much?!!!

Accordingly,! the! consultant! should! deploy! an! expert! in! urban! finance! to! undertake! a!thorough! analysis! of! the! financial! standing! to! the! ULB.! Based! on! their! analysis! the!consultant!would!suggest!measures!to!sustainably!improve!revenue!base!of!the!ULB!and!improve!cost!recovery!of!SCP!projects.!!

5.1. Factors!for!analysis:!

The!financial!analysis!should!focus!on!the!following!components:!!

1. Composition!Analysis:!!2. Revenue!Income!!3. Revenue!Expenditure!4. Capital!Receipts!5. Capital!Expenditure!!6. Trend!Analysis!!7. Contribution! of! internal! and! external! sources! for! revenue! and! capital!

expenditure!!8. Budget!Out!turn!!9. Property!tax!Q!coverage!and!collection!efficiency!10. Water!charges!Q!collection!efficiency!11. Cost! recovery:! For! review! of! cost! recovery! status! and! plan,! total! cost! (direct!

O&M! cost,! overheads,! Interest! and! depreciation)! should! be! considered.! Cost!recovery! plan! should! factor! in! progressive! phased! recovery! starting! with! full!recovery!of!O&M!cost,!and!then!covering!other!elements!of!cost.!!!

!

! !

!!

!!


! !

5.2. Key!Indicators!!

The! Consultant! shall! derive! the! following! financial! indicators! to! measure! fiscal!performance!of!ULB:!

1. Tax!revenue!ratio!(Table!23)!2. Internal!revenue!ratio!(Ratio!of!internal!revenue!to!total!revenue)!3. Own!revenue!ratio!(Ratio!of!own!revenue!to!total!revenue)!4. Establishment!expenses!ratio!5. Administrative!expenses!ratio!6. &!M!expense!ratio!7. Debt!Service!Coverage!Ratio!8. Average!property!tax!per!property!9. Revenue!per!Citizen!10. Expenditure!per!Citizen!11. Annual! Financial! Statements! (AFS)! to! understand! its! liabilities! and! assets.! The!

Consultants! can! match! outstanding! loans! as! per! details! given! by! ULB! with!Balance!Sheet.!Also,!the!following!can!be!confirmed!from!the!AFS:!

• Outstanding!Property!Tax/User!Charges!with!ageQwise!analysis:!! This!throws!a!light!on!what!percentage!of!total!outstanding!taxes!

are!held!by!old!/!very!old.!This!analysis!is!important!to!determine!tax!recoverability!which!in!turn!affects!cash!flows!directly.!

• On! Liability! side! outstanding! Security! Deposits,! EMD,! Retention! money!etc.!and!their!age!wise!analysis.!More!details!on!projects!completed!but!SD,!EMD,!Retention!not!paid!may!help!in!determining!the!cash!flows!for!current!year!and!projected!years!crucial!for!SPC!financing.!

• Outstanding!Creditors/!Contractors!Liabilities!and!their!ageQwise!analysis.! !• Other!Current!Liabilities.!!

These!factors!need!to!be!adjusted!in!the!cashflows!while!calculating!DSCR.!!!

5.3. Data!required:!

Consultants!should!request!ULBs!for!the!following!data!crucial!for!this!analysis:!

(Actual!for!last!three!years!2012Q13!to!2014Q15!and!budget!2015Q16)!!

1. Cash!Flow!Statement!–!Summary!and!Detailed!(Table!12)!2. Financial!Position!–Summary!(Table!13)!3. Income!and!Expenditure!(Table!14)!4. Property!Tax!–Demand,!coverage!and!collection!efficiency!(Table!16,!Table!17)!5. Other!Taxes!–Demand!and!Collection!(Table!18)!6. Water!Charges!–!Cost!recovery,!Billing!and!Collection!efficiency,!NRW!(Table!18)!7. Sewerage!and!SWM!Charges!–!Cost!recovery,!Billing!and!Collection!8. Other!User!Charges!Q!Cost!recovery,!Billing!and!Collection!

!!

!!


! !

9. License!Revenue!–!License!types,!fee!structure,!numbers!and!revenue!!10. Debt!Obligation!–!Outstanding!Loans,!Overdue!payment!of!principal!and!interest,!

and!repayment!schedule!11. Fixed!assets!–!composition,!value,!land!bank!and!other!assets!that!can!be!used!to!

generate!additional!resources!!(Table!19)!12. Budget!!(Table!20)!13. ProQpoor!budget!–!Provision!and!actual!spend!(Table!21,Table!22)!14. Details!of!revision!in!Tax!rates!and!user!charges!during!last!five!years!!

5.4. Inferences:!!

At!the!end!of!the!analysis!the!consultant!should!be!able!to!comment!on:(

• What!is!the!overall!financial!health!of!ULB?!• What!is!the!operational!efficiency!of!the!ULB’s!major!activities/services?!• What!is!the!cost!recovery!status!for!municipal!services?!• What!is!the!ULBs!debt!service!capacity?!

Further,! the! consultant! should! be! in! a! position! to! rate! the!ULB! financial! performance!and!answer!the!following!questions:!

TABLE&2&MATRIX&FOR&FINANCIAL&PERFORMANCE&ASSESSMENT&

Parameter! Y/N!

Has! the! total! collection! of! internally! generated! revenue! (e.g.! taxes,! fees,!charges)!shown!an!increasing!trend!during!the!last!three!FYs!(2012Q15)?!

!

Has!the!ULB!paid!all!salaries!upQto!last!month?! !

Has!the!audit!of!ULB!accounts!upQto!FY!12Q13!been!completed?! !

!

Other!Analysis! %!

What!is!the!percentage!contribution!of!tax!revenue,!fees!and!user!charges,!rents! and! other! internal! revenue! sources! to! the! ULB! Budget! (actuals! in!2014Q15)!

!

What!is!the!percentage!of!operation!and!maintenance!cost!of!water!supply,!which! is!met! by! collected! user! charges! for! supply! of!water! during! last! FY!(2014Q15)!

!

What!is!the!percentage!of!internal!revenue!sources!(selfQgenerated)!budget!funds!used!for!capital!works!during!FY!(2014Q15)!

!

!

!!

!!


! !

Guidance(Notes(

The!items!listed!in!this!section!are!indicative.!The!consultant!should!cover!all!items!listed!in! ‘Annexure!4:!Challenge!Stage!2:!Criteria! and! Indicative!Table!of!Contents!of! ! Smart!City!Guidelines’!and!any!others!details/analysis!which!may!be!required!for!preparing!the!proposal.! Formats! are! given! for! guidance! for! some! items,! other! formats! may! be!prepared!on!similar!lines!depending!on!the!nature!of!!specific!item.!

Detailed!Cash!Flow!Statement!

For! each! category! major! items! and! subQitems! should! be! listed,! e.g! under! ‘Revenue!Income’!major!item!‘Tax!Revenue’!and!under!that!subQitems!like!Property!Tax,!Samekit!Kar,!Urban!Development!Cess,!Education!Cess!etc.!

Classification!of!Revenue!Income!items!

Revenue!Income!items!should!be!classified!as!follows:!

1. Internal!Revenue!(self!generated)!• Taxes!• Rent!from!Municipal!properties!• User!charges!• Sales!and!hire!charges!• Income!from!investments!• Misc.!income!

!2. Assigned!Revenue!(compensation!and!devolution)!

• Octroi!• Stamp!duty!• Passenger!tax!• Export!tax!• Nazool!Lagan!share!• Road!repair!grant!• Basic!Amenities!Grant!(Moolbhut)!• State!Finance!Commission!grants!

Own!revenue!(Total!of!A!&!B)!

3. Revenue!Grants,!Contributions!and!Subsidy!received!

!

! !

!!

!!


! !

6. Approach!to!CityNWide!Concept!Plan!

Government!of! India’s! SCM!guidelines!underscore! the! importance!of! "evidenceQbased!planning.”!The!CityQWide!Concept!Plan!is!the!document!that!will!capture!this!evidence.!!

The! CityQWide! Concept! Plan! will! serve! as! the! base! document! that! maps! the! existing!status! of! service! delivery! as! well! as! the! ICT! and! financial! readiness! of! implementing!institutions.! The! main! objective! of! the! CWCP! is! to! develop! an! understanding! of! the!performance! of! the! city! sectors,! in! terms! of! outcomes,! established! service! standards,!institutions!and!regulation.!This!diagnostic!study!would!provide!the!preparatory!base!to!support! development! of! smart! city! initiatives! in! each! city.! + It! will! help! in! identifying!avenues! for! potential! projects! based! on! a! cityQwide! SWOT! analysis! (Strengths,!Weaknesses,! Threats! and! Opportunities)! and! through! discussions! with! local! agencies!and!stakeholders.!Given!the!paucity!of!time,!consultants!should!focus!their!energy!on!+

• Departmental! interviews! to! isolate! key! sectoral! problems! and! institutional!gaps!

• Assessing!public!sentiment!and!opinion!on!city!vision!through!consultations!• Secondary!literature!review!of!previous!studies!and!available!reports!• SiteQvisits!for!area!selections!

This!report!will!include!city!profile,!existing!situation!analysis!of!urban!sectors,!readiness!of! each! sector,! findings! from! stakeholder! consultations! and! online! citizen! surveys,!comparative! analysis! of! potential! sites! for! smart! cities,! final! selected! sites! for! smart!cities,! basemap,! site! analysis! and! service! levels!of! identified! sites,! and!SWOT!analysis.!This! report! will! define! smart! city! in! respective! city! context,! and! vision,! objectives,!criteria,!targets!and!planning!principles!for!smart!city.!The!deliverable!will!be!submitted!within!six!weeks!from!submission!of!inception!report.!!

The!final!Smart!City!Plan!will!be!a!succinct!document!outlining!the!final!plan!of!action,!targets!and!financial!outlays.!Therefore,!the!CWCP!needs!to!serve!the!dual!purpose!of!being! a! diagnostic! as! well! as! strategic! tool! that! lays! the! rationale! and! statistical!justification!for!initiatives!finally!selected.!!!

Task!1:!Determining!professionally!the!financial!wellbeing!and!credit!worthiness!of!the!ULB!

Task! 2:! Developing! formats! and! questionnaires! for! stakeholder! consultations! and!departmental!interviews!

Task! 3:! Conducting!departmental! interviews! and! cityQwide! consultations! using! various!media!

Task!4:!Review!and!analysis!of!relevant!documents,!websites,!and!other!sources.!

Task!5:!Sectoral!Analysis!

Task!6:!Data!analysis!and!report!writing!

!!

!!


! !

Task! 7:! Evaluating! the! readiness! of! each! sector! on! a! scale! of! Low/Medium! and! High!considering!salient!parameters!(Table!3).!

Task!8:!Developing!a!vision!for!Smart!City!Plans!based!on!the!CWCP!

TABLE&3:&CITY&ASSESSMENT&MATRIX&

Parameter! Scale!:!Low!|!Medium!|!High!

Physical!Infrastructure! !

Financial!Strength! !

Institutional!Structure! !

Use!of!ICT! !

Skilled!Manpower! !

Policies/!Processes! !

Social!Impact! !

!

6.1. Strategy!Checklist!!

Provided!underneath!is!a!quick!checklist!for!key!processes!and!outcomes!to!be!used!as!a!ready!reckoner!for!consultants!(Table!4).!

!!

!!


! !

TABLE&4:STRATEGY&CHECKLIST&

!

Process'Checklist' Yes/No'Has$ a$ detailed$ analysis$ of$ municipal$ finances,$ debt$obligations,$and$ULB$capacity$to$leverage$credit$through$PPP,$market$been$performed?$

$

Have$ you$ followed$ a$ step?by?step$mandated$ process$ for$ all$background$work$on$selecting$smart$city$proposals?$

$

Have$ you$ performed$ a$ primary$ site$ analysis$ to$ understand$key$strengths$of$the$city?$

$

Have$ you$ compiled$ an$ inventory$ of$ existing$ICT/innovative/data?heavy$projects?$

$

Have$you$explored$industry$interest$to$develop$partnerships$for$implementation?$

$

Have$ you$ engaged$ public$ representatives$ the$ planning$ and$consultation$process?$

$

Have$ you$ explored$ innovative$ financing$ options$ for$ SCP$projects?$

$

Have$you$identified$a$key$theme$for$the$city$through$citizen?consultations?$

$

Have$ you$ performed$ a$ city?wide$ SWOT$ to$ understand$ city$fabric$and$strengths?$

$

Outcome'Checklist' $Does$the$SCP$leverage$existing$city$foundation$in$ICT?$ $Does$the$SCP$leverage$existing$social$and$economic$capital$of$government$programmes$/$schemes$/$initiatives?$

$

Does$the$SCP$leverage$identified$city?theme/USP?$ $Do$the$SCP$solutions$create$efficiencies$for$ULB$work?$ $Does$the$SCP$clearly$show$economic$benefits$to$city$through$employment$generation,$especially$the$youth?$

$

Does$ the$ SCP$ lead$ to$ improvements$ in$ better$ service$delivery,$such$as$for$solid$waste$management,$water$supply$etc?$

$

Does$ the$ SCP$ document$ creative$ outreach$ methods$ for$involving$the$youth,$and$clearly$showcases$benefits$to$them?$

$

Do$the$Initiatives$under$the$SCP$fall$within$the$jurisdiction$of$Municipal$ Corporation,$ Development$ Authority,$ Housing$Board,$Town$and$Country$Planning?$

$

Was$approval$acquired$ for$SCP$ from$public$ representatives,$MIC$members?$

$

Does$the$SCP$address$concerns$of$differently?abled,$women,$and$elderly?$

$

Do$ the$ solutions$ proposed$ improve$ quality$ of$ life$ for$citizens?.$

$

Does$the$SCP$provide$core$infrastructure$to$city?$ $Is$ the$ final$ SCP$ is$ in$ keeping$with$ priorities$ emerging$ from$public$consultations?$

$

Was$financing$for$all$projects$secured?$ $

!!

!!


! !

6.2. SectorNwise!Assessment!

Sectoral! analysis! should! be! based! on! information! collected! from! data! analysis,!departmental!interviews,!review!of!secondary!literature,!and!consultations.!!

From! the! departmental! interviews! the! consultants! should! aim! to! understand! the!importance! of! that! sector! in! the! city’s! economy,! major! areas! of! concern! for! the!department,! opportunities! of! growth,! extent! of! ICT! use,! and! any! key! innovations!currently!anchored.!At! the!end!of! the!analysis,! an!empirical!picture!of! the! city! should!emerge.!!!!

1. City!Profile!!

The! consultant!needs! to! focus!on! factors! influencing! the!attractiveness!of! the! city:! its!geography,!connectivity,!economy,!social!and!environmental!profile.!The!analysis!should!showcase! a! broad! outline! of! the! strengths! and! the! weaknesses! of! the! city! clearly!denoting!the!future!course!of!action!to!be!taken!up!in!the!SCP.!

The!overview!should!be!provided!with!a!view!to!highlight!critical!information!about!the!city,! its! uniqueness,! assets! and! infrastructure.! These! will! become! the! base! for:! 1)!defining! the! identity! or! key! characteristic! of! the! city;! 2)! identifying! action! areas,! 3)!providing!justifications!for!initiatives.!

• Geography!

• Environment!

• History!and!Culture!

• Population!

• Key!Statistics!

!2. Economic!Competitiveness!

The! consultant! should! focus! on! understanding! the! key! performance! indicators! of! the!city,! its!growth! trajectory!and!propellers,!business!environment,!prosperity,!workforce!participation!and!its!performance!visQàQvis!other!cities!of!the!state.!!

Studying(the(scenario(for(labour(and(employment(in(the(city(

The! consultant! must! review! the! CDP! to! determine! the! trend! for! the! workforce!participation!rate.!The!team!shall!also!study!the!occupational!structure!of!the!workforce!in!the!city.!The!consultant!should!also!review!the!Socio!Economic!Survey!report!for!the!city!to!understand!the!formal!and!informal!employment!scenario!in!the!city.!

Studying(the(sector(share(of(the(economy(in(the(city(

Study! the! CDP! to! understand! the! major! sectors! contributing! to! the! city's! growth,!including!the!extent!of!the!informal!economy.!Identify!growth!patterns!and!employment!trends!in!these!sectors.!

!!

!!


! !

Studying(the(status(of(industrial(areas(in(the(city(

The! consultant! shall! gather! inputs! from! District! Trade! and! Industries! Centre!(DTIC)/Audyogik!Kendra!Vikas!Nigam(AKVN)!to!get!information!on!:!

• The!total!number!of!industrial!units!registered!in!the!city!

• Total!number!of!workers!employed!in!these!industries!

• Total!investment!made!

• Contribution!of!registered!units!to!manufacturing!sector’s!share!in!GDDP!

• Check!the!status!of!planned!and!upcoming!SEZs!in!the!city.!

!The! consultant! shall! review! the! websites! and! portals! for! the! state! industrial!departments!to!understand!the!status!of!industrial!corridors!proposed!and!operational.!The!consultant!needs!to!highlight!the!information!upon!a!map.!

Studying(the(micro(and(small(enterprise(clusters(in(the(city(

MSMEs!have!a!critical!role!in!boosting!industrial!growth!and!ensuring!the!success!of!the!Make!in!India!programme.!The!micro!and!small!cluster!enterprise!may!be!studied!on!the!basis!of!the!employment!that!they!are!able!to!provide,!type!of!activities,!functional!units!in!the!enterprise!and!their!annual!turnovers.!

Identify!problem!areas!through!interviews!with!a!few!sampled!clusters.!Perform!a!policy!review! of! the! schemes! being! implemented! for! the! establishment! of! new!MSMEs! and!growth! of! old! ones.! Identify! key! challenges! faced! by! the!micro! and! small! enterprises!clusters,!and!how!these!might!be!addressed!to!leverage!the!potential!of!the!sector.!!

Studying(the(industrial(policies(and(institutional(framework(in(the(city(

The!consultant!shall!conduct!individual!stakeholder!interview!with!different!government!organizations!involved!in!the!setting!up!of!enterprises!in!the!city!such!as!(specifically!for!MP):!MPQTRIFAC,!MPQAKVN,!DTIC,!MSME,!MPSIDAC,! etc.! For! studying! the! policy! level!framework! the! consultant! shall! study! the! Industrial! Policy,! State! Investment! Region!Development!and!Management!Act,!Lokseva!Guarantee!Act,!Special!Economic!Zone!Act,!Investment! Facilitation! Act,! Micro,! Small,! Medium! Enterprises! Development! Act,! The!Industries!(Development!and!Regulation)!Act!and!State!Aid!to!the!Act,!The!Employment!Exchanges! (Compulsory! Notification! of! Vacancies)! Act.! Refer! to! Annexure! V! for! a!snapshot!of!the!State’s!industrial!profile!and!investment!climate.!!!3. Inclusive!Development!

Even!as!economic!growth!has!risen!in!India!in!the!past!decades!spreading!prosperity!and!creating! more! opportunities! for! all,! some! social! groups! continue! to! be! discriminated!against!based!on!their!gender,!caste,!class,!disabilities,!age!and!other!factors.!There!are!many!elements! for!a!city! to!consider! in!pursuing! inclusive!development.!A!vital!one! is!creating!productive!and!gainful!employment,!and!pairing! it!with!effective!and!efficient!

!!

!!


! !

social! safety! nets! to! protect! those! who! cannot! work! or! who! earn! too! little.!! SCM!guidelines!specifically!focus!on!‘sustainable!and!inclusive!development’!as!a!priority.!!

All!SCPs!will!be!judged!on!what!provisions,!if!any,!they!provide!for!accommodating!the!concerns! of! the! poor,! people! with! disabilites,! youth,! elderly! and! women.! Thus,! the!consultant!should!work!at!creating!a!comprehensive!understanding!of!the!provisions!for!and!gaps!in!service!delivery!to!these!vulnerable!groups.!

Studying(urban(poverty(in(the(city(

Examine!the!percentage!of!population!living!below!poverty!line.!Also!analyse!the!extent!of! slum!population,! total! number! of! slums! and! their! spread.! Based! on! available! slum!surveys!for!the!city,!highlight!the!living!condition!of!the!slums,!access!to!and!spread!of!utilities,! children! in! school! etc.! to! present! a! holistic! picture! of! urban! poverty.!Where!data!is!available,!perform!a!head!count!ratio!measure!(the!fraction!of!population!below!the!poverty!line),!income!gap!measure!(the!shortfall!of!poor!incomes!from!the!poverty!line!normalized!by!the!poverty! line!and!total!population)!and!the!squared! income!gap!measure!(using!the!square!of!the!shortfall,!to!emphasize!the!wellbeing!of!the!poorest!of!the!poor).!

Furthermore,!effort!should!be!made!to!understand!if!infrastructure!(physical!and!social)!is!available! for! these!groups!and!what!may!be!done! to! improve! the!utilization!of! that!infrastructure?!!

Vulnerability(analysis(of(groups(

The!consultant! should!understand! the!composition!of!and!provisions! for!demographic!groups!such!as!women,!children,!youth,!elderly,!and!disabled! in! the!population.!Given!the! timeframe! for! CWCP! development! instead! of! analysing! all! aspects! of! their!development,!focus!on!some!key!indicators!such!as!literacy,!efficiency!of!service!delivery!and!social!safety!nets,!access!to!livelihood!activities,!skilling!opportunities!and!incidence!of!crime.!!4. Transportation!

In! urban! environments,! transportation! networks! can! redefine! sustainability! and!liveability.!Transportation!systems!that!are!efficient,!environmentally!friendly!and!move!hundreds! to! thousands! of! people! quickly,! comfortably! and! affordably! to! their!destinations!will!be!a!defining! feature!of!many!of! the!new!smart!cities.!Good!mobility!for!citizens!and!businesses!greatly! increases!the!attractiveness!and!competitiveness!of!cities.!Dealing!with! congestion,! improving!air!quality,! accessibility! and! sustainability! in!most!cities!will! require!substantial!changes! in!the!transport!system!and! its!operations,!and!in!the!mobility!behaviour!of!people!and!businesses.!Thus,!a!sector!assessment!must!focus! on! analysing! current! capacities! and! mobility! behaviour,! including! a! city’s!accommodation!of!pedestrian!safety!and!behaviour.!

Understanding(the(location(and(the(connectivity(to(the(city(

Build! a! broad! picture! of! the! geographical! characteristics! of! the! city.! Its! geographical!bearings!will!define!the!type!and!network!of!transport!options!that!may!be!feasible!as!a!

!!

!!


! !

smart! city! initiative.! Additionally,! identify! high! growth! spurt! areas! that! may! require!further/innovative!transport!servicing.!!

Understand!and!present!the!geographical!location!of!the!city!through!satellite!maps,!city!master/development!plans!where!available.!!

Analyse! the! total! land! area,! growth! patterns,! and! notified! area! through! the! CDP.!Population!growth!trends!can!be!analysed!through!Census!data.!!

CityQwide!connectivity!(road,!rail,!air!networks)!should!be!studied!from!the!City!Mobility!Plan!(CMP)!data!to!understand!regional!linkages.!!

Evaluate(the(present(status(of(public(transport(in(the(city(

The! consultant! should! conduct! a! review! of! present! travel! characteristics! (types! of!transport,!load,!increase!in!vehicles!etc.)!to!understand!city!needs,!pollution!sources!and!forecasting!travel!demand.!For!these!explore!data!on:!

• The!Traffic!Analysis!Zones!(TAZ)!

• Review!of!Land!Use!Pattern!and!Population!Density!

