sustainable urban transport policy in india

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Transportation Research Record: Journal of the Transportation Research Board, No. 2317, Transportation Research Board of the National Academies, Washington, D.C., 2012, pp. 104–110.DOI: 10.3141/2317-13

EMBARQ India, World Resources Institute, Godrej and Boyce Premises, Lalbaug, Mumbai 400012, India. Corresponding author: A. Mani, [email protected].

• Appreciation of the role and policy vision for all modes [per-sonal transport