• Study!of!Existing!Travel!Behaviour!

• The!per!capita!trip!rate!

• Number!of!routes!

• Modal!Split:!Existing!and!projected!

Vehicle!population!can!be!analysed!from!the!information!gathered!through!the!Regional!Transport!Office! (RTO).!The!population!by! income/expenditure!on! transport!at!TAZ!or!ward!level!may!be!collected!through!the!city!level!GIS!data!if!available!or!block!data!of!the!census.!The!per!capita!trip!rate!can!be!obtained!from!the!latest!CMP.!

The!proposed!modal!share!can!be!obtained!from!the!latest!CMP,!and!future!increase!in!the!modal! split! data! can! be! studied! from! the! reports! of! Asian! Cities! Climate! Change!Resilience!Network!(ACCCRN).!!

The!freight!terminals! in!the!city!must!also!be!checked!so!as!to!take!care!of!the!freight!handling!requirements!and!prevent!road!congestion.!Conduct!stakeholder!interviews!to!get! the! latest! figures! of! ridership! in! public! transport! over! the! last! five! years.! For! a!comprehensive!understanding!of!the!sector,!and!latest!statistics!review!existing!reports!such!as:!

• CTTS!(Comprehensive!Traffic!and!Transportation!Studies)!

• NMT!(NonQmotorised!transport)!study!

• Study!of!secondary!transport!services!in!the!city!(Auto!Rickshaws,!Vans,!Taxis,!etc)!

• Feasibility! study! of! BRTS! (Bus! Rapid! Transit! System)! /! LRT! (Light! Rail!Transit!System)!/!MRT!(Metro!Rail!Transit!System)!

• Travel!time!survey!reports!!

• Public!transport!Master!Plan!

!!

!!


! !

Finally,! conduct! individual! stakeholder! interview! to! identify! upcoming! projects! within!the!city!and!their!current!status.!

Assess(the(status(of(the(parking(infrastructure(and(pedestrian(facilities(

Review!the!Parking!Master!Plan!(PMP)!and! identify!the!offQstreet!parking!facilities!and!smart! parking! solutions! available! across! the! city.! It! is! crucial! to! understand! how!accessible! the! city! is! to! pedestrians.! Evaluate! the! percentage! of! footpath! available!across! the! city! from! the! CMP! and! develop! a! Walkability! Index! through! surveys.! The!index!may!consist!of!the!following!indicators:(

• Walking!path!conflict!

• Availability!of!walking!paths!

• Availability!of!crossings!

• Grade!crossing!safety!

• Motorist!behaviour!

• Amenities!

• Disability!infrastructure!

• Obstructions!

• Security!from!crime!

Assess(policy(and(institutional(framework(for(transportation(

The!consultant!should!review!existing!policy!and!regulatory!framework!governing!urban!transport!in!the!state!through!the!National!Urban!Transport!Policy,!State!Parking!Policy,!Advertising!Policy!and!Transit!Oriented!Development!Policy!and!the!city!level!framework!through!the!CMP.!

Conduct! stakeholder! discussions!with! the! Urban! Development! department,! Transport!Department! and! Home! department,! State! Unified! Metropolitan! Transport! Council! to!understand!their!respective!roles!and!responsibilities!in!city!mobility,!and!capacity.!!

Identify!strengths!and!gaps!in!service!delivery!for!the!transport!department!of!the!city.!

Identify(sources(of(finance((

Carry! out! discussions! with! stakeholders! in! the! Urban! and! Transport! departments! to!understand!the!revenues!generated!and!losses!incurred!through!the!services!running!at!the!city!level.!For!this!the!consultant!should!also!review!the!composition!of!expenditure!of!revenue!of!Private!Operator!evaluating!their:!

• Expenditure!

• Indirect!Cost!

• Extraordinary!expenses!

• Revenues!

!

!!

!!


! !

Determine(the(role(of(ICT(in(service(delivery(

The!consultant!shall!assess!whether!the!public!transportation!system!uses!technologies!related!to!the!following!systems!for!public!transport:!

Further,! the! consultant! must! also! analyse! current! status! of! traffic! management,!surveillance,! traffic! signalling,! command! centre,! parking! information! system! and! any!other!ICT!related!policies!and!processes!in!practice.!!5. Climate!Change!and!Environmental!Resilience!

Cities!are!primary!contributors!to!climate!change,!accounting!for!nearly!70!per!cent!of!energyQrelated!greenhouse!gas!emissions.!But!this!overshadows!the!fact!that!cities!can!also! be! incubators! for! solutions! to! climate! change.! The! world! over,! cities! are! taking!tough! steps! to! decouple! economic! growth! from! their! carbon! footprint.! At! the! same!time,!they!are!experiencing!the!impacts!of!severe!climateQrelated!phenomena,!such!as!weatherQrelated! disasters,! that! occur! suddenly! and! unexpectedly! and! need! to! be!addressed!at!a!policy!level! immediately.!Thus!a!cityQlevel!analysis!needs!to!assess!both!the!city’s!resilience!against!climate!impacts!and!it!potential!for!change.!

Evaluate( climate( change( impacts( on( key( sectors( and( understand( their( implications( for(human!well!being:!

A!sectoral!analysis!should!focus!on!understanding!weather!trends!in!the!city,!especially!rainfall.!!

The! consultant! should! study! Disaster! Management! Plan,! and! the! Resilience! Strategy!Report!for!the!city.!!

The! team!must! analyse! the! trend!of! annual! rainfall! and! temperatures! in! summer!and!winter!for!a!span!of!10!years.!!

The!consultant!shall!review!the!documents!such!as!State!Action!Plan!on!Climate!Change!to!evaluate!the!Impacts!of!Climate!Change.!

Since!it!is!not!always!possible!to!obtain!information!and!precise!data!to!local!scale,!a!city!level! evaluation!of! vulnerability! and! impacts!must! take! into! account! the!uncertainties!derived!from!applying!lowQresolution!data!(e.g.,!at!the!national!or!regional!level)!to!the!city!in!question.!

Build!a!disaster/hazard!profile!for!the!city!to!assess!vulnerability.!!

Studying(water(logging(and(flood(risk(in(the(city(

Review! the!disaster!management!plan! (DDMP)! and! identify! the! years! of! flooding,! the!location!and!the!areas!prone!to!water!logging.!!

Identify!lowQlying!areas!of!the!city!and!study!the!major!reasons!for!water!logging.!!

Gather!the!total!length!of!roads!with!drainage!facility,!and!their!current!condition!from!the!CDP.!!!

The!consultant!shall!focus!on!the!state!allocation!for!the!ongoing/proposed!storm!water!drainage!infrastructure!projects!in!the!city.!

!!

!!


! !

Studying(water(pollution(in(the(city(

To!study!the!water!pollution!in!the!city!the!consultant!should:!

• Assess!vulnerable!sources!• Study!reports!on!the!level!of!groundwater!in!the!city!• Study!reports!on!the!condition!of! rivers!and!other!water!bodies!that!govern!

the!city’s!water!demand.!• Analyse!discharge!of!untreated!waste!into!the!rivers!

Studying(air(pollution(levels(in(the(city(

The! consultant! must! go! through! the! reports! of! CPCB,! check! that! the! status! of! the!standards! like! NAAQS! (National! Ambient! Air! Quality! Standards)! and! analyse! the! GHG!emissions!in!the!city.!Idea!is!to!figure!out!the!major!reason!of!air!pollution!and!its!impact!in!the!city.!!6. Housing!

Growing! concentration! of! people! in! urban! areas! has! resulted! in! an! increase! in! the!number!of!people!living!in!slums!and!squatter!settlements.!Skyrocketing!prices!of! land!and! real! estate! in! urban! areas! have! induced! the! poor! and! the! economically! weaker!sections! of! the! society! to! occupy! marginal! lands! typified! by! poor! housing! stock,!congestion! and! obsolescence.! Recognising! this! gap,!Government! of! India! launched! its!three!megaQurban!schemes:!the!Smart!Cities!Mission,!Atal!Mission!for!Rejuvenation!and!Urban! Transformation! (AMRUT)! and! Housing! for! All.! The! convergent! vision! created!through!these!schemes,!along!with!private!partnerships!will!help!provide!the!enormous!investment!needed!in!the!urban!housing!sector!to!improve!energy!efficiency,!modernise!infrastructure!and!create!high!quality!living!environment!for!all.!At!the!same!time,!cities!have!limited!access!to!planned!financial!resources!for!systemic!change,!which!requires!the!activation!of!private!capital!combined!with!public!investment.!!An! analysis! of! the! housing! sector! should! focus! on! understanding! the! depth! of! urban!housing!problem!in!the!city,!current!trends!and!future!needs.!

Evaluating(Urban(Housing(scenario(in(the(city(

Examine!latest!census!data!to!evaluate!the!distribution!of!existing!housing!stocks!under!residential,!nonQresidential,!commercial,!nonQcommercial,!etc!usage.!Also,!to!determine!quality! housing! at! an! affordable! price! the! team! needs! to! analyse! the! distribution! of!housing!stock!by!ownership.!Assessing(the(extent(and(growth(rate(of(slum(population(in(the(city:(( (Refer!to!the! latest!census!data!for!slum!population!distribution.!Refer!to!the!CMP!and!the!SocioQEconomic!Survey!of!Slums!to!draw!a!comparison!between!the!total!population!and!total!population!in!slums.((Assessing(housing(demand(and(supply(of(the(city(!

!!

!!


! !

Examine! reports! like! Slum! free! city! action! plan! for! the! city! to! determine! the! current!housing!demand!on!the!basis!of!the!projected!households!and!projected!population!

The! NBO! Report! on! Pilot! Housing! Start! Up! shows! the! trend! in! newly! constructed!residential!houses!during!2009Q2011!in!27!cities!across!India.!!

Also,! the! contribution! in! housing! production! of! the! city! can! be! determined! through!individual! consultations! and! interviews!with! the! concerned! stakeholders! in!public! and!private!sector.!

Determine(pricing(in(the(residential(real(estate(market((The! team! needs! to! explore! the! National! Housing! Bank! Residex! and! showcase! a!comparison!study!between!the!different!cities!of!the!state.!!Determine(the(usage(of(green(building(in(the(residential(sector:(

Check! the! registration! of! green! buildings! under! GRIHA! (Green! Rating! for! Integrated!Habitat!Assessment)!

Determine(the(Policy,(regulatory(and(institutional(framework(for(the(city:(

Review!documents!like!the!CDP!and!the!SlumQFree!Action!Plan,!and!conduct!interviews!with! the!officers! from!Housing!Board,!Town!and!Country!Planning!and!ULB! to!explore!the!institutional!framework!in!the!city.!

Exploring(innovative(financing(models(for(urban(housing(adopted(in(the(state:(

Analyse! the! various! housing! provision! schemes,! land! pooling!mechanism,! FAR! norms,!Bhoomi! Vikas! Rules! and! Transfer! of! Development! Rights! of! the! state! to! determine!innovative!financing!models!adopted!for!Urban!Housing.!

Determining(the(role(of(ICT(in(service(delivery:(

The!status!of!IT!enabled!services!in!public!housing!may!be!explored!through!stakeholder!consultations!for!the!following!services!in!the!sector:!

• Maintenance!of!property!records!• Booking!of!properties!• Allotment!of!properties!• Property!listing!• Beneficiary!listing!• Online!payment!facility!for!property!tax!/!lease!rent!/!installment!/!other!charges!

!7. Solid!Waste!Management!!

SWM!presents!a!ubiquitous!and!intractable!problem!in!India.!According!to!government!estimates,! urban! India! will! be! producing! around! 920! million! tons! of! municipal! solid!waste! that!will! require!proper!management! in!order! to! avoid! further!deterioration!of!public!health,!air,!water!and!land!resources,!and!the!quality!of! life!in!Indian!cities.! In!a!“business!as!usual”!scenario,!India!will!not!be!able!to!dispose!these!wastes!properly.!

!!

!!


! !

Problems! occur! along,! but! are! not! limited! to,! the! entire! value! chain! of! SWM.! SWM!presents!a!serious!risk!to!public!health!as!the!open!burning!of!solid!wastes!and!landfill!fires,!often!the!chief!polluting!activity! from!nonQeconomic!sources! in!a!city,!contribute!thousands!of!tons!of!pollutants!into!the!air.!Furthermore,!at!a!social!level,!the!sector!is!notorious!for!the!inhumane!working!conditions!of!its!informal!sector!labour.!!

Accordingly,! consultants! need! to! engage! with! stakeholders! to! understand! the! entire!value!chain! (Figure!11)!of!municipal!waste,!problems! therein!and!go!a! step! further! to!understand! the! economic,! health! and! social! implications! of! a! zeroQwaste! city.! Focus!should!be!on!capturing!the!present!status!of!municipal!waste!management!in!the!city,!its! effects! on! public! health! and! the! environment,! and! the! prospects! of! introducing!improved!means!of!disposing!this!waste.!The!Swachch!Bharat!Mission!also!emphasises!support! to!ULBs! to!manage!SWM!systems,! and!encourages!PPP!models! for! the! same.!This!is!a!priority!for!both!the!central!and!the!state!government.!Therefore,!any!city!that!can! devise! sustainable! and! creative! ways! of! disposing! enormous! quantities! of! solid!wastes,!currently!dumped!on!open!landfills,!and!recovering!materials!and!energy!from!them,!in!a!cost!effective!and!environmental!friendly!manner!would!stand!to!gain!in!the!overall!assessment.!

FIGURE&11:&SOLID&WASTE&MANAGEMENT&CHAIN&

!Studying(waste(generation(and(composition(

Data!can!be!gathered!from!ULBs!and!related!departments/agencies!(such!as!Health!and!Sanitation)! in! charge! of! SWM! in! the! city.!Understanding! the! share! of! domestic!waste!versus!waste!from!commercial!and!institutional!establishments!in!city’s!total!waste!can!help! in! forming! a! financial! strategy! for! possible! innovations.! An! important! source! of!information! for! sectoral! analysis! would! be! the! ‘Status! of! Cities! and! State! Capitals! in!Implementation! of! MSW! (Management! and! Handling)! Rules,! 2000”! report,! jointly!published!by!the!Central!Pollution!Control!Board!(CPCB)!and!the!National!Environmental!Engineering!Research!Institute!(NEERI).!

Evaluate! the! per! day! waste! generation! of! the! city! and! its! composition! using! the!following!categories,!classifying!it!as!organics,!inerts!and!recyclables:!

Vegetables! ! ! !Paper!Textiles!Leather!&!Rubber! !Sand!and!Silt!

Bones!!Plastic!Grass/!Leaves/!Wood!Glass

!!

!!


! !

!Analyse(the(waste(storage(and(segregation(process(

Conduct! departmental! interviews! to! understand! segregation! (if! any)! into! recyclable,!nonQrecyclable,!bioQdegradable!and!non!bioQdegradable!waste.!The!consultant!should!also!focus!on!the!segregation!of!waste!at!the!treatment!site.!!

Also!assess,!the!number!of!collection!points,!storage!capacity,!number!of!bins!and!the!frequency!of!their!clearance!in!the!city.!

Reviewing(primary(&(secondary(collection(of(waste(and(its(transportation(

Through! interviews!with!ULB!and!sector!experts!understand!the!complete!process!of!primary!and!secondary!waste!collection.!This!will!help!identify!gaps!in!the!value!chain,!if!any.!!

• Organized!doorQtoQdoor!collection!• Number!of!bins!in!the!city!• Number!bins!cleared!once/twice!a!day!• Storage!capacity!of!the!bins!• Contracting!terms!of!agencies!involved!for!waste!collection!and!transportation!• Year!of!contracting!• Check!conformance!with!MSW!Rules!!• Details!of!machinery!and!vehicles!used!• Zone!wise!machine!provision!for!solid!waste!collection!

!

Similarly,!cataloguing!the!type!of!vehicles!and!costs!involved!in!transportation!will!help!identify!options!for!improving!collection.!!

Analysing(Processing(and(disposal(of(solid(waste(in(the(city(

Analyse! the! present/! proposed! waste! treatment! facilities:! capacity! of! the! waste!processing!plant,! contracting! companies! involved,! area!and! condition!of! landfill! sites!and!availability!of!scientific!methods!at!the!dumping!site!where!waste!is!processed!for!composting.!

Studying(the(sector(governance(in(Solid(waste(management(in(the(city(

Understand!the!SWM!institutional!arrangement,!staff!strength,!reporting!arrangement!through! interviews!with! the!Municipal!Commissioner/their!nominees!and! the!Health!and!Sanitation!Department.!!

Identify(the(function(and(responsibilities(of(various(officers(along(the(value(chain((

Understand!ULB!provisions!for!carrying!out!the!collection,!transportation,!segregation,!processing!and!scientific!disposal!of!MSW!within! the!municipal! limit!under! the!MSW!2000!Management!and!Handling!rules.!

Exploring(financing(models(for(solid(waste(management(adopted(in(the(city(

!!

!!


! !

Explore! the! user! charges! established!by! the!ULB! for! residential! households,! Samekit!Kar! for! commercial! establishments! such! as! hotels,! hospitals! (only! nonQbioQmedical!waste),! marriage! gardens! and! other! larger! commercial! establishments! and! the!expenditure!made!by!the!ULB!for!manpower,!equipment,!vehicles,!chemicals,!tipping!fee!payment!etc!to!understand!the!overall!financial!picture!of!the!sector!in!the!city.!

Below! is! a! checklist! (Table! 5)! of! some! general! issues! faced! in! the! collection! and!transport!of!SWM!to!help!conduct!a!quick!efficiency!assessment:!!

Table!5:!SWM!Efficiency!checklist!

&

8. Urban!Planning!

Understand(the(process(of(urban(planning(in(the(city(

The!consultant!must!review!the!urban!planning!process!with!the!help!of!The!Town!and!Country!Planning!Organisation!of!the!city!and!the!state,!the!governing!acts!and!rules!adopted! in! the! state,! Public! Sector! Undertakings! and! Local! Bodies! /! Development!Authorities!on!the!matters!pertaining!to!urbanisation,!urban!transportation,!town!and!metropolitan!planning,!human!settlement!policies!and!planning!legislation.!!

Analyse(and(review(the(existing(development(plan(of(the(city(

The!Development!Plan!provides!a!framework!for!urban!planning,!land!use!zoning!and!zoning! regulations! for! the! city! region! (including! municipal! city! limits,! future!urbanizable!area!for! the!plan!period,!and!controlled!area!for!no!urban!development,!

!

Parameters( Y/N(

Does(the(city(have(good(garbage(storage/discharge?( !

Is(waste(transfer(from(handcarts(to(tractor;trailers(to(four;wheeler(appropriate?( !

Are(collection(costs(high(and(service(levels(low?( !

Is(labour(management(and(supervision(good?( !

Do(citizens(adequately(cooperate(with(collection(schedules(and(methods?( !

Are(type(and(size(of(collection(vehicles(appropriate?( !

Are(the(routes(for(collection(services(rational?( !

Is( vehicle( productivity( optimized( by( selecting( appropriate( crew( size( and( shift(duration?(

!

Is(container(capacity(at(communal(collection(points((adequate?(( !

Are(vehicle(down;times(low(from(poor(equipment(maintenance/repair?(( !

Is(the(haulage(time(to(disposal(sites(optimized?( !

!!

!!


! !

which!could!be!utilized!for!future!expansion!beyond!the!plan!period).!The!consultant!should!analyse:!

• The!quality!of!maps!available!• The!land!use!pattern!• Town!development!schemes!• Development!control!regulations!

Study(the(institutional(framework(for(urban(planning(in(the(city(

To!understand!the!overall! institutional!arrangement!the!consultant!shall!discuss!with!the!designated!Directorate!of!Town!and!Country!Planning!which!is!the!principle!agency!to!guide,!supervise!and!control!planned!development!of!towns!and!regions.!The!idea!is!to!analyze!the!development!plans!and!permissions!required!for!development!schemes,!their!staff!strength!and!their!reporting!arrangement.!

Determining(the(role(of(ICT(in(Urban(and(Regional(planning(of(the(city(

The! status! of! IT! enabled! services! in!Urban! and! Regional! planning! of! the! city! can! be!explored!through!stakeholder!consultations!for!the!following!services:!

• Acquisition! and! analysis! of! satellite! images! through!GIS! software! to! prepare:!base! maps,! thematic! maps,! analytical! maps! and! any! other! geoQspatial!information!

• Issuance! of! online! development! permissions! such! as:! Automatic! layout! plan!approval!system!(ALPAS)!and!Automatic!building!plan!approval!system!(ABPAS)!

!9. Waste!Water!

Analysing(the(wastewater(scenario(in(the(city(

The! wastewater! utility! system! of! the! city! can! be! analysed! through! the! Census! on!number!of!sewerage!connections,!toilets,!septic!tanks!etc.!The!natural!drainage!of!the!city!can!be!analysed!through!topo!sheet!of!survey!of!India.!

Analysing(wastewater(generation((

The! consultant! needs! to! analyse! the! wastewater! generation! on! the! following!parameters.!The!information!can!be!gathered!from!the!wastewater!department!of!the!urban!local!body.!

Analysing(available(wastewater(infrastructure(

The!consultant!must! review!the!master!plan,!CSP,! sewerage!master!plan!and!CDP!to!analyse! the! wastewater! infrastructure! available! in! the! city.! The! consultant! shall!identify!the!length!of!sewerage!system!and!its!network.!A!preliminary!list!of!activities!being!planned!in!the!city!should!also!be!analysed!by!the!consultant’s!team.!

Analysing(wastewater(treatment((

The!consultant!must!analyze!the!existing!STPs!in!terms!of!their!location,!capacity,!age,!technology! and! details! about! various! types! of! facilities! available! within! the! STP.!

!!

!!


! !

Further,! the! consultant! shall! also! comment! upon! BOD,! COD! etc! of! raw! sewage! and!treated!sewage.!!

To! assess! the! operational! efficiency! consultant! shall! analyse! the! daily! intake,! daily!outflow,! retention! period,! electricity! consumption,! consumables! and! manpower!deployment.!!

In! addition! to! this,! the! consultant! shall! also! review! the! ongoing! or! proposed! STP!projects! in! the! city.! They! should! highlight! the! capacity,! technology,! location! and!project!cost!of!the!proposed!STP.!

Analysing(the(financial(status(of(waste(water(management(

The! wastewater! financial! summary! can! be! studied! from! the! operating! cost! and!revenue!trend!which!can!be!analysed!through!the!budget!heads!for!sewage!and!storm!water!drainage!in!the!financial!section!of!the!urban!local!body,!to!fill!any!gap!areas!the!Consultant! must! discuss! with! the! Urban! Development! department,! Water! and!Sewerage!Department.!!

Assessing(initiatives(taken(for(grievance(redressal(

The! consultant! needs! to! carry! out! individual! stakeholders! and! operating! staff!interviews!to!study!the!data!for!complaints,!evaluate!the!major!causes!of!complaints!and!effectiveness!of!the!redressal!system.!The!complaints!must!be!assessed!not!only!from!the!city!level!redressal!centre!but!also!from!the!state!level!complaint!centres.!!

10. Water!Supply!

Evaluating(demand(for(water(supply(across(the(city(

The! consultant! needs! to! study! standards! under! CPHEEO! manual! on! water! supply,!URDPFI!guidelines,!development!plan!and!city!development!plan!to!derive!the!water!demand.!!

Studying(water(production(of(the(city(

Study!the!sourceQwise!installed!supply!in!the!city!to!evaluate!the!total!capacity!needs!illustrating!the!following!(!).!The!information!will!also!highlight!the!source!of!water!that!majorly!contributes!to!the!city’s!needs.!!

The! consultant! is! required! to! conduct! interview! from! the! stakeholder! (municipal!engineer)! and! operational! staff! members! to! study! the! capacity! utilisation! of! water!production!through!various!calculations,!estimates!and!flowQlog!analysis.!The!average!distribution!unit!analysis!volume!translates!to!an!average!per!capital!supply!availability!of!gross!supply.!The!present!production!capacity!utilization!and!demand!analysis!helps!in!estimating!the!time!period!for!efficiently!meeting!the!needs!of!projected!population.!

Checking(water(quality(for(the(city(

The! consultant! needs! to! study! the! recent! surface! water! treatment! plants! and! the!analysis!regime.!!!

!!

!!


! !

Studying(water(storage(capacity(across(the(city(

The!water!storage!capacity!of!the!city!can!be!evaluated!from!the!CDP.!The!consultant!must!evaluate!the!percentage!of!the!storage!capacity!over,!current!average!production!and!percentage!of!demand!for!ensuring!continuous!pressurised!(24x7)!water!supplies.!

Understanding(the(transmission(networks(for(water(supply((

Study! the! city’s! transmission! networks! through! the! CDP.! Consult! stakeholders! and!operating!staff!members!to!study!the!diameter,!length!and!material!of!the!pipes!used!in!transmission!process.!The!water!losses!because!of!the!leakages!and!bursts!must!also!be!analysed.!

Assessing(the(distribution(networks(for(the(water(supply(across(the(city(

The! consultant! must! go! through! the! CDP,! carry! out! interviews! of! the! major!stakeholders! and! operating! staff!members! to! study! the! distribution! networks! in! the!city!and!evaluate!the!following:!

• Length!of!distribution!networks!• Data!available!on!bulk!infrastructure!• Asset!data!of!distribution!system!• Areas!where!dual!water!supply!networks!are!functioning!

Assessing(initiatives(taken(up(for(grievances(redressal((

The! consultant! needs! to! carry! out! individual! stakeholders! and! operating! staff!interviews!to!study!the!data!for!complaints,!evaluate!the!major!causes!of!complaints!and!effectiveness!of!the!redressal!system.!The!complaints!must!be!assessed!not!only!from!the!city!level!redressal!centre!but!also!from!the!state!level!complaint!centres.!The!consultant! must! also! analyse! the! losses! of! water! at! city! level! for! the! following!parameters:!!! !!! !! !

Identifying(the(various(sources(of(finance(for(water(sector(at(city(level(

The! consultant! needs! to! analyse! the! operating! expenditure! trend! and! evaluate! the!major!reasons!for!expenses.!The!consultant!must!also!analyse!the!revenue!collection!trend! of! the! city! in! water! sector.! In! the! following! operating! cost! salaries! of! the!employees!must! also!be! included.! ! The! consultant! also!needs! to!assess!whether! the!applicable!water! tariff! is! sufficient!enough! to!meet! the!operational!expenditure.!The!following!information!can!be!gathered!from!the!finance!sector!of!the!urban!local!body.!

Studying(the(governance(in(water(sector(for(the(city(

The! consultant! needs! to! evaluate! the! employee! age! distribution! in! water!services/internal!team!capacity!to!study!the!efficiency!of!running!an!essential!service!at! city! level;! to! fill! any! gap! areas! the! Consultant! must! discuss! with! the! Urban!Development!department,!Water!Department!and!Home!department,!their!respective!roles!and!responsibilities!in!city!water!supply.!!!!

!!

!!


! !

11. Energy!Efficiency!&!Renewable!Energy!

Sustainability,! and! efficient! resource! management! are! lynchpins! to! a! smart! city!approach.! Thus,! making! urban! infrastructure! energy! efficient! and! increasing! the!contribution!of!renewables!in!the!energy!mix!would!be!critical!to!the!health!of!a!city’s!economic!outlook.!The!latest!energy!modelling!studies!show!that!energy!efficiency!not!only! makes! sense! from! an! environmental! point! of! view! but! it! is! also! the! fastest,!cleanest,! and! cheapest! way! to! keep! pace! with! Indian! cities’! expanding! energy!needs.!Similarly,! the! renewable!energy!market! is! looking!promising! in! the! state!with!the! government! promoting! green! energy! policies! (no! electricity! duty! or! cess! for! a!decade,! no! vat! or! entry! tax,! stamp! duty! exemption! on! private! land! purchased! and!others).! There! has! been! an! increase! of! 344%! in! renewable! installed! capacity! since!2012.!!

Over!and!above!this,!ULBs!are!also!being!encouraged!to!develop!Solar!Cities!Plans.!In!principle,!approval!has!been!given!to!Bhopal,!Gwalior!and!Indore.!Cities!must!be!seen!to!leverage!this!policy!push.!Accordingly,!GoI!stipulates!in!its!guidelines!that!at!least!10!per!cent!of!the!energy! in!the!proposed!smart!city!must!come!from!solar,!and!80!per!cent!of!the!buildings!should!be!energyQefficient!in!any!greenfield!project.!

Analysing(energy(efficiency(of(public(utilities((

The!consultant!needs!to!study!the!complete!energy!utilisation!of!the!agencies!related!to!development!and!management!of!urban!areas!in!the!city.!Based!on!the!observation,!the!consultant!is!required!to!observe!the!major!sources!of!energy!consumption!in!the!city.!

Studying(the(energy(consumption(scenario(for(water(pumping(in(the(city(

The! consultant! needs! to! study! the! energy! consumption! for! bulk! water! pumping!stations!in!the!city.!!

Studying(the(energy(consumption(scenario(for(street(lighting(in(the(city(

Evaluate! the! total! number! of! streetlights! installed! in! the! city.! Analyse! the! types! of!street!lighting!fixtures!in!the!city.!The!team!needs!to!evaluate!the!annual!street!lighting!energy!consumption!per!pole!of!the!city.!The!team!also!needs!to!assess!excess!billing!in!street!lighting!system.!

Studying(the(institutional(framework(of(public(utilities(

The!consultant!shall!discuss!with!municipal!commissioner!or!his!representative!and!city!engineer! to! understand! the!overall! institutional! arrangement.! The! idea! is! to! identify!the! function!and! the! responsibilities!of!various!officers,! their! staff! strength!and! their!reporting!arrangement.!

Exploring(innovative(financial(models(for(energy(efficiency(in(public(utilities(

The!consultant!needs!to!study!the!variants!of!Energy!Performance!Contracting!that!is!implemented! at! the! ULB.! Further,! they! need! to! analyse! the! responsibilities! in! the!Shared!Savings!model!and!Deemed!savings!model.!

!!

!!


! !

Identifying(the(status(of(initiatives(for(energy(efficiency(in(public(utilities( (

Consult!stakeholders!for!present!and!future!state!level!initiatives!on!energy!efficiency.!

Understand! the! business! community’s! willingness! to! engage! in! sustainable! energy!actions!within!the!city.!

Determining! the! role! of! ICT! in! service! delivery.! The! status! of! IT! enabled! services! for!energy!efficiency!can!be!explored!through!stakeholder!consultations!for!the!following!services!in:!

• Store!and!transmit!data!related!to!energy!consumption!!• Running!hours!of!street!lights!• Condition!of!street!light!fixtures!• Exception!reporting,!etc!• Installation! of! SCADA! for! real! time! monitoring! of! operations! at! pumping!

stations.!!

12. ICT!in!Governance!

Opportunities! in! today’s! world! emerge! through! advancement! in! technologies! and!other! innovations.!Modern! ICT!such!as!social!media,!mobile!devices,!analytics,!cloud,!sensors! offer! opportunities! for! digital! transformation! in! cities.! ICT! independently! in!silos! have! supported! the! development! of! cities! through! innovation! in! many! urban!systems.! Now! is! the! time! to! consider! the! potential! from! integration( across! these!infrastructures! and! their! related! operational! processes.! This! combined! approach!recognises! the! interQdependencies! between! urban! systems.! The! new! integrated!approach! offers! strategic! (e.g.! capital)! and! operational! (cost! reduction,! system!effectiveness)!gains!by!utilising!existing(assets.!ICT!acts!as!a!critical!skeleton!that!links!infrastructures! and! users! through! realQtime! information! enabling! cities! to! shift! from!reactive!to!predictive!operations.!

Evaluating(ICT(readiness(of(the(city(

Analyse! the! teledensity,! mobility! trend,! internet! penetration! and! computerQusage!across!the!state!and!the!city!through!census!data,!DoT,!TRAI,!MAPIT,!AUSPI!and!COAI!reports.! The! team! also! needs! to! explore! the! State! Wide! Area! Network! (SWAN)!bandwidth!utilization!of!the!state.!The!team!may!refer!to!the!reports!of!NASSCOM!to!evaluate! the! ranking!of! the! city! for! ITQBPM! industry.! The! team! is! required! to! gather!data! to! find! out! the! total! number! of! citizens! utilizing! the! current! IT! enabled! service!showcasing!the!interest!of!citizens!for!using!ICT!tools.!

Identifying(key(current(IT(applications(and(assessment(of(planned(initiatives((

Conduct!individual!stakeholder!interview!and!group!discussions!with!officials!involved!in!urban!administration!of!state!and!city!level!to!identify!eQgovernance!initiatives!

Examine!existing!portals!and!websites!to!make!a!list!of!the!ICT!initiatives!implemented!and!the!future!initiatives!planned!in!the!city.!!

!!

!!


! !

The! consultant! is! required! to! check!with! the! concerned! stakeholder! for! all! the! state!level! ICT! initiatives! as! well! as! the! IT! enabled! services! that! are! currently!deployed/planned!for!future!in!the!urban!local!body!and!other!urban!departments!of!the!city.!They!may!mark!the!status!of!the!service!on!a!scale!of!Excellent/!High/!Medium!and! Low! depending! on! its! usage! within! the! department! and! accessibility! to! the!citizens.!

Assessing(ICT(infrastructure(available(at(department(level(

Collect!Department!level!ICT!infrastructure!details!highlighting!hardware!details!along!with!their!total!number!and!highQlevel!configurations.!

Identifying(the(technology(related(key(issues(at(city/department(level(

The!team!needs!to!conduct!discussions!with!the!officials!in!the!urban!local!bodies!and!other!urban!departments!of!the!city!for!the!IT!enabled!services!and!identify!the!gaps!and! issues! for! the! information! exchanged! within! the! department! and! with! other!departments.! The! consultant! needs! to! explore! the! level! of! dependency! of! the!administrative!body!over!the!service!provider,!the!existing!technological!infrastructure!and! the! internal! capacity! of! the! department.! The! service! is! expected! to! deliver! the!following!characteristics:!

• Operational!Characteristics:!Integrity,!Reliability,!Security,!Safety,!Efficiency!• Transition!Characteristics:!Usability,!Portability,!Transferability!• Revision! Characteristics:! Maintainability,! Extensibility,! Scalability,! Modularity,!

Flexibility!!

13. Public!Safety!and!Security!

The! Government! of! India! has! made! it! mandatory! to! install! surveillance! cameras! in!educational!institutions,!pubs!and!malls,!places!of!historical!importance,!transport!and!transport! hubs,! including! railway! stations,! bus! stands,! airports,! hospitals! and!restaurants.! But! securing! of! public! spaces! is! one! aspect! of! surveillance! that! can! be!eased!by! smart! solutions.! In! the!wake!of! substantial! ICT!penetration!another! critical!security! aspect! is! that! of! securing! the! hardwares! and! softwares! deployed! in!government!work.!Whilst!a!greater!spread!of!efficient!safety!protocols!ensures!greater!transparency,!accountability,!the!breach!of!the!same!may!provoke!systemic!distrust.!!

Reviewing(the(safety(infrastructure(of(the(city(

Conduct!stakeholder!discussions!on!safety!perceptions!of!the!city.!

Identify!key!physical!spaces!considered!unsafe!and!understand!why.!Discussions!with!fire!department,!police!authorities!will!be!helpful!in!understanding!blind!spots!in!public!security.!

Study! safety! audit! reports! of! the! various! eQgovernance! initiatives! undertaken! to!identify!safety!protocols!and!gaps.!

Develop!a!safety!profile!for!the!city!based!on!the!following!indicators:!

!!

!!


! !

!

!

14. Tourism!and!Cultural!Economy!

The! advent! of! smart! solutions! is! changing! the! way! knowledge! is! produced! and!consumed! in! the! tourism! sector.! Countries! are! exploiting! the! ubiquitous! sensing!technology! and! their! social! components! to! support! the! enrichment! of! tourist!experiences! combining! the! internetQofQthings! technology! and! cloud! computing! to!apply!intelligent!perceptions!for!real!time!acquisition!of!tourism!data!such!as!footfall,!patterns!of!movements,! etc.! Practical! application! ranges! from!creating!public! spatial!information!service!platforms!to!remote!monitoring!of!regulated!areas.!Initiatives!like!Singapore’s!‘Digital!Concierge!Programme’!have!set!examples!for!how!smart!ideas!can!smoothen! tourist! experience! to! facilitate! destination! selection,! route! planning,!management! of! tourist! attractions.! This! translates! in! ease! of! tourism! and! greater!revenues!for!the!government.!!!

Madhya!Pradesh!has!received!global!appreciation!for!its!tourism!potential.!It!is!a!state!rich! in!both!cultural!and!heritage! legacy!as!well!as!natural!endowments.! In! its!Vision!2018!the!state!has!identified!Gwalior,!BhopalQSanchi,!Ujjain!for!developing!worldQclass!infrastructure! tourist! infrastructure! and! services.! As! such,! many! cities! in! the! smart!cities! offing! may! choose! to! leverage! their! tourism! potential.! The! consultant! should!thus!aim!to!identify!the!cityQspecific!characteristics!of!urban!tourism!and!the!potential!elements! of! an! urban! tourism! system! that!may! be! developed! or! enhanced! through!smart! solutions.! There! are! many! forms! of! tourism! in! a! city! (cultural,! business,!shopping,!sports,!eco,!and!recreational!tourism).!Depending!upon!the!strengths!of!the!city!a!tourism!strategy!could!be!supported.!!

Reviewing(existing(tourism(facilities(and(determining(demand(

Indicator* Current*Measure*

3*Year*Target*

5*Year*Target*

10*Year*Target*

MoUD*Benchmark*

MoUD%Benchmarks%

No.% of% fire% stations% per% 2% lakh%population/5;7%km%radius%

% % % % 1%

No.%of%sub;fire%stations%within%a%3;4%km%radius%

% % % % 1%

Other%international%benchmarks%

No.% of% fire% related% deaths% per%100000%population%

% % % % %

No.% of% firefighters% per% 100000%population%

% % % % %

No.% of% natural% disaster% related%deaths%per%100000%population%

% % % % %

Response% time% for% emergency%response%services%from%initial%call%

(including%1091,%%

% % % % %

%

!!

!!


! !

1. Conduct!consultations!with!public,!especially!the!youth!and!business!groups,!to!understand!current!identification!with!the!city,!and!future!desirability!of!tourism!options!(Figure!12).!!

TABLE&6:&TOURISM&DEMAND&

!

2. Conduct! interviews! with! the! ULB,! the! district! Tourism! Promotion! Council,! the!Forest!Department!to!understand!potential!for!tourism!and!existing!services!!!

3. Refer!to!secondary!documents!such!as!the!Istanbul!Declaration!on!City!Tourism,!and!the!Global!Benchmarks!on!CityQTourism!by!the!World!tourism!Organization!to!understand!frameworks!and!approaches!to!city!tourism!

4. Understand!user!demand!for!particular!types!of!tourist!activities!(Table!6)!

• Arrivals!of!all!visitors!(tourists!and!day!visitors)!in!city!area!only;!!

• Bednights!in!all!paid!forms!of!accommodation!establishments!(total!and!breakdown!for!market!origin);!!

• Arrivals! in! all! paid! forms! of! accommodation! establishments! (total! and!breakdown!for!market!origin);!!

• Capacity!of!accommodation!providers!(accommodation!units,!beds!and!occupancy)!for!all!forms!of!accommodation;!!

• Average! length! of! stay! in! all! accommodation! establishments! (total!foreign!and!domestic);!!

• Prices!for!various!items!and!services!purchased!by!visitors.!

5. Understand!the!tourist!image!of!the!city,!accessibility!from!nearby!cities,!and!the!tourist!quality!of!urban!space.!

This!analysis!will!help!the!team!in!Identifying!or!developing!a!unique!“tourism!product”!for!the!city!depending!on!the!demand!in!the!area,!and!available!infrastructure.!!

!

!

!

User%Resources% User%Demand%

Historical%Monuments% !

Theatres,%Shopping%Centres% !

Museums,%Art%Galleries% !

Bars,%Coffee%Shops,%Pubs% !

Green%spaces%(lakes,%parks)% !

Conference%centres,%convention%halls% !

!!

!!


! !

!

!

!

!

!

!

!

!

15. Transparency,!Accountability!and!Citizen!Engagement!

CityQregions!already!possess! latent! intelligence!in! the!way! its!citizenship! is!organized.!This!intelligence!needs!to!be!tapped!while!creating!a!vision!for!a!smart!city.!Using!ICT!to! incorporate! communityQdriven! approaches! creates! an! empowered! networked!society! rather! than!one! that! is!at! the! static!end!of!eQcommunication.!The!consultant!should!use! internetQofQthings! to! facilitate! a! smartQcitizenship! framework!and! reach!a!crossQsection! of! citizenship! voices! (NGOs,! unions,! companies,! students,! public!representatives!etc.).!A!key!step!in!the!conceptualization!of!a!smart!city!would!be!the!creation!of!open!access,!open!source! softwares! to!create!a! sharing!economy.!This! is!necessary!because! citizens!often! lack!access! to!high!quality!data! that!will! help! them!advocate!for!their!rights.!!!

FIGURE&13:&ULB&TRANSPARENCY&

!

A!key!consideration!while!creating!a!vision!would!be!to!think!about!the!possible!smart!processes! that! may! be! used! to! enable! citizens! to! reinstate! their! voices! in! urban!governance! instead! of! simply! deploying! ICT! as! a! linear! flow! from! governmentQtoQ

Informaron!on!the!ULB!website!

Relaronship!with!cirzens!and!society!

Economic!and!Financial!

Transparency!

Transparency!in!hiring!services!

Transparency!in!urban!planning!and!public!works!

FIGURE&12:&IDENTIFYING&CITY&THEME !

!!

!!


! !

citizen.! Simultaneously,! strengthening! local! government! accountability! to! citizens!would!ensure!that!people!feel!invested!in!the!city’s!vision.!

Assessing(the(transparency(and(accountability(of(city(administration:(

Review! the! performance! on! the! ULB! against! the! following! indicators! to! assess! how!!citizenQfriendly!the!ULBs!are:!

TABLE&7&PARAMETERS&FOR&ASSESSMENT&OF&CITY&ADMINISTRATION&

!

!

! !

Criteria' Yes/No'

Does%the%ULB%have%a%website?% '

Is%the%website%user%friendly?% '

Is% the%publication%of% information%regarding%contracts%and%budgets% in%public%domain%and%regular?%

'

Doest%the%ULB%conduct%independent%audit%of%fund%flows?% '

Are% income/% assets% by% the% official% and% elected% represented% of% the%Municipal%corporation%disclosed%in%public%domain?%

'

Does% the% ULB% have% an% online% public% grievance% registration% and%redressal%system?%

'

Is%the%disposal%of%complaints%quick?% '

Is%the%nature%and%type%of%complaints%received%made%public?% '

Does%the%ULB%publish%a%monthly%eBnewsletter?% '

Does% the% ULB% place% projectBwise% municipal% budget% expenditure%information%for%the%last%two%financial%years%on%the%website?%

'

Has% the% ULB% started% to% levy% compensatory% penalty% for% delays% in%service%delivery?%

'

Has% the% ULB% taken% other% steps% to% ensure% greater% transparency% and%accountability?%

'

'

!!

!!


! !

7. CityNlevel!SWOT!analysis!

A!detailed!review!of!policy!documents,!plans,!sectoral!notes,!public!consultations!and!situational! analysis! of! the! city! will! enable! the! consultants! to! present! a! highQlevel!evaluation! of! the! city’s! current! demographic,! socioQeconomic,! quality! of! life!characteristics.! The!process! should! reveal! the! city’s! strengths,!weaknesses,! potential!areas!of!opportunities!and!threats!to!the!city’s!ecosystem!(SQWQOQT).!!

This! SWOT! would! provide! a! summary! listing! of! the! city’s! primary! strengths! and!weaknesses!as!a! location! for!business,! as!well! as!opportunities! for!economic!growth!and! issues!that!may! impede!or!shape!those!opportunities.!This! inclusion!of!the!city’s!operating!environment!in!the!analysis!is!necessary!because!the!economies,!workforce,!quality!of!life!and!other!elements!of!the!city!are!very!closely!intertwined.!!

There!should!be!a!conscious!effort!to!interlink!weaknesses!to!understand!delivery!gaps!and/or!institutional!problems.!Identified!problems!may!be!further!rated!on!a!scale!of!low!to!high!priority.!Consultants!should!keep!an!eye!out!for:!

1. Common!strengths!and!weaknesses!across!sectors!2. Trends! in!strengths,!weaknesses,! threats!and!opportunities! (these!may!be!

temporal,!spatial,!institutional!or!issue!specific)!3. Sectors!with!most!opportunities!or!threats!4. Triangulate! with! feedback! analysis! from! consultations! to! see! matches!

between!sectors!emerging!as!high!priority!in!SWOT.!

!

!

!

!

!

!

!

!

!

!

!

!

!

!!

!!


! !

TABLE&8&SWOT&ANALYSIS&

!

! Opportunities! Threats!/!Issues!!! ! !

The!SWOT!analysis!will!help!identify!the!uniqueness!of!the!city!and!its!key!strengths.!It!is!around!these!key!elements!that!potential!initiatives!that!should!be!planned.!!

Planning(ahead:(

Based!on!the!cityQlevel!analysis,!and!the!consultations!the!consultant!will!be!furnished!with!some!overlapping!data:!

• Key!sectors!emerging!as!priority!

• Key!problems!needing!urgent!solutions!

Strengths Weaknesses,

GenderEducation,LevelAgeGenderSkill,levelEducation,LevelInclusivity

Entrepreneurship,support,Economic,development,support,servicesFinancing,and,IncentivesLocation,and,Access,to,MarketsBusiness,support,servicesPolicy,Support

Infrastructure,TelecommunicationsEnvironment,and,GeographyICTTransparency,and,Accountability

Planning,and,development

SWOT,Analysis

UtilitiesPotential,sites,,land,and,buildingsEducation

Demographic,Profile

Overall,City,Profile

Business,climate

Public,services,and,facilitiesTaxesLeadership,and,politics

Workforce,Participation

TransportationBusiness,support,servicesEconomic,BaseQuality,of,life

!!

!!


! !

• Key!initiatives!receiving!traction!from!stakeholders!

&&&&&&&&&&&FIGURE&14:&PROJECT&IDENTIFICATION&

These!must!be!reduced!to!a!more! reasonable! number!to! reflect! the! realities! of!available! technology,! staff!and!budget!limitations.!This!can! be! done! through! a!combination!of!grouping!of!similar! Initiatives,!prioritization,! sequencing,!or! elimination.!Triangulating! this! data! (!!!!!!!!!!!Figure! 14)! will! present! a!bouquet!of!smart!city!innovations!that!cities!may!consider!highQpriority.!

These!options!should!be!further!evaluated!to!see:!

1. What!will!be!the!proposed!project’s! impacts!(quantity!and!quality)!on!the!city’s!urban!development?!

2. What!will!be!the!project’s!impacts!(quality!and!quantity)!on!the!environment?!3. Does! the! project! contain! any! innovative! elements! or! apply! any! innovative!

methods?!List!them.!4. How! does! the! project! contribute! to! existing! programs! and! projects! being!

implemented!by!the!ULB?!List!the!projects/programs!and!explain!the!links.!5. Does!the!project!contribute!to!the!goals! (achievements)!of!other!municipalities!

and! cities! in! the! applicant’s! neighborhoods?! If! so,! explain! the! scope! of! the!contribution.!

6. Finally,! do! the! projects! meet! government! norms! and! SCM! guidelines?! For!evaluating!panQcity!the!following!checklist!may!be!used!(Table!9).!

TABLE&9:&PANCITY&EVALUATION&

!!AreaQbased! development! projects! can! be! evaluated! using! the! following! framework!(Table!10).!

Criteria Yes/NoDoes-it-provide-a-decent-quality-of-life?Does-it-make-the-city-more-inclusive?Does-it-result-in-economic-growth-or-resource-optimization?Does-it-follow-sustainable-development-practices?Is-it-scalable?Does-it-leverage-cityAtheme-or-uniqueness?Does-it-lead-to-better-service-delivery-in-the-city?Does-it-create-effiency-in-ULB-operations?

!

PRIORITY'SECTORS''

PRIORITY'INITITIAVES'

PRIORITY'PROBLEMS'

High5desirability'feasible'Projects''

''

'

!!

!!


! !

TABLE&10:&AREANBASED&PROJECT&EVALUATION&

!

! !

Yes/No

Does%the%SC%provide%healthcare%to%all?Does%the%SC%offer%educational%opportunities%for%all?Does%it%have%sufficient%and%usable%open%spaces?Does%the%SC%offer%24x7%water%supply?Does%the%SC%treat%all%of%its%sewage%to%prevent%pollution%of%acquifers%and%water%bodies?Is%the%SC%open@defecation@free?Does%the%SC%provide%high%levels%of%public%safety,%especially%for%women,%elderly%and%children?Does%the%SC%have%24x7%electricity%supply?

Does%it%provide%plenty%of%transit%options%attractive%to%people%of%all%income%levels?Does%the%SC%leverage%participatory%planning%through%mohalla%sabhas%and%other%citizen@engagment%tools?Are%the%SC%roads%pedestrian%friendly%with%adequate%lighting,%sidewalk%area%and%road%safety?Does%it%provide%spaces%for%integration%of%all%social%groups?Does%it%have%sufficient%affordable%housing%for%all%income%groups?Does%the%SC%have%robust%internet%connectivity(both%telephone%and%internet)?Are%the%SC%buildings,%especially%government,%accessible%to%persons%with%disablities?

Does%the%SC%get%at%least%10%%of%its%electricity%from%renewables?Are%at%least%80%%of%SC%buldings%energy%efficient?Does%the%SC%manage%water%resources%efficiently,%such%as%by%use%of%smart%meters,%rain@water%harvesting,%and%green%infrastrcuture?Does%it%promote%energy%efficiency%practices%in%street%lights%and%transit%systems?Does%the%SC%provide%clean%air%meeting%internantional%safety%standards?Does%it%have%underground%electric%wiring%to%reduce%blackouts%due%to%storms%etc.?Does%the%SC%have%intelligent%waste%management%systems?

Does%the%SC%provide%opportunities%for%converting%informal%labour%into%formal?Does%the%SC%provide%opportunities%for%skill%and%trade%enhancement?Does%the%SC%leverage%its%uique%identity%(culture,%geography,climate,%resources%etc.)%to%promote%industry?Does%the%SC%have%a%robust%economic%base%with%opportunities%for%large@scale%employment%for%all%citizens?Does%the%SC%have%different%economic%and%social%activities%clustered%together?Is%the%SC%compact,%coordinated%and%connected?%(with%concentrated%neighbourhoods%around%centres%of%commerce%serviced%by%public@transportation)

Does(the(smart(city(provide(a(decent(quality(of(life?Criteria

Is(the(smart(city(inclusive?

Does(the(smart(city(promote(environment<friendly(and(sustainable(development(

Doest(the(smart(city(promote(economic(growth(and(resource(optimization?

!!

!!


! !

8. Approach!to!Smart!City!Visioning!

“What!kind!of!city!do!you!want!to!live!in?!How!do!you!see!your!city! in!the!next!5Q10!years?”!

These!questions,!immediately,!spin!a!visual!in!the!readers’!mind:!a!vision!for!how!they!want! to! see! their! city.! A! vision! presents! the! idealized! conception! of! people’s!aspirations.!It!should!be!articulated!in!simple,!relatable,!general!terms!so!that!people!can!identify!with!it.!!

The! vision! statement! will! serve! as! a! motivational! tool! to! encourage! people’s!investment!in!an!idea.!Thus,!it!should!highlight!a!unique!and!appealing!characteristic!of!the!city.!It!should!be!supplemented!with!execution!plans,!performance!timelines,!and!clearly!defined!outcomes.!!Figure!15!depicts!the!founding!ideas!in!a!smart!city!design!that!may!serve!as!guiding!principles!while!creating!a!vision.!

!

!

8.1. How!to!create!a!vision:!

Task! 1:! Identify! and! leverage! a! theme! for! the! city.! This! should! be! the! city’s!USP,! or!something!people!associate!positively!with!it.!It!should!link!to!the!city’s!opportunities.!(For!example:!Digital!city,!Eco!City,!Cultural!City).!

Task! 2:! Define! a! principle,! for! e.g.,! creating! a! smart! city! that! is! inclusive,! and!sustainable.!

Task!3:!Identify!the!needs!(who!will!benefit!from!this!exercise?)!

Task!4:!Define!constraints!(a!vision!should!be!expansive!but!not!unrealistic)!

FIGURE&15:SMART&CITY&AT&A&GLANCE !

!!

!!


! !

Task!5:!Set!goals!against!vision!!

Task!6:!Judge!the!efficacy!of!your!vision!

! !

!

Sample!Vision!Statements!

!

London!

USING( THE( CREATIVE( POWER( OF( NEW( TECHNOLOGIES( TO( SERVE( LONDON(AND(IMPROVE(LONDONERS'(LIVES(

Abu Dhabi

TO( MAKE( ABU( DHABI( THE( PREEMINENT( SOURCE( OF( RENEWABLE( ENERGY(KNOWLEDGE,( DEVELOPMENT( AND( IMPLEMENTATION,( AND( THE( WORLD’S(BENCHMARK(FOR(SUSTAINABLE(DEVELOPMENT(

Tel!Aviv!

TO(CREATE(A(CITY(FOR(ALL(RESIDENTS,(TO(IMPLEMENT(RESIDENTZORIENTED(GOVERNMENT,(TO(MAINTAIN(AN(APPEALING(URBAN(ENVIRONMENT(AND(TO(

ADVANCE(THE(CITY’S(STATUS(AS(A(FINANCIAL(AND(CULTURAL(CENTER.((((((((

!

!!

!!


! !

9. Approach!to!Smart!City!Proposals!

There! are! two!models! to! be! compulsorily! adopted! in! the! SCPs! of! all! cities,! namely,!strategic! area! and! panQcity.! Both!models! require! public! agreement! over! priorities! of!issues! and! areas,! evident! economic! regeneration! of! the! city,! and! application! of!innovative!solutions!to!solve! local!problems.!Strategic!area! initiative! is!an!areaQbased!approach!wherein!a!site!is!selected!for!strategic!interventions!and!coupled!with!smart!solutions!within!earmarked!area.!On!the!other!hand,!a!panQcity!initiative!would!benefit!the!entire!city!on!a!chosen!theme!with!a!focus!on!the!use!of!ICT.!!

In! the! Smart! City! Proposal,! consultant! must! propose! at! least! one! panQcity! smart!solution,! along!with! identifying!and! justifying!either!one!or!a!mix!of! siteQlevel! smart!development!project.!The!latter!may!be!a!greenfield,!retrofit!or!redevelopment!of!an!existing!area.!!

9.1. PanNcity!solutions!

Pan!city!solutions!must!be!applicable!to!the!entire!city!and!generate!efficiency!in!what!emerges!as!a!sector!of!priority!through!public!consultations.!PanQcity!solutions!should!display! outQofQtheQbox! thinking! and! apply! innovative! technological! solutions! to! solve!local!problems.!Finally,!they!must!make!an!evident!improvement!in!the!quality!of!life!of!the!people.!For! instance,!a!city!that! identifies! itself!as! IT!and!environment!friendly!could!instal!smart!water!meters!and!a!smart!billing!system!to!improve!efficiency!in!ULB!revenues!as!well!as!benefit!citizens!through!better!service!delivery.!!

Consultants! must,! therefore,! aim! to! identify! areas! that! will! create! the! maximum!impact!for!the!city!and!also!fit!well!with!the!theme!of!the!city.!

9.2. Strategic!Area!Solutions!

Three! types! of! areaQbased! development! models! are! advocated! in! GoI! guidelines!(Figure!16):!

Retrofitting:!This!would!require!the!identification!and!improvement!of!an!existing!built!area!(greater!than!500!acres).!A!retrofit!project!would!make!the!site!more!livable,!and!ensure! enhanced! service! delivery! through! better! access! and! infrastructure.! For!example,! green! retrofitting! of! buildings! with! recycling! resources,! efficient! lighting,!rainwater!harvesting,!and!areas!by! installing!LED!street! lights,! can!produce!quick!but!meaningful!gains!in!sustainability,!public!safety!and!energy!efficiency.!

Redevelopment:!Under!redevelopment!projects!existing!built!environment!(in!an!area!of! more! than! 50! acres)! will! be! replaced! to! create! a! new! layout,! with! enhanced!infrastructure,! mixed! land! use! and! increased! density.! A! recent! example! of!redevelopment!is!the!Bhendi!Bazar!project!in!Mumbai.!!

Greenfield:! Greenfield! development! is! the! creation! of! planned! communities! on!previously! undeveloped! land! (more! than! 250! acres)! to! provide! practical,! affordable!and!sustainable!living!spaces!for!growing!urban!populations.!Greenfield!projects!allow!for! greater! innovation! as! they! lack! any! constraints! imposed! by! prior! work.! While!

!!

!!


! !

planning! for! a! greenfield! development! consultants! should! take! future! growth! and!development! of! the! city! and! its! peripheral! industry! into! account! as! well! as! seek! to!avoid!the!various!infrastructure!issues!that!plague!existing!urban!areas.!

!

!

9.3. Selecting!PanNcity!and!AreaNbased!Developments!

There!may!be!several!viable!and!interesting!options!for!development!in!consideration.!Consultants!need!to!develop!a!systematic!and!consultative!approach! to!select!areas!and! solutions,! and! document! this! process! meticulously.! The! selection! framework!should!focus!on!inherent!strength!of!the!city!and!aspiration!of!citizens.!To!put!things!in!perspective,!the!consultant!may!consider!the!following!parameters:!!

1. What!is!the!theme!for!smart!city!development?!!• What!are!the!inherent!strengths!of!the!city?!• What! is! the! unique! feature! or! phenomenon! of! the! city! to! which! every!

citizen!relates?!• What!is!the!common!vision!of!the!city!emerging!from!citizen!aspirations?!• How!this!theme!could!be!leveraged!for!economic!prosperity!of!the!city?!• How! this! theme! could! be! leveraged! for! improving! quality! of! life! of! the!

largest!possible!number!of!citizens?!

FIGURE&16:SMART&CITY&DEVELOPMENT&PARADIGMS (

!

• City'wide!solu/ons!• Priority!sector!• Technology!oriented!•  Improvement!in!quality!of!life!

Pan'city!

• Area!improvement!• Min.!500!acres!• Improvement!of!services!like!smart!metering,!LED!light,!CCTV!surveillance,!cycle!tracks!etc.!

Retrofit!

• Area!renewal!• Min.!50!acres!• Interven/ons!under!Retrofit!+!increase!in!FSI,!mixed!land!use,!transit!oriented!development!!

Redevelopment!

• New!development!• Min.!250!acres!• Comprehensive!interven/ons!• Focus!on!economic!growth!&!quality!of!life!

Greenfield!

!!

!!


! !

• How! to! ensure! inclusiveness! of! various! stakeholder! groups! within! the!theme?!!

!2. Where!the!strategic!area!could!be!located?!!

• Which!are!the!areas!where!above!theme!can!be!realized!to!best!possible!extent?!!

• Which!areas!have!highest!acceptability!for!transformation?!• Which!areas!would!have!amenability!in!involvement!of!local!people?!• Which! areas! have! geographical! and! demographic! advantage! based! on!

theme?!• Which!areas!have!emotional!connect!for!citizens!based!on!theme?!

!3. Why!the!proposed!area!or!solution!is!best!option?!

• What!would!be!the!impact!of!the!solution?!• How!many!people!would!be!helped!by!this!solution?!• How!much!contribution!could!be!made!to!economic!growth?!!• What!will!be!the!impact!on!quality!of!life!of!citizens?!!• How!well!this!solution!reflects!the!theme!of!the!city?!• How!many!citizens!have!favored!this!solution?!

9.4. Strategy!for!Strategic!Area!Selection!

Strategic!area!selection! is!a!crucial!stage! in! the!smart!city!planning!process,!as! it!will!define! the! spatial! contours!of! the! smart! city! vision.! It! is! important! to! select!projects!capturing!peoples’!vision!for!the!development!of!city.!This!will!require!consultants!to!work! closely!with! the! public! and! keep! channels! of! communication! open! throughout!the!planning!process.!!

Initially,! consultants! should! organize! focused! group! discussions! with! various!government! and! nonQgovernment! agencies.! They! should! aim! to! identify! four! or! five!potential! geographical! sites! for! each! greenfield,! retrofit! and! redevelopment!interventions! and! later! compare! them! through! distinct! methods! determining!respective!strengths!and!weaknesses.!!

Consultants!should!avoid!duplication!of!effort!and!focus!on!leveraging!the!institutional!capital! and! knowledge! of! departments! involved! in! urban! planning.! Frequently,!development! authorities! would! be! able! to! suggest! potential! areas! for! greenfield!interventions.!Development!Authorities!in!Madhya!Pradesh!are!already!engaged!in!the!identification!and!development!of!greenfield!areas! for! the!city!masterplan.! Similarly,!Municipal! bodies! should! be! consulted! for! retrofitting! and! redevelopment! areas,! as!they!are! largely!responsible!for!operations!and!maintenance!of!areas!throughout!the!city.! Apart! from! these! two! organizations,! other! government! agencies! like! CityQLevel!Transport!Department,!TCP,!District!Collector’s!office,!and!others!should!be!consulted.!!

Further,!consultants!should!also!consult!thinkQtanks!and!professionals!in!the!city!such!as! academicians! from! various! domains! (urban,! engineering,! architecture,! planning,!

!!

!!


! !

etc.),! NGOs,! activists,! RWAs! etc.! Stakeholder! consultations! should! ensure! the!participation!from!almost!all!groups!of!people!in!the!city.!!

Based!on!GoI!guidelines,!consultants!should!develop!a! framework!to!perform!a!costQbenefit! analysis! of! the! various! recommended! options.! Broadly,! the! evaluation! of!projects! should! incorporate! impacts! on:! economic! growth,! social! and! cultural!importance,! environment! sustainability,! and! the! quality! of! life.! Consultation! can! be!done! with! various! stakeholders! to! identify! indicators! of!most! importance,! assigning!them! weights! accordingly,! and! finally! rating! strategicQarea! intervention! options.!Findings!should!be!cross!verified!with!a!study!on!easeQofQimplementation!of!project!for!each! site! based! on! parameters! such! as! availability! of! land,! access! to! basic!infrastructure,!alternate!sources!of!funding,!etc.!!!

Finally,! the! shortlisted! options! should! be! put! to! public! scrutiny! and! vote! through!different!media.!Surveys!must!be!created!carefully!to!enlist!maximum!participation!of!citizen!voices!and!avoid!capture!by!vested!interests.!The!final!option(s)!selected!must!echo! the! aspirations! of! the! people,! and! conform! to! the! city! theme.! During! the!shortlisting!stage,!consultants!must!test!proposed!projects!against!compulsory!criteria!for!all!areaQbased!developments!proposed!in!the!GoI!guidelines!(Table!10)!

!

! !

!!

!!


! !

10. Approach!to!Financing!Plan!

Upon! shortlisting! a! range! of! smart! city! options! (both! areaQbased! and! panQcity)! the!financial!viability!of!these!options!should!be!assessed!to!determine!the!quantum,!and!potential!sources!of!funds!required.!These!would!then!need!to!be!analysed!in!light!of!ULB!own! resources! (as!derived! through! the! financial!and!credit!worthiness!analysis),!and!resources!to!be!mobilised!externally.!!

Loans,!equity,!deQrisking! instruments,!or! investments! from!other! funds!will!provide!a!suite!of!products!for!the!ULB!to!most!effectively!leverage!private!capital! in!ways!that!are!most!appropriate!for!individual!programs!or!projects.!ULBs!should!expand!the!use!of!financing!instruments!beyond!loans!to!equity!in!order!to!mitigate!specific!risks!faced!by!the!private!sector!engaging!with!public!projects.!They!could!also!coordinate!support!for!smart!city!initiatives!and!robust!financial!markets!with!project!finance.!!

On!the!other!hand,!grant!monies!should!be!targeted!where!access!to!finance!is!most!challenging!and!where!public!finance!is!instrumental!in!social!impact.!This!may!include!extending!grant!finance!to!certain!panQcity!initiatives,!as!well!as!for!new!technologies!that! cannot! achieve! commercial! returns! without! initial! public! support.! International!mechanisms! should!be! capitalized! for! technology! transfers,! technical! assistance,! and!capacity!building.!

A!ready!and!useful!source!of!finance!would!be!convergence!with!government!schemes!and! outlays.! Leveraging! government! programmes! will! provide! structured! and!predictable!finance!to!projects!with!little!institutional!barriers.!!!

ULBs! shall!work! toward! improving! tracking! and!monitoring! systems,! as!well! as! data!transparency! and! availability! to! better! identify! and! incorporate! best! practices! in!finance!as!these!will!assist!in!leveraging!private!capital.!

10.1. Instruments!for!Leveraging!Finance!

There! are! two! sources! of! municipal! revenue,! namely! municipal! own! revenues! and!assigned! or! devolved! revenues.!Municipal! own! revenues! are! revenues! generated! by!municipalities!through!taxes!and!fees!levied!by!them,!such!as!property!taxes!and!water!charges.! Assigned! revenues! are! those! revenues! assigned! to! local! governments! by!higher! tiers! of! government,! such! as! the! State! Finance! Commission! recommended!funding! assignments.! Local! governments! can! also! get! funding! for! the! execution! of!programmes! situated! at! the! central! or! state! level! such! as! the! National! Urban!Livelihood!Mission!(NULM)!or!state!level!housing!schemes.!

1. Internal(revenue(generation:(

Internal! revenue!sources! like! the!property! tax!and!user!charges!are! the!most!critical!funding! levers! available! to! a! municipality! because! without! effective,! predictable!generation! of! internal! revenues,! it! will! be! a! tremendous! challenge! to! attract! new,!external! sources! of! funding.! Ensuring! efficiency! in! property! tax! collection! (reviewing!registered!and!unassessed!property)!would!be!crucial!to!increasing!internal!revenues.!!

!!

!!


! !

ULBs! can!also!use! innovative! financing!mechanisms! such!as! tax! increment! financing,!premium!from!commercial!development,!land!monetization,!landQuse!change.!Some!of!these!measures!will!require!regulatory!assistance!at!the!state!level.!!

Under!Tax+Increment+Financing+the!cost!of!Smart!City! improvements! is!derived!from!Property!Taxes!by!local!bodies:!

Revenues!from!increases!in!property!tax!are!escrowed!for!a!defined!period!of!time!to!finance!new!infra! investments! in!the!area.!This!would!also!enhance!accountability!by!linking!expenditure!with!outcomes!relevant!to!local!residents!

ULBs!may!also!consider!establishing!a!Smart!City!Fund!that!can!be!funded!through:!

• A!smart!city!redevelopment!tax!or!surcharge!on!SCP!projects!• Allocation!of!portion!of!property!tax!from!strategic!area!selected!!

!2. Mobilization(of(land(and(property(assets(owned(by(the(ULB:(

Many!ULBs!are!“cash!poor,!land!rich.”!They!have!limited!fiscal!autonomy!and/or!small!budgets.! Nevertheless,! they! control! substantial! holdings! of! land! and! builtQup!properties! that! they! do! not! need! for! public! use! now! or! in! the! foreseeable! future.!Identifying!such!“surplus”!land!and!builtQup!properties!and!selling!them!at!auction!can!generate!substantial!revenues!to!fund!capital!investment.!Good!governance!principles!should! be! applied! carefully! in! making! this! decision.! ULBs!may! also! consider! levying!vacant+land+tax!on!these.!

Sale! of! surplus! FAR! could! provide! a! ready! source! of! finance! for! redevelopment!projects.!

With! approval! from! the! state! government,! ULBs! can! also! source! funds! through! the!following!instruments:!

• Conversion+ charges:+ a( part! of! land! conversion! charges! can! be! shared! by! State!Governments!with!municipalities!

• Impact+ fees+distinguish! between! differing! impacts! that! buildings! have! on! urban!infrastructure! and! are! charged! at! the! time! of! giving! building! permission.!Sometimes!separate!rates!are!prescribed!for!residential!and!commercial!buildings.!

• Floor+Space+Index+(FSI)!beyond!a!certain!minimum!which!can!be!claimed!as!a!right.!Such! charges! can!be!pegged!higher!because! they! get! associated!with! land! costs!and!the!cost!of!developed!property.!

• Betterment+tax:!States!should!prepare!a!clear!framework!of!rules!for!the! levy!of!betterment!tax!!

3. Leveraging(Markets(for(Financing:(

The!SPV!allows!for!49%!private!equity.!This!can!be!a!major!source!of!finance!for!SCP!projects.! ULBs! have! the! possibility! of! raising! funding! from! debt! capital! markets.!

!!

!!


! !

External! sources,! whether! in! the! form! of! publicNprivate! partnerships! (PPPs),! bank!loans,!municipal!or!pooled!bonds!or!other!capital!market!instruments,!will!be!available!to!municipalities!only!on!the!basis!of!the!internal!revenues!they!generate!now!and!are!expected!to!generate!in!the!future.!Therefore,!ULB!will!need!to!demonstrate!that!it!is!capable! of! generating! this! stable! stock! of! funds! on! an! onQgoing! basis! before! it! can!expect!to!attract!external!debt.!

4. Innovative(financial(strategies:(

Other! sources! of! revenue! can! come! from! the! state! empowering! ULBs! to! levy! some!taxes,! or! share! tax! revenues! for! certain! heads! with! them.! For! instance,! states! may!consider!steps!to!empower!local!bodies!to!impose!an!Advertisement!tax!that!will!have!two!components! Q! tax!on!hoardings!and! tax!on!advertisements!on!buses,! cars,! lamp!posts!and!compound!walls.!

Similarly,! states! should! take! action! to! increase! its! scope! to! cover! more! and! newer!forms!of!entertainment!under!Entertainment!tax.!!

Professional!tax!ceiling!may!also!be!raised.!

5. Convergence(with(government(programmes,(outlays(and(schemes:(

There! are! a! bevvy! of! central! and! state! government! schemes! and! programmes! that!should! be! leveraged! for! SCP! projects.! Infrastructure! creation! can! be! supplemented!through! funds! from! AMRUT,! Swachch! Bharat!Mission,! Housing! for! All,! Digital! India,!Make!in!India!.!!

Policy!incentives!can!be!capitalised!from!schemes!such!as!Solar!Cities!and!Safe!Cities.!Funds!under!the!14th!Finance!Commission!can!be!utilised!for!some!SCP!projects.!!!

6. Grants(from(international(donors:(

This! funding! may! be! available! for! specific! types! of! projects! only! and! will! require! a!stringent!compliance!with!fiscal!norms.!It!may!also!be!available!in!terms!of!soft!loans!or!technical!assistance.!!

7. Other(borrowings:(

For!borrowings,!the!ULB!can!approach!MPUDC,!a!company!owned!by!GoMP!for!either!seed!capital!to!kickstart!projects!or!help!to!prepare!project!reports!(DPRs),!transaction!documentation,!and!approach!Madhya!Pradesh!Urban!Infrastructure!fund!(MPUIF)!for!loan!disbursement.!Apart!from!MPUIF,!ULBs!can!directly!approach!financial!institutions!for!long!tenure!loans.!!!10.2. Resource!Mobilization!Strategy!

Different! types!of! projects/initiatives!will! need! to!be! taken!up! to!make!a! Smart!City!and! each! of! these!will! need! different! resource!mobilization! strategies.! Although! the!exact!financing!mix!will!vary!for!each!projects,!a!broad!resource!mobilization!strategy!

!!

!!


! !

can!be!evolved!based!on! the! types!of!projects.! For! the!purpose!of! analysis,! projects!identified!for!development!to!make!a!city!‘Smart’!may!broadly!be!classified!as!under:!

1. Category!1:!Projects!involving!development!of!large!physical!infrastructure!projects!such!as!water!supply!systems,!sewerage!systems,!urban!transport!projects,!etc.!

2. Category!2:!Projects!involving!Smart!technologies!such!as!Smart!metering!systems,!smart!parking,!automated!building!permission!systems!and!Smart!apps.!!

3. Category!3:!Greenfield!projects! incorporating! various! components!of! a! Smart!City!and!involving!real!estate!development,!creation!of!physical!infrastructure!and!smart!technological!initiatives.!

4. Category! 4:! The! above! types! of! projects! will! need! to! be! supported! through!institutional! strengthening;! capacity! building! and! training! of! the! personnel! and!these!can!be!categorized!into!technical!assistance.!!

The!nature!of!each!of!these!projects!varies!significantly!when!evaluated!under!various!criteria! such! as! quantum! of! investment! required,! possible! revenue! streams,! cost!structure! at! the! initial,! i.e.,! capital! expenditure! stage! and! the! operations! stage! and!developmental! impact! especially! from! a! socioQeconomic! angle.! An! appropriate!resource!mobilization!strategy!will!therefore!need!to!factor!in!the!above!and!will!vary!depending!upon!the!type/category!of!projects:!

Category!1!Projects:!In!view!of!the!quantum!of!investment!required,!limited!scope!for!revenue! generation,! criticality! in! the! urban! context! and! long! gestation! period,! such!projects! may! typically! need! to! be! funded! largely! under! government! supported!schemes!such!as!AMRUT,!multilateral!support!and!to!a!limited!extent!supplemented!by!PPPs!particularly!in!areas!such!as!solid!waste!management.!

Category! 2! Projects:! These! projects! /initiatives! often! do! not! involve! large! financial!outlays,! involve! the! use! of! smart! technology! and! offer! some! scope! for! revenue!realization.!Such!projects!will!therefore!be!most!suitable!for!funding!support!under!the!Smart!City!Scheme.!!

Category! 3! Projects:! Such! projects! involve! huge! financial! outlays,! development! of!significant!areas!of!land,!significant!potential!for!revenues!and!consequently!high!level!of!interest!from!the!private!sector.!PPPs!could!therefore!be!an!appropriate!model!for!development!of!such!Greenfield!projects!provided!that!these!are!conceptualized! in!a!socially!exclusive!manner!with!components!such!as!affordable!housing!that!caters! to!the!economically!disadvantaged!sections.!

Category! 4! Projects/initiatives! can! typically! be! covered! through! support! from!government!as!well!as!multilateral!agencies.!

10.3. Capital!Investment!Planning!

Capital! investment! planning! is! closely! related! to! two! elements! of! financial! planning:!capital! financing!and!budgeting.!To!avoid!gaps!between!what! is!planned!and!what! is!built,!ULBs!need! to! secure!good! institutional! coordination!both!within! the!municipal!

!!

!!


! !

body!and!all!external!stakeholders.!This!will!ensure!that!a!real!link!exists!between!the!SCP!and!the!implementation!of!infrastructure!investment!that!it!stipulates.!!

TABLE&11:&CAPITAL&INVESTMENT&PLAN&

!

The!CIP!will!include!all!capital!investment!by!the!government.!CIP!will!also!include!any!investment!by!the!private!sector!through!PPP,!debt!and!other!financing!sources!for!the!SCP!(Table!11).!The!CIP!will!involve!the!following!four!stages:!

1. Financial!planning:!This!stage!would!involve!determination!of!ULB’s!own!resources!and!debt!obligations!to!assess!projected!financial!capacity!for!capital!investment.!

2. Project! identification! and! prioritization:! This! stage! would! involve! developing!criteria!for!adjudging!project!viability!(based!on!public!preference,!project!impact,!available! finances! and! city! development! scenario)! and! prioritization! for!implementation.!

3. Programme! and! project! management:! This! stage! would! involve! developing!calendars! for! implementation,! and! allocation! human! and! financial! resources! for!implementation.!

4. Monitoring!and!evaluation!(M&E):!This!stage!would!involve!evolving!processes!for!ensuring! transparency! and! timeliness! in! implementation! and! criteria! for! judging!project!deliverables.!!

The!CIP!will!be!a!multiyear!(5!year)!program!of!capital!investment!projects!prioritized!by!year!with!anticipated!beginning!and!completion!dates,!annual!estimated!costs,!and!proposed!financing!methods.!Relevant!stakeholders,! including!public!representatives,!should!approve!the!CIP.!!

!

!

!

!

!

!

Project(Name

Own(Revenue

Bank(Loan

PPP Central(Govt(Grant

State(Govt(Grant

Intl(Donors

Others

123

Source(of(Finance

!!

!!


! !

11. Packaging!the!Smart!City!Proposal!

ULBs! must! note! that! GoI! would! evaluate! 100! smart! city! proposals! and! would! only!shortlist!20!cities!across!India!for!funding!in!its!first!phase.!The!process!is!going!to!be!very!competitive!and!each!city!must!showcase!its!edge!over!the!others.!The!cities!with!that! can! clearly! bring! out! their! strong! identity! and! ethos,! smartness! linked! to! local!context,! global! competitiveness,! innovation,! efficient! utilization! of! resources,!inclusiveness,!focus!on!children!and!youth,!placeQmaking,!best!smart!solutions,!strong!financial!fundamentals.is!likely!to!get!picked!in!the!first!phase.!

Each!plan!has!to!be!developed!competitively!with!the!help!of!ULB!commissioners,!ULB!officials!and!consultants.!In!such!a!situation,!each!city!must!creatively!try!and!answer!the!questions!‘how!does!our!plan!stand!out!from!the!others?’!Each!ULB!must!ask!itself,!what! is! so! smart! about! its! plan.! The! Smart! City! Proposal! cannot! merely! be! an!infrastructure!development!plan!but!an! initiative!to!transform!the!city!and! iterate!or!regenerate! its! identity.! It!must! lead! to! transformations!which! in! turn! lead! to! a! very!high!impact!on!economic!potential!of!the!city!and!the!quality!of!life!of!citizens.!!

Each!proposal!shall!document!the!baseline!information,!detailed!city!assessment,!city!visioning! exercise,! public! consultation! process!with! coverage,! evidence! and! findings,!area! selection! process,! financial! analysis! and! modelling,! options! analysis! process,!convergence!of!resources!etc.!!

Each!proposal!shall!include!one!strategic!area!and!at!least!one!panQcity!solution.!!The!cities! may! propose! additional! strategic! areas! and! panQcity! solutions! but! they! must!make!sure!that!these!additional!proposals!are!bundled!together!as!a!package!with!the!core!proposal.!The!complete!proposal!would!be!a!detailed!report!including!the!above,!and!additional!information!solicited!by!GoI!in!specified!formats!as!annexures.!The!final!proposal! shall! also! include! a! 20Q30! minutes! presentation! (including! videos)! and! a!concise!executive!summary!in!about!20Q25!pages.!

11.1. Key!success!factors!

Every!smart!city!proposal!must!follow!the!following!principles:!

• Outcome6based+approach:!Each!proposal!must!ensure!that!proposals!are!aligned!with! GoI! objectives.! The! proposal! must! be! developed! around! a! central! theme!which! represents! unique! strength! /! unique! selling! proposition! of! the! city! and!aspirations!of!the!citizens.!The!proposals!must!create!opportunities!for!economic!growth! and! improvement! in! quality! of! life.! Economic! growth! may! be! attained!through! creating! new! jobs,! transforming! informal! sector! into! formal! sector,!increasing! productivity! of! businesses! by! improving! business! environment,! or!reducing!wasteful! use! of! resources! and! others.!Quality! of! life!may! be! improved!through! use! of! smart! solutions! and! upgradation! of! infrastructure! for! increasing!engagement! of! people,! improving! easeQofQuse,! removing! barriers! to! access,! and!innovative! service! delivery.! Focus! must! be! on! strategic! areas! of! city! level!importance! such! that! improving! environment! in! that! strategic! area! has! positive!

!!

!!


! !

impact! on! both! local! citizens! as! well! as! citizens! coming! from! various! parts! and!arrays!of!city.!In!this!context,!strategic!areas!at!central!business!districts,!heritage!areas,!transport!nodes,!education!hubs,!cultural!hubs,!waterbodies,!urban!forests!would!have!higher!impact!on!quality!of!life.!!

!• Robust+financing+model:!Each!proposal!must!analyze!the!financial!position!of!the!

urban!local!body,! its!capacity!to!raise!revenue!from!various!internal!and!external!sources!and!use!of!innovative!balanceQsheet!financing!and!project!financing!tools.!Such! tools! could! include! sale! of! extra! FAR,! taxQincrement! financing,! betterment!levy,! market! borrowings,! structuring! of! PPP! projects,! use! of! existing! reQdensification! model! prevalent! in! Madhya! Pradesh! etc.! Each! proposal! must!consider!the!GoI!and!State!funding!as!seed!capital!cum!equity!into!the!SPV!and!use!it!as!revolving!fund!to!generate!additional!resources.!For!example,!with!a!GoI!and!State!funding!window!of!Rs.!1,000!crore!for!each!city!over!five!year!period,!each!city!must!be!able!to!implement!a!project!shelf!of!Rs.!3,000!–!10,000!crores!to!the!extent! practically! possible.! It! should! use! an! optimum!mix! of! equity! and! debt! in!project!structure!and!leverage!additional!revenues!from!capitalization!of!land!and!extra! FAR.! Further,! each! proposal! must! leverage! convergence! with! other!government! schemes! to! the! best! extent! possible! and! must! be! prioritized! and!phased!in!a!holistic!perspective.!

!

• Impressive+visualizations:!Each!proposal!must!be!presented!in!a!very!unique!and!innovative! manner.! Consultants! must! use! architectural,! urban! design,! physical!planning,!graphic!design!and!communication!skills!to!best!present!their!proposals.!The!proposal! could!be!presented! in! form!of! documentaries,! videos,! audioQvisual!presentations,! threeQdimensional! walk! throughs,! beforeQandQafter! visualization,!data!infographics,!data!modelling,!maps,!diagrams!etc.!Each!presentation!must!be!crisp,!to!the!point!and!visually!stunning.!The!presentation!may!highlight!elements!such! as! city! character,! its! unique! selling! proposition,! development! theme,! key!service! level!benchmarks,!smart!city!planning!process,!consultations,!key!aspects!of!proposal,!transformation!visualizations,!financing!model,!impact!of!proposal!on!quality!of!life!and!economic!growth!etc.!!

!

• Widespread+and+impactful+consultations:!Each!city!must!make!sure!that!it!uses!an!innovative! strategy! for! carrying!out!public! consultations.! The!ULB!may!engage!a!public! relations! /! branding! /! communication! /! event! management! agency! to!develop! and! implement! a! smart! city! campaign! for! the! city.! The! campaign! may!broadly!include!three!components,!namely,!(a)!creating!buzz!about!smart!city,!(b)!engaging! with! citizens! to! solicit! their! views! and! (c)! deliberating! the! options! for!smart! city! development.! At! every! stage,! the! city!must! design! its! questions! and!discussions! properly! to! guide! citizens! to! provide! their! feedback! in! a! structured!manner.! The! consultant! may! use! a! mix! of! subjective! openQended! feedback! to!crowd!source!ideas!and!closeQended!options!for!finalizing!the!proposals.!The!openQ

!!

!!


! !

ended! questions! may! focus! on! city! strengths,! unique! selling! proposition.!While!closeQended! questions! may! focus! on! selection! of! areas,! smart! solutions! etc.!Consultant!shall!make!sure!that!public!consultations!are!inclusive!and!cover!both!internet! and! nonQinternet! users.! Apart! from! key! decision! makers,! business! and!professional!community,!stakeholders!must!include!youth!and!socially!vulnerable!like!women,!children,!elderly,!urban!poor!etc.!

Finally,!highlight!the!following!through!the!proposals:!

• The!creativity!and!innovation!in!the!citizen!engagement!exercises!and!the!publics’!response!to!them.!

• The!city!theme!or!uniqueness!and!why!it!matters.!• The!transformative!potential!of!the!proposals!for!both!the!people!and!the!urban!

landscape!of!the!city!and!how!they!lead!to!the!creation!of!a!more!prosperous!and!inclusive!city.!

• The!quantum!and!range!of!finance!secured,!specifically!highlighting!the!innovative!financial!measures!used!and!the!backup!plans!put!in!place.!!

• The! types! of,! and! ways! in! which! existing! government! resources,! infrastructure,!and!programmes!are!converged.!

• Convincing!evidence!for!project!execution!and!timely!deliverables!

! !

!!

!!


! !

Annexure!I:!Data!Tables!!

Municipal+Finance+Analysis+

TABLE&12:&CASH&FLOW&STATEMENT&

!

!

TABLE&13:&FINANCIAL&POSITION&

!

!

Lakh%Rs.Budget

Sr. Particulars 2012813 2013814 2014815 20158161 Revenue%Income2 Revenue%Expenditure3 Revenue%Surplus/Deficit%(182)4 Capital%Receipts5 Capital%Expenditure6 Capital%Surplus/Deficit%(485)7 Net%Surplus/Deficit%(3+6)

Sumary%Cash%Flow%StatementActual%

Lakh%Rs.

Sr. Particulars 2012413 2013414 2014415A Sources%of%Funds

1 Reserves'and'Surplus2 Grants'and'Contributions3 Secured'Loans4 Unsecured'Loans

TotalB Application%of%Funds

1 Fixed'Assets2 Investments3 Currents'Assetsa Stockb Debtorsc Cash'and'Bank'Balancesd Loans'Advances'and'Deposits4 Current'Liabilities'&'Provisions

Total'(1+2+3I4)

Summary%4%Financial%Position%

!!

!!


! !

TABLE&14:INCOME&AND&EXPENDITURE&STATEMENTS&

!

!

TABLE&15:CHANGE&IN&NO.&OF&TAXABLE&PROPERTY&

!

!

TABLE&16:TOTAL&NO.&OF&PROPERTIES&

!

!

Lakh Rs.Item 2011$12 2012$13 2013$14 2014$15

A IncomeTax RevenueAssigned Revenues & CompensationRental Income From Municipal PropertiesFees & User ChargesSale & Hire ChargesRevenue Grants, Contributions & SubsidiesIncome From investmentsInterest EarnedOther Income

Total

B ExpenditureEstablishment ExpensesAdministrative ExpensesOperations & MaintenanceInterest & Finance ExpensesProgramme ExpensesRevenue Grants, Contributions & SubsidiesProvisions & Write OffMiscellaneous ExpensesDepreciation

TotalC Gross Surplus / (deficit) (A-B)D Add/Less : Prior Period items (Net)E Less : Transfer to Reserve Funds

Net Surplus / deficit

Income and Expenditure Statement

Self%Assessed Survey-by-ULB Building-

Permissions Merged Duplicate-records

1 2 3 4 5 6 7 8-(2+3+4+5%6%7)2011%122012%132013%142014%152015%16

AdditionsAs-on-1st-AprilYear As-on-31st-March

Change-in-Number-of-Taxable-Properties-as-per-Municipal-Records

Reduction

YearTax'Slab'(%)

Exempt'Category

Zero 6% ..... ..... ..... 10% Total

ALV'(Rs.) <'6000 6000'to'<......

2011B122012B132013B142014B152015B16

Total'Number'of'Properties'as'per'Municipal'Records

!!

!!


! !

TABLE&17:CHANGE&IN&PROPERTY&TAX&ARREARS&

!

TABLE&18:TAX&COLLECTION&EFFICIENCY&

!

!

Lakh%Rs.

Year As%on%1.04.15

Addition DeductionAs%on%31st%March

Surcharge%due%on%31.3.2015

Total

1 2 3 4 5 6 5+62011B122012B132013B142014B15

Change%in%Property%Tax%%Arrears

Note:%1.Demand%as%per%Property%Tax%registers%should%be%taken,%not%as%per%budget%estimates.

Lakh%Rs.

Year No.%of%Properties

Demand Collection Collection%%

No.%of%Properties Amount

No.%of%Properties Amount

1 2 3 4 5 6 7 8 9 10 11+(5+9)2011@122012@132013@142014@152015@16

Current%Year

Property%Tax%Demand%and%%Collection

Previous%YearTotal%

CollectionDemand Collection Collection%Efficiency%

(%)

!!

!!


! !

TABLE&19:FIXED&ASSET&SUMMARY&

!

!

TABLE&20:COMPARISON&OF&BUDGET&AND&ACTUALS&

!

!

Fixed Assets SummaryRemarks

Unit Qty No.of entries in

FAR

Value (Rs. In Lakh) Unit Qty No.of entries in

FAR

Value (Rs. In Lakh)

A 1 Land 2 Building

B Infrastructure Assets3 Roads and Bridges4 Sewerage and Drainage5 Water Ways6 Public Lighting

Sub TotalC Other Assets

7 Plants & Machinary 8 Vehicles9 Office & other Equipments

10 Furniture , Fixturs, Fittings and electrical appliances

11 Other Fixed AssetsSub Total

Total

Sr FA Group As on OBS Date As on last AFS Date

Municipal Corporation __________Comparison of Budget and Actual

Amount in Crore Rs.

Budget

Code Account Head Amount % Amount % Amount %

A Revenue Income110 Tax Revenue120 Assigned Revenues &

Compensation130 Rental Income from Municipal

Properties

140 Fees & User Charges

150 Sale & Hire Charges

160Revenue Grants, Contribution and Subsidies

170 Interest Earned & Surcharge

180 Other Income

B Revenue Expenditure210 Establishment Expenses220 Administrative Expenses230 Operations & Maintenance240 Interest & Finance Charges250 Programme Expenses260 Revenue Grants, Contribution and

Subsidies270 Provisions and Write off271 Miscellaneous Expenses

Revenue Surplus / Deficit (A-B)

C Capital Expenditure

Actual Variance Budget as % of 13-14

Actual

2012-13 2013-14 2014-15 2015-16Budget Actual Variance Budget Actual Variance Budget

!!

!!


! !

TABLE&21:PRONPOOR&BUDGET&SUMMARY&

!

!

TABLE&22:PRONPOOR&BUDGET&DETAILS&

!

TABLE&23:RATIO&ANALYSIS&

Ratio!Analysis!

S!No! Item! 2012Q13!

2011Q12!

2010Q11!

Average!

1! Revenue!from!own!sources!to!Total!Revenue!Income!

! ! ! !

2! Income! from! Revenue! Grants! to!Total!Revenue!Income!

! ! ! !

3! Tax! Revenue! to! Total! Revenue!Income!Ratio!

! ! ! !

4! Assigned! Revenues! &!Compensations!to!Total!Revenue!!

! ! ! !

5! Fees! and! User! Charges! to! Total!Income!

! ! ! !

Lakh%Rs.Sr Particular 2012413 2013414 2014415 2015416*

1 ULB%Total%Expenditure%Budget2 Budget%for%pro7poor%devlopment

3Pro7poor%budget%%%%(of%total%budget)

4 ULB%Actual%Total%spend5 Pro7poor%spend6 Pro7poor%spend%%%%(of%total%spend)

Pro4Poor%Budget4Summary

Sr. Infrastructure Budget Actual2 Budget Actual2 Budget Actual2 Budget Actual*21 Water2Supply2 Sewerage3 Roads4 Electricity5 Health6 Education7 Others

*2Actual2for22015G162to2be2taken2as2of2230th2September22015

2012G13 2013G14 2014G15 2015G16ProGPoor2BudgetGDetails2(Lakh2Rs)

!!

!!


! !

6! Establishment! Expense! to! Total!Revenue!Income!

! ! ! !

7! Administrative! Expense! to! Total!Revenue!Income!

! ! ! !

8! Operations!&!Maintenance!to!Total!Revenue!Income!

! ! ! !

9! Interest! Expense! to! Total! Revenue!Income!

! ! ! !

10! Surplus/Deficit! to! Total! Revenue!Income!

! ! ! !

11! Income! from! total! Grants! to! Total!Receipts!

! ! ! !

12! Loan!Receipts!to!Total!Receipts! ! ! ! !

13! Capital!Receipts!to!Total!Receipts! ! ! ! !

14! Debt!Coverage!Ratio! ! ! ! !

15! Interest!Coverage!Ratio! ! ! ! !

16! Dependency!Ratio! ! ! ! !

17! Debt!to!Capital!Expenditure! ! ! ! !

19! Fees! and!User! Charges! to! Revenue!expenditure!

! ! ! !

20! Admin!&!Estb!Exp!to!total!exp! ! ! ! !

21! Debt!repayment!to!revenue!receipt!ratio!

! ! ! !

22! Per! Capita! Own! Revenue! to! Per!Capita!GSDP!

! ! ! !

Source:(ULB(Budget,(City(Development(Plan;(All(figures(in(lakhs(

! !

!!

!!


! !

Economic+Competitiveness:+

!

TABLE&24&DISTRICT&GDP&

District! 2004N05!(Lakh!Rs)!!

2005N06!(Lakh!Rs)!!

2006N07!(Lakh!Rs)!!

2007N08!(Lakh!Rs)!!

2008N09!(Lakh!Rs)!!

2009N10!(Lakh!Rs)!!

2010N11!(Lakh!Rs)!!

2011N12!(P)!!

2012N13!(Q)!!

State! ! ! ! ! ! ! ! ! !

District! ! ! ! ! ! ! ! ! !

Source:(State(Economic(Survey;(All(figures(in(lakhs(

(

TABLE&25&DISTRICT&PER&CAPITA&INCOME&

District! 2004N05!!

2005N06!!

2006N07!!

2007N08!!

2008N09!!

2009N10!!!

2010N11!!

2011N12!(P)!!

2012N13!(Q)!!

State!! ! ! ! ! ! ! ! ! !

District! ! ! ! ! ! ! ! ! !

Source:(State(Economic(Survey;(All(figures(in(lakhs(

!

TABLE&26&WORKFORCE&PARTICIPATION&RATE&

Year! Number!in!Lakhs! Decadal! growth!rate!

WFPR!(%)!

1961! ! ! !

1971! ! ! !

1981! ! ! !

1991! ! ! !

2001! ! ! !

2011! ! ! !

Source:(Census(2011,(CDP(2007,(2014(

!!

!!


! !

TABLE&27&INDORE&WORKFORCE&DISTRIBUTION&

! Primary! Secondary! Tertiary!

State!2012N13!(A)! ! ! !

City!1991! ! ! !

City!1961! ! ! !

SOURCE:(CENSUS(2011,(DES,(CDP(2007,(2014&

TABLE&28&FORMAL&&&INFORMAL&EMPLOYMENT&

Earners! EWS! LIG! MIG! HIG! All! Avg!

Mean! monthly!Income!(Rs.)!

! ! ! ! ! !

Employed! in! Formal!Sector!

! ! ! ! ! !

Employed! in!Informal!Sector!

! ! ! ! ! !

Source:(CDP(2007,(2014!

TABLE&29&SECTORNWISE&DDP&AT&CURRENT&PRICES&

Sector! 2004N05!!

(Lakhs!Rs)!

2004N05!(share)!

2010N11!(Lakhs!Rs)!

2010N11!(share)!

Property,!B.Ser!&!Legal! ! ! ! !

Manufacturing!! ! ! ! !

Trade,!Hotels!&!Restaurants! ! ! ! !

Transport!by!other!!means!!! ! ! ! !

Other!Services!! ! ! ! !

Construction! ! ! ! !

Banking!&!Insurance! ! ! ! !

Agriculture! ! ! ! !

!!

!!


! !

Public!Administration! ! ! ! !

Communication!! ! ! ! !

Electricity,!Gas!&!Water! ! ! ! !

Forestry!&!Logging! ! ! ! !

Railways!! ! ! ! !

Mining!&!Quarrying! ! ! ! !

Storage! ! ! ! !

Fishing! ! ! ! !

Total!DDP! ! 100%! ! 100%!

Source:(DES,(CDP(!

TABLE&30&STATUS&OF&INDUSTRIAL&ZONES&

Industrial!Area! Land!acquired!

Land!developed! Plots!allotted!

Units! in!production!

! ! ! ! !!Total! ! ! ! !

Source:(KVN/DTIC(and(MoMSME(

TABLE&31&STATUS&OF&SEZS&

Developer! Location! SEZ!Type!! Area!(ha)!

Approval!Status!!

! ! ! ! !

Source:!TRIFAC,!ET!

TABLE&32&MICRO&&&SMALL&ENTERPRISES&

Cluster! Activities!! Employment! Functional!units!

Turnover!(Cr)!

Exports!(Cr)!

! ! ! ! ! !

Source:(MoMSE! (

!!

!!


! !

Inclusive+Development+

TABLE&33:&URBAN&POVERTY&ANALYSIS&

Parameters! Remarks!!

%!population!below!poverty!line! !

No.!of!Informal!settlements! !

Access!to!roads!! !

Access!to!schools! !

%!children!in!schools! !

%!children!(under!14!years)!in!work!! !

Access!to!clean!drinking!water!! !

Access!to!electricity! !

Key!livelihood!activities! !

!

TABLE&34&DIFFERENT&DEMOGRAPHIC&GROUPS&

%!share!in!population!! Women! !

Children!(0Q14!years)! !

Youth!(14Q25!years)! !

Elderly!(60!and!above)! !

SpeciallyQabled! !

!

Women!

TABLE&35&KEY&INDICATORS&

Literacy!level!

Livelihood!activities!

Incidence! of!violence!

Provision!for!women’s!employment,!health!and!safety!

Gaps!!

! ! ! ! !

!

Youth!(14Q25!years)!

TABLE&36&KEY&INDICATORS&FOR&YOUTH&

Skill!levels! Livelihood!activities!

Government!provisions! for!employment!

Gaps!!

!!

!!


! !

! ! Yuva!Swarozgar!Yojana! !

! ! Rashtriya! Uchchatar! Shiksha!Abhiyan!(RUSA),!Technical!Education!Quality! Improvement! Programme!(TEQIP),! and! National! Skill!Qualification!Framework!(NSQF).!

!

!

!

Elderly!

TABLE&37&KEY&INDICATORS&FOR&ELDERLY&

Government!safety!nets! Gaps! in!service!delivery!

Pensions!schemes!

!

Subsidized! loans! for!homebuilding!

!

!

SpeciallyQabled!

TABLE&38&KEY&INDICATORS&FOR&SPECIALLY&ABLED&

Education!Levels!

Livelihood!activities!

%! buildings!that! are!disability!friendly!

Government!provisions!!

Gaps!!

! ! ! Loans! for!young!entrepreneurs!

!

! ! ! Pension!scheme!

!

! !

!!

!!


! !

Transportation:+

TABLE&39:&PLANNED/ONGOIG&INITIATIVES&

Upcoming!Project!

Description! Funding!(Self!/!State!/!Centre!/!Donor)!

Current!Status!

Remarks!

! ! ! ! !

TABLE&40:&PROPOSED&MODAL&SHARE&

Characteristics! Modal!Share!!in!%! No.!Of!trips!

Personalised! Vehicles(!Two!Wheelers)!

! !

Personalised! Vehicles! (!cars! and! 4! wheelers! and!other)!

! !

Cycles! ! !

Bus!Rapid!Transit!System! ! !

Standard!Bus!Service! ! !

Intermediate! public!transport!

! !

TOTAL! ! !

Source:+CMP,+RTO+TABLE&41:OPERATING&CHARACTERISTICS&OF&PT&&&NMT&

Vehicle!Type! Seating!Capacity!

Fleet!Size!

Number!of!Routes!

Average!distance!travelled/!day(km)!

Average!passengers!travelled/!day/vehicle!

Average!number!of! trips/!day!

Public!Transport!

City!Bus! ! ! ! ! ! !

IPT!

Mini!Bus! ! ! ! ! ! !

Tata!magic/Vans!

! ! ! ! ! !

Auto!Rickshaw! ! ! ! ! ! !

Taxis! ! ! ! ! ! !

Tonga! ! ! ! ! ! !

Source:+CMP,+RTO,+SPV+

+

+

!!

!!


! !

+

+TABLE&42:&DECADAL&GROWTH&IN&PUBLIC&&&PVT&VEHICLES&

Year! Two!Wheeler!

Three!Wheeler!

Car! Buses(Inc!Mini!Buses)!

Goods!Vehicles(!LCV! and!HCV)!

Others!! Total!

2001Q2002! ! ! ! ! ! ! !

2002Q2003! ! ! ! ! ! ! !

2003Q2004! ! ! ! ! ! ! !

2004Q2005! ! ! ! ! ! ! !

2005Q2006! ! ! ! ! ! ! !

2006Q2007! ! ! ! ! ! ! !

2007Q2008! ! ! ! ! ! ! !

2008Q2009! ! ! ! ! ! ! !

2009Q2010! ! ! ! ! ! ! !

Average!Annual!Growth! For!10!years!

! ! ! ! ! ! !

Source:+CMP,+RTO+

! !

!!

!!


! !

Climate+change+and+environmental+resilience:+

!

Biodiversity:!

What! is! the! surface! area! of! plant! cover!within! the! city! zone?! What! is! the!number! and! size! of! gardens! within! the!city?!How!much!green!space!is!there!per!inhabitant?!!

What! type! of! fauna! lives! in! different!parts! of! the! city?! Are! any! endangered!fauna!present!in!the!city?!!

What! are! the! terrestrial! or! marine!ecosystems! that! impact! the! city’s!development?!!

What! is! the! number! and! size! of! public!parks?!!

What! type! of! services! do! public! parks!offer?! What! is! their! degree! !of!preservation?!!

Indicators!

%! of! urban! areas! devoted! to! green!spaces:!woods,!mangroves,!etc.!!

No.!and!size!of!public!parks!!

No.!and!size!of!public!gardens;!density!per! locality! !(districts)! within! the! city!

(m2/inhabitant)!!

!

Land:!

Questions:!

What!are!the!main!land!uses!in!the!city?!!

What! are! the! most! frequent! risks! for!urban!land?!Are!there!!landslides!caused!by! rain,! earthquakes,! flooding,! drought,!etc?!!

In! what! period! of! the! year! do! these!occur?!!

Are! they! recurrent! and! more! intense!each!time?!!

Indicators:!

Changes!in!land!use!in!hectares!!

Map!of!risk!zones!!

No.! of! dwellings! and! inhabitants! in!these!risk!areas!!

List! of! earthquakes! or! floods! in! recent!years!and!their!!intensity!!

Quantification! of! damage! and! losses!from!previous!!disasters!!

No.! of! informal! or! poor! settlements.!No.!of!inhabitants!!

!

!!

!!


! !

1.!Earthquakes!(Y!or!N)! !

2.!Hurricanes/cyclones/typhoons,!storms!or!extreme!rainfall!(Y!or!N)! !

3.!Floods!(Y!or!N)! !

4.!Tsunamis!or!storm!surges!(Y!or!N)! !

5.!Droughts!(Y!or!N)! !

6.!Volcanic!eruptions!(Y!or!N)! !

7.!Avalanches!or!landslides!(Y!or!N)! !

8.!Extreme!temperatures!(Y!or!N)! !

9.!Others!(specify)!(Y!or!N)! !

!

TABLE&43&GROUND&WATER&AVAILABILITY&&&UTILIZATION&FOR&THE&DISTRICT&

!

TABLE&44&CHEMICAL&ANALYSIS&OF&WATER&SAMPLES&COLLECTED&IN&CITY&

+Source:+CSP,+MC,+SPCB+

!

!

Annual&Replenish-able&Ground&Water&Resource&

Natural&Discharge&during&

Non&-M

onsoon&Period&

Net&Ground&water&

availability&

Annual&Ground&Water&Draft&

Projected&Dem

and&

Dom

estic&and&Industrial&

Uses&(2025)&

Net&Ground&Water&

Availability&for&Future&

Irrigation&Use&

State&of&GW&Development&

(%)&

Monsoon&Season&

Non$Monsoon$Season$

Total$

Recharge&from

&Rainfall&

Recharge$from

$other$sources$

Recharge$from

$Rainfall$

Recharge$from

$other$sources$

$ Irrigation$

Dome

stic$&

$Industrial$Water$

Supply$$

Total$

& $ $ $ $ $ $ $ $ $ $ $ $$

Name%of%the%colony%

Average%of%well%%

Rock%type%and%flow%

pH%value%

Bicarbonates%ppm%

Carbonates%ppm%

Total%hardness%ppm%

Calcium%Hardness%ppm%

Magnesium%Hardness%ppm%

Chloride%ppm%

Sodium%ppm%%

TDS% Sodium%conduct%age%at%25degC%in%Micro%ahons/cus%

% ! ! ! ! ! ! ! ! ! ! ! !

!

!!

!!


! !

TABLE&45&AMBIENT&AIR&QUALITY&AT&DIFFERENT&PARTS&OF&THE&CITY&&

Sampling!Station!!

SPM!!Avg.! (μ!gm/m3)!

RSPM!!Avg.! (μ!gm/m3)!

SO2!

(50.0!

µg/m3)!

NOX!

(40.0!

µg/m3)!

NH3!! O3!!

! ! ! ! ! ! !Source:+CSP,+SPCB+

!

! !

!!

!!


! !

Housing:+

&

TABLE&46&DISTRIBUTION&OF&HOUSING&STOCK&BY&USE&

Total!census!houses!

!

Vacant!houses!

!

! ! !

Occupied!houses!

!

Occupied!Census!Houses!!

used!as!

Residence!!

ResidenceQcumQother!use!!

Shop!/!Office!!

School!/!College!etc.!!

Hotel!/!Lodge!/Guest!house!etc.!!

Hospital!/!Dispensary!etc.!!

Factory! /! Workshop! /! Workshed!etc.! !

Place!of!worship!!

Other!nonQresidential!use!!

Locked! census!houses!

!!

Source:(Census(2011(

&

TABLE&47&DISTRIBUTION&OF&HOUSING&STOCK&BY&OWNERSHIP&

OwnerNship!status!

Total!houseNholds!

Households!having!number!of!dwelling!rooms!

No!exclusive!room!

One!room!

Two!rooms!

Three!rooms!

Four!rooms!

Five!rooms!

Above!five!rooms!

Total! ! ! ! ! ! ! ! !

!!

!!


! !

Owned! ! ! ! ! ! ! ! !

Rented! ! ! ! ! ! ! ! !

Others! ! ! ! ! ! ! ! !


&

TABLE&48&SLUM&POPULATION&IN&MAJOR&TOWNS&(IN&MADHYA&PRADESH)&

City! Indore! Jabalpur! Bhopal! Gwalior!

Total!Population!in!2011! ! ! ! !

Slum!Population!in!2011! ! ! ! !

Extent!of!Slum!Population! ! ! ! !


(&

TABLE&49&GROWTH&OF&SLUMS&

Year! 1971! 1981! 1991! 2001! 2011! CAGR!

Total!Population! ! ! ! ! ! !

Slum!Population! ! ! ! ! ! !

Extent!of!Slum!Population! ! ! ! ! ! !

Source:( (Master(Plan(and(Socio(Economic( Survey(of( Slums,(CAGR:(Cumulative(Annual(Growth(Rate(

!

TABLE&50&HOUSING&NEED&IN&THE&CITY&

! 2011! 2016! 2021! 2026! 2031!

Projected!Population! ! ! ! ! !

Projected!Households! ! ! ! ! !

Cumulative!Additional!Housing!Demand! ! ! ! ! !

Cumulative! Additional! Housing! Demand! for!EWS!and!LIG!

! ! ! ! !

!!

!!


! !

Note:!Figures!in!lakhs,!Source:!Slum!Free!City!Action!Plan!!

&

TABLE&51&CONTRIBUTION&OF&VARIOUS&STAKEHOLDERS&IN&HOUSING&PRODUCTION&

! 2009N10! 2010N11! 2011N12!

Total!Housing!Starts! ! ! !

Contribution!of!State!Housing!Board! ! ! !

Contribution! of! City! Developmental!Authority!

! ! !

Contribution!of!ULB! ! ! !

Contribution!of!private!sector! ! ! !

!

TABLE&52&HOUSING&PRICE&INDEX&MOVEMENT&IN&INDORE&AND&BHOPAL(MADHYA&PRADESH)&

! Q1N2007! Q1N2012! Q1N2013! Q1N2014!

Indore! ! ! ! !

Bhopal! ! ! ! !

Source:+National+Housing+Bank+Residex+(2014)+

! !

!!

!!


! !

Solid+Waste+Management:+

!

TABLE&53&WASTE&COLLECTION&PROFILE&

Waste!Collection!Profile!of!the!City!

collection!points! !

storage!capacity! !

number!of!bins! !

Frequency!of!clearance! !

Source:+CSP,+MC+TABLE&54&SWM&COLLECTION&&&TRANSPORT&VEHICLES&

+

Source:+CSP,+MC+

! !

Category!of!vehicles! Number! Routing!Information!

Sweeping!Machine! ! !

Open!Dumpers! ! !

Cycle!Rickshaws! ! !

Wheel!Barrows! ! !

Small!Vehicles! ! !

JCB! ! !

Loaders! ! !

Barrows! ! !

!!

!!


! !

Urban+and+regional+planning:+

Table!55!EXISTING!AND!PROPOSED!LAND!USE!DISTRIBUTION!OF!CITY’S!URBAN!AREA!

S.!No.! Land!Use! Land! proposed!to! be!developed!!

Land!developed! in!2005!!

Realization! of!1991! landNuse!plan!!in!2005!!

Land!developed!in!2006!

Dev! Land!proposed! by!2021!

1! Residential! ! ! ! ! !

2! Commercial! ! ! ! ! !

3! Industrial! ! ! ! ! !

4! Public/Semi! ! ! ! ! !

5! Recreation! ! ! ! ! !

6! Transport! ! ! ! ! !

7! Total! ! ! ! ! !

Source:!City!Development!Plan;!Note:!Area!in!hectares!

! !

!!

!!


! !

Waste+Water+

TABLE56:&SANITATION&SCENARIO&&

Parameter! Unit! Value! %!

Total!households! Number! ! !

Households!with!latrine!within!premises! Number! ! !

Households!without!a!latrine!and!using!public!latrine! Number! ! !

Households!openly!defecating! Number! ! !

Connected!to!piped!sewer!system! Number! ! !

Connected!to!septic!tank! Number! ! !

Others! Number! ! !

Pit!latrine!with!slab/ventilated!pit! Number! ! !

Pit!latrine!without!slab/open!pit! Number! ! !

Discharge!into!open!drain! Number! ! !

NightNsoil!removed!by!human! Number! ! !

NightNsoil!removed!by!animal! Number! ! !

Source:(Census(2011,(CSP!

Table!57!waste!water!scenario!

Parameter! Unit! Value!

Consumption!at!tap!from!networks! mld! !

%!of!customers!supplementing!from!own!boreholes! %! !

Consumption!from!own!boreholes! litres/connection! !

Daily!consumption!from!own!boreholes! mld! !

Alternate!supplies!for!uncovered!population! litres/connection! !

Daily!consumption!from!alternate!supplies! mld! !

Total!daily!consumption! mld! !

Proportion!of!sewage!generation! %! !

!!

!!


! !

Volume!of!sewage!generated! mld! !

Current!capacity!of!sewage!treatment! mld! !

New!sewage!treatment!capacity!being!installed! mld! !

Total!sewage!treatment!capacity!! mld! !

Source:!Census!2011,!CSP,!MC!

Table!58!PROPOSALS!PLANNED!IN!THE!CITY!

Proposal!category! Cost!in!Rs!Crores!

! !!

TABLE&59&OPERATING&COST&OF&SEWERAGE&AND&SEWAGE&TREATMENT&

Budget!Head! 2011N12! 2012N13! 2013N14!

Salaries!and!allowances! ! ! !

Wages(Must!Workers)! ! ! !

Miscellaneous!expenses! ! ! !

Exp.!On!Gen.!Survey! ! ! !

Equipments!for!H&S!in!drainage!works! ! ! !

Underground! drains(Sewer! Pipes!Networks)!

! ! !

Whitewashing!of!urinals! ! ! !

Public!Toilet! ! ! !

Jetting!machine!maintenance!expenses! ! ! !

Maint.!Of!chambers! ! ! !

Maint.!Of!Low!Level!Pumping!Station! ! ! !

Const.!!Of!storm!water!rain! ! ! !

Exp.!On!covering!of!main!holes! ! ! !

Exp.!On!raising!of!main!holes! ! ! !

!!

!!


! !

Rent!of!railway!pipeline(W)! ! ! !

Total!Operating!Cost! ! ! !

Revenue!from!property!tax!at!20%! ! ! !

Operating!Ratio! ! ! !

Source:+Budget,+CSP,+MC+&

TABLE&60&GRIEVANCE&REDRESSAL&SYSTEM&

Description! Drainage/Sewerage! complaints!2014!

Total! Grand!Total!

January! February! March!

Chamber!cover!is!broken! ! ! ! ! !

Chamber!cover!to!be!inset! ! ! ! ! !

Chamber!is!blocked! ! ! ! ! !

Chamber!is!Broken! ! ! ! ! !

Cleaning!of!chamber! ! ! ! ! !

Cleaning!of!Drainage!Line! ! ! ! ! !

Cleaning!of!Sewer!Line! ! ! ! ! !

Drainage!line!is!blocked! ! ! ! ! !

Drainage!line!to!be!covered! ! ! ! ! !

Overflow!of!drainage!! ! ! ! ! !

Potholes!to!be!filled! ! ! ! ! !

Sewer!line!is!blocked! ! ! ! ! !

Sewer!line!leakage! ! ! ! ! !

Grand!Total! ! ! ! ! !

Source:+CSP,+MC+

!

!!

!!


! !

Water+Supply:+

TABLE&61&ESTIMATED&DEMAND&

Demand!segment! Population! Service!level! Demand!!

! In!million! In!lpcd! In!mld!

General!population! ! ! !

Urban!poor!population! ! ! !

Commercial!and!industrial! ! ! !

Total!demand!at!tap! ! ! !

Source:+Census+2011,+CSP+TABLE&62&INSTALLED&CAPACITY&OF&WATER&SOURCES&

Source!of!water! Year! of!commissioning!

Installed!Capacity! Percentage!!

! ! ! !

Source:+CSP,+MC,+PHED+TABLE&63&CAPACITY&UTILISATION&OF&WATER&PRODUCTION&

Source!of!water! Installed!Capacity!! Average!Production!

Capacity!utilisation! Basis!

Water!Production! In!mld!! In!mld!!! In!percentage(%)! !

Total! Production! of!surface!water!

! ! ! !

Production! from!tube!wells!

! ! ! !

Source:+CSP,+MC,+PHED+TABLE&64&AVERAGE&DISTRIBUTION&INPUT&

Distribution!Input! Average! Input(in!mld)!

Proportion!%! Basis!

Net! distribution!input!into!the!City!

! ! !

Source:+CSP,+MC,+PHED+

!!

!!


! !

TABLE&65&WATER&QUALITY&SURVEILLANCE&

Sample!Location! Residual!Chlorine!

Physical/!chemical!

Bacteriological! Total!

! Number!of!Samples!tested!in!the!year!

At!the!outlet!of!WTW! ! ! ! !

Networks!up!to!customer!end!

! ! ! !

Total! ! ! ! !

Total!Tests!Passed! ! ! ! !

Source:+CSP,+MC,+SPCB++

+TABLE&66&ASSESSMENT&OF&WATER&LOSSES&

Parameter! Unit! Value!

Distribution!input!into!city! Ml/month! !

Supply!through!connections!at!start!node! litres/supply! !

Supply!through!connections!at!end!node! litres/supply! !

Average!supply!through!connections! litres/supply! !

Wastage!at!tap! %! !

Net!consumption!at!tap! litres/supply! !

Total!connections! Number! !

Monthly!supply!at!tap! Ml/month! !

Monthly!consumption!at!tap! Ml/month! !

Water!losses!including!wastage!at!tap! Ml/month! !

Proportion! of! water! losses! including!wastage!at!tap!

%! !

Volume!of!water!losses!in!networks! Ml/month! !

Proportion!of!water!losses!in!networks! %! !

!!

!!


! !

Source:+CSP,+MC,+PHED!+TABLE&67&OPERATING&COST&RECOVERY&TREND&

Parameter! 2011N12! 2012N13! 2013N14!

Operating!Expenditure! ! ! !

Revenue!collected! ! ! !

Operating!Ratio!in!%! ! ! !

Source:+CSP,+MC+TABLE&68&PREVAILING&WATER&TARIFFS&IN&THE&CITY&

Residential! Commercial! Industrial!

Pipe!Size!

Category! Rate! Pipe!Size! Rate! Pipe!Size! Rate!

! Handy!Capped! ! ! ! ! !

! Residential! ! ! ! ! !

! Bulk! Residential! per!KL!

! ! ! ! !

Source:+CSP,+MC+

!

!

!

!

!

!

!

!

!

!

!

!!

!!


! !

Energy+Efficiency!

TABLE&69&LOAD&&&ENERGY&CONSUMPTION&

Service! Load!(kW)! Annual!Energy!Consumption!(MU)!

Street!Lighting! ! !

LT! Water!Pumping!

! !

HT! Water!Pumping!

! !

Total! ! !

Source:+Solar+City+Master+Plan,+MC+&

TABLE&70&LOAD&&&ENERGY&CONSUMPTION&FOR&PAST&5&YEARS&

Service! Load!(kW)! Annual!Energy!Consumption!(MU)!

Street!Lighting!+!LT!Water!Pumping! ! !

HT!Water!Pumping! ! !

Source:+Solar+City+Master+Plan,+MC+TABLE&71ENERGY&CONSUMPTION&SCENARIO&

Scheme! Daily!Discharge!(MLD)!

Specific! Energy!Consumption!(kWh/ML)!

Average!Pumping! Station!Efficiency!

! ! ! !

Total! ! ! !

Source:+Solar+City+Master+Plan,+MC+TABLE&72&ENERGY&CONSUMPTION&SCENARIO&FOR&STREET&LIGHTING&

Luminaire!Type! Luminaire!(W)!

Number! %!contribution! to!total! number! of!fixtures!

%! contribution!to!total!electrical!load!

Fluorescent! Tube!Light!

! ! ! !

Fluorescent! Tube! ! ! ! !

!!

!!


! !

Light!


! ! ! !


! ! ! !


! ! ! !

Sodium! Vapour!Lamp!

! ! ! !

Metal!Halide! ! ! ! !

CFL!! ! ! ! !

Total! ! ! ! !

Source:+Solar+City+Master+Plan,+MC+TABLE&73&CONNECTED&LOAD&OF&STREET&LIGHTING&IN&THE&CITY&

Lighting!Type! Connected!Load!(kW)! Contribution!to!total!load!(%)!

Ward!Lighting! ! !

High!Mast!Lighting! ! !

Central!Lighting! ! !

Total! ! 100%!

! ! !

Source:+Solar+City+Master+Plan,+MC+TABLE&74&EXCESS&BILLING&IN&STREET&LIGHTING&SYSTEM&IN&THE&CITY&

Type!of!Lighting! No.! of! switching!points!

Excess! Billing! (MU! per!annum)!

%!Contribution!

Ward!Lighting! ! ! !High! Mast!Lighting!

! ! !

Central!Lighting! ! ! !Total! ! ! 100%!Source:+Solar+City+Master+Plan,+MC+

!!

!!


! !

TABLE&75&SHARED&SAVINGS&MODEL&–&RESPONSIBILITIES&

ESCO! Customer/!Facility!Owner!

Design!

Financing!

Implementation!

Maintenance! during! project!duration!

Achievement!of!energy!savings!!

Establishment! of! baseline! energy! consumption!before! implementation! of! energy! efficiency!measures!

Periodical!monitoring!and!verification!to!establish!the!level!of!service!and!energy!savings!achieved!

Payment! to! ESCO! corresponding! to! its! share! in!energy!savings!achieved!

!

TABLE&76&DEEMED&SAVINGS&MODEL&–&RESPONSIBILITIES&

ESCO! Customer/!Facility!Owner!

Design!

Financing!

Implementation!

Maintenance!during!project!duration!

Periodical! payment! to! ESCO! during!project!duration!

!

! !

!!

!!


! !

ICT:+

TABLE&77&SWAN&BANDWIDTH&UTILISATION&ACROSS&STATES&

SWAN! Bandwidth!Utilization!

State/UT!

Above!60%! !

30!%–!59%!! !

Up!to!30!%!! !

Source:+DIT,++

!

TABLE&78&HOUSEHOLDS&WITH&COMPUTER/LAPTOP&AND&MOBILE/TELEPHONE&USAGE&

! Total!households!

Computer/Laptop! Telephone/Mobile!Phone!

(in!thousands)!

! With!Internet! Without!Internet! Landline!only!

Mobile!only!

Both!

! ! ! ! ! ! !

Source:+Census+2011++TABLE&79&NUMBER&OF&CITIZENS&UTILIZING&THE&CURRENT&IT&ENABLED&SERVICES&IN&THE&CITY&

Department!

level!

Services!

Total!Number!of!customers!

Customers!for!whom!mobile!details!are!available!

Number!of!hits!on!the!website!

Customer!availing!services!through!website/portal!

2013! 2014! 2013! 2014! 2013! 2014! 2013! 2014!

ULB!SERVICES! ! ! ! ! ! ! ! !

! ! ! ! ! ! ! ! !! ! ! ! ! ! ! ! !!

TABLE&80&PLANNED&/&ONGOING&INITIATIVES&

!

Initiative!Name! Initiative!Description! Funding! (Self! /! State! /!Centre!/!Donor)!

Current!Status! Remarks!

! ! ! ! !

!!

!!


! !

!

TABLE&81&SERVICES&PROVIDED&BY&THE&DEPARTMENT&IN&THE&CITY&

!

TABLE&82&STATUS&OF&INITIATIVES&/&APPLICATIONS&USED&IN&THE&DEPARTMENTS&

Application!name!

General!Description! Status!as! per!Legend!

! STATE!LEVEL!COMMON!INITIATIVES/!APPLICATIONS! !

! ! !APPLICATIONS!USED!IN!THE!URBAN!LOCAL!BODY!

! ! !APPLCATIONS!USED!IN!THE!DEBVELOPMENTAL!AUTHORITY!

! ! !APPLICATIONS!USED!INT!THE!TOWN!AND!COUNTRY!PLANNING!ORGANIZATION!

! ! !APPLICATIONS!USED!FOR!CITY!TRANSPORT!SERVICES!

! ! !

!

TABLE&83&HARDWARE&INFRASTRUCTURE&AVAILABLE&IN&THE&DEPARTMENT&

Department!! Hardware!Equipments!! High! level!Configuration!

Total!Number!

! Server! ! !

Desktops! ! !

Modem! ! !

Router! ! !

Network!Switch! ! !

Printers! ! !

CategoryBack Office

/ CitizenCentric

Information4Exchange4with otherdepartment

Mode ofInformation4Exchange

Service4Shortcoming(People/Process/Technology)

Impact ofthe4Issue Wish4List

Function/4Service4Name

Application4Name Technology

Brief4description4of4Application

Using4SinceMode ofService4Provision

LEGEND Excellent High Medium Low Proposed

!!

!!


! !

Firewall! ! !

AC! ! !

Scanner!Machine! ! !

UPS! ! !

Source:+MC+TABLE&84&:&KEY&ISSUES&AT&CITY/DEPARTMENT&LEVEL&

Issues!/!Evidences! Impact!

! !

!

!

!

ICF$International$$$ 113$

$

Annexure'II:'Timelines'and'Deliverables'

Phase Activity Wk1 Wk2 Wk3 Wk4 Wk5 Wk6 Wk7 Wk8 Wk9Wk10Wk11Wk12Wk13Wk14Offline<and<online<Citizen<Engagement<Exercises<(Mohalla<Sabhas,<Polls,<Social<Media<&<Mobile<Apps,<Youth<involvement<through<competitions)Collection<of<secondary<data<for<city<profiling<and<SWOTReview<of<smart<city<mission<statement<and<guidelines<Initial<kickToff<meeting<with<ULB<at<cityTlevelReview<of<planning<documents<and<secondary<researchInception<meeting<and<workplan<presentation<at<state<levelPreparation<of<data<checklists,<consultation<strategy<and<questionnairesField<visits,<data<collection<and<stakeholder<consultationsCity<profiling,<sector<asTis<and<readiness<assessmentDeveloping<framework<for<selection<of<sites<for<smart<citiesSite<appraisal<and<context<analysis<for<identified<sitesShortlisting<of<potential<sites<through<key<stakeholders<consultationSWOT<analysis<of<identified<sites<and<smart<city<benchmarking<Delieverable<1:<CityTWide<Concept<plan D1Finalization<of<smart<city<site<based<on<stakeholder<consultationsSetting<up<smart<city<vision,<objectives,<criteria<and<targetsDeveloping<planning<principles<and<design<guidelinesCityTwide<consultation,<announcement<of<strategic<areas<&<pancity<initiative<for<smart<city<Preparation<of<strategic<action<plans<and<panTcity<smart<solutions<Cost<benefit<analysis<of<project<lifecycleProject<Financing<plan<and<resource<mobilization<action<plan<Presentation<of<draft<proposal<with<capital<investment<plan<to<cityTlevel<stakeholdersPresentation<of<draft<proposal<with<capital<investment<plan<at<State<levelDelieverable<2:<Draft<Smart<City<Proposal D2Convergence<of<all<the<plans,<feedback<and<finalization<of<workStakeholder<Consultation<Deliverable<3:<<Final<Smart<City<Plan D3

LEGENDPhaseActivityDeliverableActivity<DurationStakeholder<Consultation/<MeetingsConcurrent<Exercises

Prep

aratory<ph

ase

Prop

osal<

phase

Concurrent<

Exercises

Assessmen

t<Pha

se

ICF$International$$$ 114$

$

Annexure'III:'Consultation'Strategies'Guide'

Forms of Consultations Format Used Stakeholders Objectives Direct Communication Resident Welfare Associations Capture the aspirations of the local people Opinion Polls Ward residents Understand the local problems FGDs Ward workers Test the desirability of intended initiatives Sample surveys Public representatives Create buy-in for new ideas

Youth Crowd-source ideas Women

To spread the word about the smart city initiative

To generate interest in the concept

Twitter Students Crowd-source ideas Facebook Working professionals Quick opinion polls

Whatsapp International smart-city community Capture new ideas

Instagram Internet-savy citizens To spread the word about the smart city initiative

Youtube Media Mobile apps

Government functionaries Collecting empirical information for analytical purposes

Private sector Measuring expectations and identifying non-evident policy alternatives

MIC members Learning from national and international best-practices

Departmental heads Networking with potential technology and financial partners

District Administration Environmental Groups Chambers of Commerce

Informal consultations phone-calls, letters, informal meetings, occurs at all stages of planning

Technical Experts, Government Departments To seek expert opinions

Public notice-and-comment Publishing of all interim and final assessments and plans on the ULB/City website to solicit comments

Technical Experts Citizens

Meeting regulatory requirementsCitizen and technical review of planned activities

Real-time feedback tools/Tools that build momentum

Understanding and addressing concerns

Stakeholder workshops FGDsConferences/Conclaves

Interactive exercises visioning contests professional organizations, training and educational institutions

crowd-sourcing ideas on city theme, tag-lines

Invitation of comments through newspaper/web portals, radio, polls, etc

Online surveys Resident Welfare Associations, Shopkeepers’ Associations

Mohallasabha/ Ward level consultation

Citizen-connect

Group festivals and community spaces such as Raahgiri, Abhivyakti, Literary Festivals (Hindi Sammelan etc.)

Cross-section of citizens

!!

!!


! !

Annexure!IV:!Smart!City!Benchmarking!

Benchmarking!is!a!way!of!discovering!what!is!the!best!performance!being!achieved!by!a!sector/industry/plan.!This! information!can!then!be!used!to! identify!gaps! in!the!targets!and!strategies!identified!for!the!sector.!It! is!a!good!governance!practice!to!incorporate!SLBs! to!measure! key! performance! indicators! in! urban!management! as! they! present! a!standardised! way! for! measuring! performance! and! taking! further! action! on! them.!Provided! in! the! tables! underneath! are!MoUD! approved! SLBs! for! the! sectors! of!water!supply,!sewerage,!solid!waste!management,!storm!water!drainage,!urban!transport!and!eQgovernance.!!

TABLE&85:WATER&

Indicator!! Benchmark! City!Performance!

Coverage! of! water! supply!connection!

100%! !

Per!capita!supply!of!water! 135!LPCD! !

Extent! of! metering! of! water!connection!

100%! !

Extent!of!NonNRevenue!Water! 20%! !

Continuity!of!water!supplied!! 24!Hrs! !

Efficiency! of! redressal! of! customer!complaints!

80%! !

Quality!of!water!supply! 100%! !

Cost! recovery! in! water! supply!related!charges!

100%! !

Efficiency! in! collection! of! water!supply!charges!

90%! !

Source:+CSP,+Budget,+MC++

!

TABLE&86:WASTEWATER&

Indicator!! Benchmark! City!Performance!

Coverage!of!Toilets! 100%! !

Collection!efficiency!of!sewerage!Network! 100%! !

!!

!!


! !

Adequacy!of!Sewerage!Treatment!Capacity!! 100%! !

Quality!of!Sewerage!Treatment!! 100%! !

Extent!of!reuse!and!recycling!of!treated!water! 20%! !

Redressal!of!Customer!complaints! 80%! !

Extent!of!Cost!recovery! 100%! !

Collection! efficiency! of! Sewerage! and! network!charges!

100%! !

Source:+CSP,+Budget,+MC+TABLE&87:&SOLID&WASTE&MANAGEMENT&

Indicator!(unit)! Benchmark! City!Performance!

Household! level! coverage! of! solid!waste!management!services!

100%! !

Efficiency! of! collection! of! municipal!solid!waste!

100%! !

Extent! of! segregation! of! municipal!solid!waste!

100%! !

Extent! of! municipal! solid! waste!recovered!

80%! !

Extent! of! scientific! disposal! of!municipal!solid!waste!

100%! !

Efficiency! in! redressal! of! customer!complaints!

80%! !

Extent! of! cost! recovery! in! SWM!services!

100%! !

Efficiency! in! collection! of! SWM!charges!

90%! !

!

!

!

!!

!!


! !

Storm!Water!Drainage!

TABLE&88&STORM&WATER&DRAIN&

Parameter! Target! Achieved!

Coverage!of!storm!water!drainage!network! ! !

Incidence!of!water!logging/flooding! ! !

!

TRANSPORTATION!

!

TABLE&89&PUBLIC&TRANSPORT&FACILITIES&

Level!of!Service

1.!Presence!of!

Organized!Public!Transport!System!in!Urban!Area!(%)

2.!Extent!of!Supply!

Availability!of!Public!Transport

3.!Service!

Coverage!of!Public!

Transport!in!the!city

4.!Average!waiting!time!for!

Public!Transport!users!(mins)

5.!Level!of!Comfort!in!Public!

Transport

6.!%!of!Fleet!as!per!Urban!

Bus!Specification

1

>=!60

>=!0.6

>=!1

<=4

<=!1.5

75!Q!100

2

40Q!60

0.4!Q!0.6

0.7Q!1

4!ñ!6

1.5!ñ!2.0

50!Q!75

3

20!Q!40

0.2!Q!0.4

0.3!Q!0.7

6!ñ!10

2.0!ñ!2.5

25!Q!50

4

<!20

<!0.2

<!0.3

>!10

>2.5

<=!25 Overall!Level!of!Service!of!Public!Transport!facilities!City!wide Calculated! LoS!=!(LoS1!+!LoS2!+!LoS3!+!LoS4!+!LoS5!+!LoS6)!and!identify!overall!LoS!as!mentioned!below Overall!LoS

Calculated!LoS

Comments

1

<!12 The!City!has!a!good!public!transport!system!which!is!wide!spread!and!easily!available!to!the!citizens.!The!system!provided!is!comfortable.

2

12!N!16

The!City!has!public!transport!system!which!may!need!considerable! improvements! in!terms! of! supply! of! buses/! coaches! and! coverage! as!many! parts! of! the! city! are! not!served! by! it.! The! frequency! of! the! services! available!may! need! improvements.! The!system!provided!is!comfortable.

3

17!N!20

The!City!has!a!public!transport!system!which!may!need!considerable!improvements!in!terms!of! supply! of! buses! /! coaches! and! coverage! as!most! parts! of! the! city! are! not!served!by!it.!The!frequency!of!the!services!available!needs!improvements.!The!system!provided!is!not!comfortable!as!there!is!considerable!over!loading.

4 21N24 The!city!has!very!poor/no!organized!public!transport!system !

TABLE&90:&PEDESTRIAN&INFRASTRUCTURE&FACILITIES&

Level!of!Service 1)!Signalized!intersection!delay!(%) 2)!Street!Lighting!(Lux) 3)!%!of!City!Covered 1 <!25 >=!8 >=!75 2 25!Q!50 6!Q!8 50!Q!75 3 50!Q!75 4!Q!6 25!Q!50 4 >=!75 <!4 <!25

Overall!Level!of!Service!of!Pedestrian!Infrastructure!Facilities!City!wide

!!

!!


! !

Calculated! LoS!=!(LoS1!+!LoS2!+!LoS3!)! and!identify!overall!LoS!as!mentioned!below

Overall!LoS Calculated!LoS

Comments 1 3!ñ!5 The! City! has! adequate! barrier! free! pedestrian! facilities! along! overall! road!

network.

2

6!N!8 The! City! has! pedestrian! facilities! which! may! need! some! improvements! in!terms! of! improvements! in! intersections,! footpaths,! and! street! lighting! as!some! parts! of! the! city! are! not! served! by! it.! The! footpath! available! needs!improvements.! The! system! provided! is! otherwise! comfortable! and!sustainable

3

9N10 The! City! has! pedestrian! facilities! which! may! need! considerable!improvements.! The! pedestrian! facilities! at! intersections,! availability! of!footpath! etc! needs! improvements! as! also! many! parts! of! the! city! are! not!served!by!it. 4 11!N!12 The!city!lacks!adequate!pedestrian!facilities

!TABLE&91&NON&MOTORIZED&TRANSPORT&(NMT)&FACILITIES&

Level!of!Service 1.!%!of!network!covered 2.!Encroachment!on!NMT!roads!by!Vehicle!Parking!(%)

3.!NMT!Parking!facilities!at!Interchanges!(%)

1

>=50

<=!10

>=75

2

50!Q!25

10!Q!20

50!Q!75

3

25Q!15

20!Q!30

25Q!50

4

<!15

>!30

<!25 Overall!Level!of!Service!(LoS)!of!Non!Motorized!Transport!facilities!(NMT)!CityNwide Calculated!LoS! =!(LoS1!+!LoS2!+!LoS3)!and!identify!overall!LoS!as!mentioned!below

Overall!LoS Calculated!LoS Comments 1 3N5 The!City!has!adequate!NMT!facilities!along!overall!road!network.

2

6!ñ!8

The! City! has! NMT! facilities! which! may! need! some! improvements! in! terms! of!encroachments,!parking!facilities!at!interchanges!etc!as!some!parts!of!the!city!are!not!served!by!it.!The!system!provided!is!otherwise!comfortable!and!sustainable

3

9N10 The!City!has!NMT!facilities!which!may!need!considerable!improvements!as!many!parts!of!the!city!are!not!served!by!it.

4 11!ñ!12 The!city!lacks!adequate!NMT!facilities !TABLE&92&LEVEL&OF&USAGE&OF&INTELLIGENT&TRANSPORT&SYSTEM&(ITS)&FACILITIES&

Level!of!Service

1.! Availability! of!Traffic! Surveillance!(%)

2.! Passenger!Information!System!(PIS)!(in!%)

3.!Global!Positioning!System! (GPS)/!General! Packet!Radio!Service!(GPRS)!(%)

4.!Signal!Synchronization!(%)

5.!Integrated!Ticketing!System!(%)

1

>=75

>!=75

>!=75

>!=75

>=!75

2

50!Q!75

50!Q!75

50!Q!75

50!Q!75

50!Q!75

3

25!Q!50

25!Q!50

25!Q!50

25!Q!50

25!Q!50

4

<!25

<!25

<!25

<!25

<!25 Overall!Level!of!Service!(LoS)!of!usage!of!Intelligent!Transport!System!(ITS)!CityNwide The!calculated!LoS!=!(LoS1!+!LoS2!+!LoS3!+!LoS4!+!LoS5!)!and!identify!overall!LoS!as!mentioned!below Overall!LoS Calculated!LoS Comments

1 5!N!7 The!city!has!adequate!ITS!facilities

!!

!!


! !

2

8!N!10

The! city! has! ITS! facilities! which! may! need! some! improvements! in! terms! of! Integrated!Ticketing! System,! Signal! Synchronization,!GPS/GPRS,! PIS! etc! as! some!parts! of! the! city! are!nor!served!by!it.

3

11!N!15

The! city! has!bare!minimum! ITS! facilities! and!may!need! considerable! improvements! terms!of! Integrated!Ticketing!System,!Signal!Synchronization,!GPS/GPRS,!PIS!etc!as!many!parts!of!the!city!are!nor!served!by!it.

4 16!N!20 The!city!lacks!adequate!ITS!facilities !TABLE&93&TRAVEL&SPEED&(MOTORIZED&AND&MASS&TRANSIT)&ALONG&MAJOR&CORRIDORS&

Level!of!Service

1.!Average!Travel!speed!of!Personal!vehicles!(KMPH) 2.!Average!Travel!speed!of!Public!Transport!(KMPH)

1

>=!30

>=!20

2

25!ñ!30

15!Q20

3

15!Q!25

10!ñ!15

4

<!15

<!10 Overall!Level!of!Service!of!Travel!Speed! along!major!corridors!City!wide Calculated!LoS! =!(LoS1!+!LoS2)!and!identify!overall!LoS!as!mentioned!below Overall!LoS Calculated!LoS Comments

1

2 Primarily! free! flowQ! movement! at! average! travel! speeds! usually! about! 70%! of! the! free!flow!speed!for!the!key!corridors.

2

3!N4 Small!! increase!! in!! traffic!! causing!! substantial!! increase!! in!!approach!!delay!!and!!hence,!decrease!in!arterial!speed.

3

5!N6

Significant!approach!delays!and!average!travel!speed!of!1/3!the!free!flow!speed!or!lower.!Such!!conditions!!causinga!!combination!!of!!one!!or!!more!!reasons!!such!!as!!high!!signal!density,!extensive!queuing!at!critical!intersections!and!inappropriate!signal!timing.

4

7!N8 Key!! corridors!!at!! extremely!! low!! speeds!! below!!1/3!! to!! 1/4!! of!! the!! free!! flow!! speed.!Intersection!congestion!is!likely!at!critical!signalized!locations,!with!high!approach!delays.

!TABLE&94&AVAILABILITY&OF&PARKING&SPACES&

Level!of!Service 1.!Availability!of!on!street!paid!public!parking!spaces!(%) 2.!Ratio!of!Maximum!and!Minimum!Parking!Fee!in!the!City

1

>=!75

>!4

2

50!Q!75

2!Q!4

3

25!Q!50

1!Q!2

4

<!25

1 Overall!Level!of!Service!(LoS)!for!Availability!of!Parking!Space!CityNwide Calculated!LoS!=!(LoS1!+!LoS2)!and!identify!overall!LoS!as!mentioned!below. Overall!LoS Calculated!LoS Comments

1

2 Paid! parking! spaces! are! available! in! the! city! and! the! demand! is! well! managed! by!incorporating!differential!parking!rates!for!the!CBD.

2

3!N!4

Paid! parking! spaces! are! available! in! the! city! and! the! demand! is! well! managed! by!incorporating! differential! parking! rates! for! the! CBD.! However! some! improvements!may!be!required

3

5!N!6

Paid!parking!spaces!provided!in!the!city!need!to!be!improved!upon!and!to!cater!to!the!demand! some! differential! parking! rates! for! the! CBD! have! been! adopted.! The! city!authorities!need!to!imitative!considerable!improvements!measures.

!!

!!


! !

4

7!N!8 The! city! authorities!need! to! initiate! immediate! actions!with! respect! to! providing!paid!parking!spaces!and!demand!management!for!parking.

!TABLE&95&ROAD&SAFETY&

Level!of!Service

1.!Fatality!rate!per!lakh!population

2.!Fatality!rate!for!pedestrian!and!NMT!(%)

1

<=!2!persons

<=!20

2

2!Q!4!persons

20!Q!40

3

4!Q!6!persons

40!Q!60

4

>!6!persons

>!60 Overall!Level!of!Service!(LoS)!for!Road!Safety!CityNwide

Calculated!LoS! =!(LoS1!+!LoS2)!and!identify!overall!LoS!as!mentioned!below

Overall!LoS

Calculated!LoS

Comments

1

2

Level!of!Fatality!rate!in!a!city!is!very!low.

2

3!N!4 Need!! some!! improvements!! in!! road!! design!! and!! available!! road!! infrastructure,!! traffic!management!and!in!other!such!reasons!which!significantly!contribute!to!road!safety.

3

5!N!6 Need! considerable! improvements! in! road! design! and! available! road! infrastructure,! traffic!management!and!in!other!such!reasons!which!significantly!contribute!to!road!safety.

4

7!N!8

Level!of!Fatality!rate!in!a!city!is!very!high.

!TABLE&96&POLLUTION&LEVELS&

Level!of!service*

SO2

Oxides!of!Nitrogen

SPM

RSPM!(Size!less!than!10!microns)

1!(Low) 0!Q!40

0!ñ!40

0!Q!180

0!Q!40

2!(Moderate) 40!Q!80

40!ñ!80

180!Q!360

40!Q!80

3!(High) 80!Q!120

80!ñ!120

360!Q!540

80!Q!120

4!(Critical) >!120

>!120

>!540

>!120

*!As!per!CPCB!guidelines Overall!Level!of!Service!(LoS)!for!Pollution!level!CityNwide Calculated!LoS! =!(LoS1!+!LoS2!+!LoS3!+!LoS4)!and!identify!overall!LoS!as!mentioned!below

Overall!LoS

Calculated!LoS

Comments

1

<!=!5

Level!of!pollution!in!a!city!is!very!low.

2

6!N!9

Need!some!improvements!in!emission!standards,!checking!pollution!etc.

3

10!N!13

Need!considerable!improvements!in!emission!standards,!checking!pollution!etc.

4

14!N!16

Level!of!pollution!in!a!city!is!very!high.

!

!!

!!


! !

TABLE&97&INTEGRATED&LAND&USE&TRANSPORT&SYSTEM&

Level!of!Service

1.! Population!Density! N! Gross!(Persons/Deve!loped! area! in!hectare)

2.!Mixed! LandNuse! on! Major!Transit!Corridors! /!Network! (%!area!under!non!residential!use)

3.! Intensity!of!Developme!nt!N!City!wide!(FSI)

4.! Intensity! of!development!along! transit!corridor! (FSI!transit! corridor/!FSI)

5.!Clear!Pattern!and!Completeness! of!the!network

6.! %! of! area!under!Roads

7.! %age!network!having!exclusive!ROW! for!Transit!network

1

>!=175

>!=!30

>!=!2

>!=!3 Clear! pattern! (ringQ!radial! or! gridQiron)!and! complete!network

>!=!15

>=30

2

150Q175

15Q30

1.5Q2.0

2Q3

Some! what! clear!pattern! (ringQradial!or! gridQiron)! but!somewhat!incomplete!network

12!Q!15

20Q30

3

125Q150

5Q15

1.0!Q!1.5

1.5Q2 somewhat! unclear!pattern! and!incomplete!network

10!Q12

10Q20

4

<!125

<5

<1

<1.5

no! clear! pattern!incomplete! /!sparse!network

<!10

<10

Overall!Level!of!Service!(LoS)!for!Integrated!Land!Use!Transport!system!CityNwide For!>!=1!million!population:!Calculated!LoS!=!(LoS1!+!LoS2! +!LoS3!+!LoS4!+!LoS5! +!LoS6!+!LoS7)!and!identify!overall!LoS!as!mentioned!below For!<!1!million!population:!Calculated!LoS!=!(!LoS1!+!LoS2!+!LoS3!+!LoS4!+!LoS5!+!LoS6!)!and!identify!overall!LoS!as!mentioned!below

Overall!LoS

Calculated!LoS Comments

>=! 1! million!population

<! 1! million!population

1

<=8

<=!9 City!structure!is!appropriately!planned!in!a!manner!which!patronizes!public!transport.

2

8!N15

9!N!14

City!structure!is!some!what!in!coherence!with!the!public!transport!system

3

15!N!22

14!N!20

Faint!coherence!between!city!structure!and!public!transport!system

4

22N!28 20!N!24 Inconsistency! in!the!city!structure!and!public! transport!system!leading!to!

lesser!ridership!and!high!dependence!on!personalized!motor!vehicles !TABLE&98&FINANCIAL&SUSTAINABILITY&OF&PUBLIC&TRANSPORT&BY&BUS&

Level!of!Service

1.!Extent!of!Non!fare!Revenue!(%)

2.!Staff!/bus!ratio

3.!Operating!Ratio

1

>!=!40

<!=!5.5

<=!0.7

2

20!Q!40

5.5!!Q!8.0

0.7!Q!1

3

10Q!20

8!Q!10

1!Q!1.5

!!

!!


! !

4

<!10

>!10

>!1.5 The!Overall!LoS!for!Financial!Sustainability!of!Public!Transport!by!bus!city!wide

Calculated! LoS! =!(LoS1!+!LoS2!+!LoS3)!and!identify!overall!LoS!as!mentioned!below Overall!LoS Calculated!LoS Comments

1 <!=!4 The!public!transport!of!a!city!is!financially!sustainable.

2

5!N!7 The!public! transport!of!a!city! is!financially!sustainable!but!needs!some!improvements

3

8N!9 The!public! transport!of!a!city! is!financially!sustainable!but!needs!considerable!improvements

4

10!N!12

The!public!transport!of!a!city!is!not!financially!sustainable. !

! !

!!

!!


! !

TABLE&99&BIRTH/&DEATH&REGISTRATION&

S.No.! Key!Performance!!!!!!!!!!!!!!!!!!!!!! Values!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! Frequency!of!!!!!!Geographical!

Indicator!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!Measurement!!!!Jurisdiction!for!Measurement

1

Number! of! birth/! death!registered! as! against!applied!for!registration

Registration!Q! 100%! Registration! for! those!applied! with! complete! and!accurate!application!Q! Strive! towards! 100%! for! all!Birth/! Death! in! the! assessed!area

Annually

ULB!Level

2

Timeframe!for!issuing!a!birth/!death!certificate!(new/!modified)

Timelines! for! Registration! on!receiving! the! complete! and!correct!application!Q! For! online! application! and!registration!<15!minutes!Q!For!applying!manually!Q!5!working!days

HalfQYearly

ULB!Level

3 Measurement! of! accuracy!of!certificate!issued

100%!Accurate HalfQYearly ULB!Level

4 Accessibility/! Availability! of!facilities/! services! for!registering!birth/!death

100%!Availability!of!Facilities!Timeframe:!Q!Internet!Q!24*7!Q!Kiosk/!Citizen!Facility!CenterQ8.00!am!to!9.00!pm!Q!Hospital!Q!24*7!Q! Municipal! Corporations! Q!Office!hours

Quarterly Ward!Level

5 CutQOff! Date! for! digitization!of!legacy!data

Cut!off!Date!Q!Digitized!Data!Q!Since!1st!January!1990!(Minimum)!Q!Scanned!Data!Q!Prior!to!1990

HalfQYearly ULB!Level

6 Online! availability! of! updated!status! of! applications! with!multiple!search!options

100% HalfQYearly Ward!Level

!TABLE&100&CALCULATION&AND&PAYMENT&OF&PROPERTY&TAX&

S.No. Key!Performance!Indicator

Values Frequency!of!Measurement

Geographical!Jurisdiction!for!Measurement

!!

!!


! !

1 Coverage!Of!Households!(Residential/!Commercial/! Industrial/!Other!Premises!)!In!Utility!Network

100% Annually Ward!Level

2 Number! Of! Household!(Residential/!Commercial/! Industrial/!Other!Premises!)!On!Utility!Network!On!GIS!Map


3 Automatic! Generation!Of! Utility! Bills! By!Application!Software

100% Quarterly Ward!Level

4 Timeframe! For!Automatic!Escalation!Of!Events! On! Default! To!Appropriate! Authority!For!Of!Non!Payment!Of!Utility!Bills

Escalation:!Q!1st!escalation!within!24!hrs!after!the!time!limit!is!over!Q!2nd!escalation!after!6!working!days!of!1st!escalation!Q!3rd!escalation!after!12!working!days!of!1st!escalation


5 Number! Of!Facilitation/! Service!Centers! For! Payment!Of!Utility!Bills

Criteria:!1! facilitation/! Service! center!per:!Q!1!lakh!population!or,!Q!20000Q25000!properties!or,!Q!4!to!6!Sq.!Kms.!Area

Annually Ward!Level

6 Accessibility/!Availability!Of! Facilities!For! Payment! Of! Utility!Bills

100%!Availability!of!Facilities!Timeframe:!Q!Internet/!Mobile/!ECS!!Q!24*7!Q!Kiosk/!Citizen!Facility!CenterQ!8.00am!to!11.00pm!Q! Municipal! Corporations/!Councils!Q!Office!hours


7 Availability! Of! Updated!Status! Of! All!Applications! Online!with! Multiple! Search!Options


!TABLE&101&PAYMENT&AND&MANAGEMENT&OF&UTILITY&BILLS&




1 Resolution! of!complaints! regarding!public!health!and!public!safety!services

100%!within!8!working!hours!on!Receipt!of!Complaint


!!

!!


! !

2 Addressing!Complaints!other! than! public!health! and! public!safety

100%!within!24!Hours!on!Receipt!of!Complaint


3 Adherence! to! the!response! time! as! per!citizen! charter/! statutes!for!grievance!resolution

100% Quarterly ULB!Level

4 Timeframe! For!Automatic!Escalation!Of!Events! On! Default! To!Appropriate! Authority!After! Specified! Time!Limit


HalfQYearly ULB!Level

5 Grievances! not!addressed! after! final!escalation! to! be!reflected! in! public!disclosure


6 Accessibility/!Availability!Of!Facilities/!Services!!for!Registering!Grievances

100%!Availability!of!Facilities!Timeframe:!Q!Internet!Q!24*7!Q!Kiosk/!Citizen!Facility!CenterQ!8.00am!to!11.00pm!Q! Municipal! Corporations/!Councils!Q!Office!hours

HalfQYearly Ward!Level

7 Level! Of! Awareness!Levels!Among!Citizens


8 Availability! Of! Updated!Status! Of! All!Applications! Online!With! Multiple! Search!Options


!

TABLE&102&GRIEVANCES&HANDLING&




1 Coverage! On! GIS/!MIS!Platform


2 Availability!Of!Automated!Checking!Mechanism


Provisional! Approval! 100% Annually ULB!Level

!!

!!


! !

3 Process! Based! On! Self!Certification! In!Specified!Cases

4 Automatic!Generation!Of!Acknowledgement!Receipt! By! Application!Software


5 Acknowledgement!Of! Completeness! Of!Applications!Received

100%!within!24!hours HalfQYearly Ward!Level

6 Completion! Of!!Specified! Building! Plan!Appraisal!Process

100%! within! 6! working! days!of! receipt! of! complete!application


7 Completion!Certification!Based!On!Self!Appraisal

100%!within!12!working!days!of! submission! of! self!certification


8 Verification! Of!Completion! Certificate!Issued! Based! On! Self!Certification

100%!within!90!working!days!of! receipt! of! complete!application


9 Availability! Of! Updated!Status! Of! All!Applications! Online!With! Multiple! Search!Options


!

TABLE&103&BUILDING&PLAN&APPROVAL&




1 Timelines!For!Online!Vendor!Registration

100%!within!3!working!days HalfQYearly ULB!Level

2 Online! Availability! Of!Updated! MIS! For!History! Of! Vendor!Performance

Last!day!of!each!month. Monthly ULB!Level

3 Online! Availability! Of!Information! Of!Awarded! Works! On!Web!Portal

100%!within!24!hours!of!Release

Quarterly ULB!Level

4 Online!Generation!Of!Indent

100%!and!Instantaneously Quarterly ULB!Level

5 Online! Availability!Of!Updated!MIS!For!EQ!Procurement

100%!immediately!on!the!receipt! of! the! final!product

Monthly ULB!Level

!!

!!


! !

6 Goods/! Services!Procured! By! Rate!Contract! Through! EQProcurement! Portal!Online


7 Facility! Of! Online!Payment

100% HalfQYearly Ward!Level ! !

!!

!!


! !

TABLE&104&ENPROCUREMENT&AND&PROJECT/&WARD&WORKS&



Geographical!Jurisdiction!

for!Measurement 1 Level! of! coverage! in!

terms!of!property!tax 100% Annually Ward!Level

2 Recording!of!property!on!GIS!map


3 Automatic! generation!of! demand! notice! by!application!system


4 Updation! of! self!assessment! guidelines!on!ULBs!website

Q! Existing! and! Regularized!Properties:! 100%! Updation!before! start! of! assessment! year!(1st!April)!Q!NonQRegularized!Properties:Q!100%!Updation!on!the!date!of!Regularization

Annually Ward!Level

5 Timeframe! for!automatic!escalation!of!events! on! default! to!appropriate! authority!for! of! non! payment! of!property!tax

Escalation:!Q!1st!escalation!within!24!hrs!after!the!time!limit!is!over!Q! 2nd! escalation! after! 15!working!days!of!1st!escalation!Q!3rd!escalation!after!45!working!days! of! 1st! escalation! to! State!Level!Authorities


6 Number!of!facilitation/!service!centers

Criteria:!1! Facilitation/! Service! center!per:!Q!1!lakh!population!or,!Q!20000Q25000!properties!or,!Q!4!to!6!Sq.!Km.!area

Annually Ward!Level

7 Accessibility/! availability!of! facilities! for! payment!of!property!tax

100%!Availability!of!Facilities!Timeframe:!Q!Internet!/!Mobile/!ECS!Q!24*7!Q!Kiosk/!Citizen!Facility!CenterQ!8.00am!to!9.00pm!Q! Municipal! Corporations/!Councils!Q!Office!hours


8 Availability! of! updated!status! of! all! applications!online! with! multiple!search!options


!

!

!!

!!


! !

!TABLE&105&SOLID&WASTE&MANAGEMENT&SYSTEM&




for!Measurement 1 MIS! for!online! tracking!of!data! related!

to!Service!Level!Benchmarks.!

a)!!! Household!level!coverage!of!Solid!Waste!Management!Service!

b)! ! ! Efficiency!of!collection!of!municipal!solid!waste!

c)! Extent! of! segregation! of! municipal!solid!waste!

d)! ! ! Extent!of!municipal! solid!waste!recovered/recycled!

e)! ! ! Extent!of! scientific! disposal! of!municipal!solid!waste!

f)!!!! Extent!of!cost!recovery!in!Solid!

Waste!Management!services!

g)! ! ! Efficiency!of! redressal!of!customer!complaints!

h)! ! ! Efficiency! in! collection!of! user!changes!

i)! Extent! of! processing! and! treatment!of!MSW


2 Daily!MIS! for! online! tracking! of!Data!related!to!

a)! ! ! Monitoring!on!Collection!of!waste!from!waste!storage!

b)! ! ! Primary! collection! operation! for!ward/!town/city!

c)! Monitoring! of! transfer! stations!operations!

d)! ! ! Record!of! transfer!of!waste! from!transfer!station!to!disposal!site!

e)! ! ! Vehicle! movement!

monitoring! f)! ! ! ! Drivers!

attendance!monitoring

100%! at! the!end! of! each!day!i.e.!6.00!pm

Quarterly ULB!Level

!TABLE&106&LICENSES&




for!Measurement

!!

!!


! !

1 Automatic! Generation!Of! Receipt! Number! By!Application!Software


2 Timeframe! For!Communicating!Deficiency! In! Received!Applications! To!Applicants

Within! 24!Hours! of! receipt!of!application

Annually Ward!Level

3 Timeframe! For! Approval!Of!Licenses

Within! 5! working! days! of!receipt!of!application

Annually Ward!Level

4 Automatic! Escalation!Of! Status! Of! Pending!Trade! License!Applications! To!Appropriate!Authority



5 Automatic! Generation!Of! Demand! Notice! For!Renewal!Of!Licenses


6 Automatic! Escalation!Of! Events! On! Default!(NonQ! Payment! Of!License!Renewal!Fee)

Escalation:!Q!1st!escalation!on!1st!April.!Q!2nd!escalation!after!30!days!after!of!the!1st!escalation!Q!3rd!escalation!after!90!days!of!the! 1st! escalation! and! issuance!of!license!closure!notice


7 Accessibility/! Availability!Of! Facilities! For! Payment!Of!Utility!Bills

100%!Availability!of!Facilities!Timeframe:!Q!Internet!/!Mobile/!ECS!Q!24*7!Q!Kiosk/!Citizen!Facility!CenterQ!8.00am!to!11.00pm!Q! Municipal! Corporations/!Councils!Q!Office!hours


!

TABLE&107&ACCOUNTING&SYSTEM&




for!Measurement 1 Updation! Of! Ledgers!

With! The! Receipt! Of!Taxes! And! Charges! On!The!Same!Day

100% Monthly ULB!Level

2 Payments! To! Vendors/!Employees! To! Be!Posted! On! The! Same!Day

100% Monthly Ward!Level

!!

!!


! !

3 Receivables! To! Be!Updated! Online! On! The!Same! Day! On! Which!Demand!Is!Raised


4 Payables! To! Be! Updated!On! The! Same! Day! Of!Receipt! Of! Goods/!Services


5 Generation! Of!Automated! Alerts! For!Delayed! Payments! And!Receipts

100% HalfQYearly ULB!Level

6 Reconciliation! Of!Subsidiary!Accounts!(Monthly)

100%! by! 30th! or! 31st! of!each!month


7 Closure! Of! Books/! Chart!Of!Accounts

100%! within! 30! days! of! the!end!of!the!financial!year

Year!end ULB!Level

!TABLE&108&PERSONNEL&MANAGEMENT&SYSTEM&




for!Measurement 1 Coverage!In!Terms!Of!

Availability! Of! Login!Facility


2 Online! Availability! Of!Employee! Related!Updated!Information


3 Online! Processing! Of!Dues!In! Stipulated! Time!(Details! provided! in!the!section!below)

100%!within!7!days Quarterly ULB!Level

!

!

! !

!!

!!


! !

Annexure!V:!Madhya!Pradesh!Urban!Development!Profile!

Madhya!Pradesh!has!made!significant!progress! in!the!governance!and!management!of!its! cities! in! the! past! decade.! The! state! has! effectively! leveraged! investments! from!JNNURM!and!ADB!to!develop!urban! infrastructure!and!the!service!delivery!capacity!of!its! cities.! At! the! same! time,! with! DFID! support! it! has! undertaken! a! major! urban!governance!programme!to!support!institutional!and!service!delivery!reforms!in!its!major!cities.!In!the!past!five!years,!the!State!has!mainstreamed!many!of!these!initiatives!across!all! its! urban! areas,! and! is! currently! in! the! process! of! scaling! up! an! urban! smart!governance! solution! (eQNagarpalika)! across!377! cities! and! towns! stateQwide!as!well! as!integrating!onQgoing!UADD!initiatives! in!Automated!Building!Plan!Approval,!GIS,!Urban!Sector!MIS!and!others.!!

To! strengthen! the! institutional! capacity! of! its! local! bodies,! the! State! undertook! a!systematic! review! of!municipal! staffing,! and! committed! itself! to! implementing! a! new!cadre! reform! plan.! This! reform! will! enhance,! update! and! modernising! the! municipal!administration!apparatus.!!

The! State! has! also! established! the!Madhya! Pradesh! Urban! Infrastructure! Investment!Fund!(MPUIIF)!to!facilitate! investments! in!urban!infrastructure!and!services.!A!team!of!project!advisory!consultants!presently!assist! the!State!Government!and! local!bodies! in!the!development!of!investment!projects!for!urban!infrastructure!and!services.!!

These!initiatives!provide!a!solid!foundation!for!developing!smart!cities!in!the!MP.!!

Priority(Areas(

1. Planning:!Strategic!interventions!to!improve!the!quality!of!life!in!urban!areas!!2. Smarter!basic!utilities:! Sustainable! access! to!basic! services! for! all,! including!

water,!wastewater,!drainage,!solid!waste!and!lighting!services.!!3. Transport:! InterQconnected!public! transport! linked! to! adequate! information!

on!routes!&!timings!4. EQgovernance:!Stable!integrated!system!minimises!system!inefficiencies!!5. Social! and! environmental! security:! Enhance! inclusion,! safety,! public! health,!

resilience!and!clean!energy!6. Economic!Development:!Leveraging!the!economic!potential!of!cities!

!

!!

!!


! !

!

!

!

!!

!!


! !

!

!

! !

!!

!!


! !

!

Annexure!VI:!List!of!Key!Documents!for!Reference!

1. Master!Plan!2. City!Development!Plan!3. Zonal!Plan!4. City!Mobility!Plan!5. Slum!Free!City!Action!Plan!6. Transit!Oriented!Development!Master!Plan!7. City!Sanitation!Plan!8. City!Traffic!and!Transportation!Study!9. City!Climate!Change!Strategy!10. Investment!Grade!Energy!Audit!11. Feasibility!Report!for!LRT!and!BRT!12. Madhya!Pradesh!Vision!2018!13. Madhya!Pradesh!State!Climate!Change!Action!Plan!14. Disaster!Management!Plan!15. Resilience!Strategy!Report!

!

!

!

!

!

!

!

!

!

!

!

!

!

!!

!!


! !

Annexure!VII:!List!of!organisations!involved!in!industrial!development!in!MP!

! Function! Agency!

1! Filing! of! Entrepreneur’s!memorandum!!

DTIC!

2! Identification! of! Project! Profiles,!technical!knowQhow,!surveys!

DTIC,!MSMEQDI,!MPTCOQI!!

3! Land!and!Industrial!shed! DTIC,!AKVN!

4! Land! Diversion! &! construction!permissions!

TCPO,! IDA,! IMC,! Revenue! &! Fire!Departments!

5! Financial!!Assistance!! Commercial!Banks,!SIDBI!

6! For!raw!materials!under!Govt.!Supply! NSIC!!

7! Plant!&!machinery!on!hire/!purchase! NSIC!!

8! Power/!Electricity!! MP!Electricity!Board!

9! Quality!&!Standard! BISQI!

10! Marketing!/!Export!Assistance! NSIC,!Export!Promotion!Councils,!DGS&D!

11! Other!Promotional!Agencies! CIDMAP,!MPCON,!MPCOST,!Indore!

12! Single! window! clearance! for!megaprojects!

MPTRIFAC!

13! Environmental!clearance! SIEEA!

!

! !

!!

!!


! !

End+of+Report+

+

+

+

+

+

+

For(any(clarifications(please(contact:(

Dr.(Richard(Slater(

Team(Leader,(MPUIIP(

[email protected](

(

(

Mr.(Ram(Khandelwal(

Deputy(Team(Leader,(MPUIIP(

[email protected](

(

(

(

(

(

(

(

(

Disclaimer:(The(information(and(images(provided(in(this(report(are(gathered(from(various(sources(available(on(internet.(This(report(is(for(information(purpose(only(and(the(user(of(report(must(use(their(own(discretion.(We(reserve(no(rights(or(liabilities(for(content(of(this(report.!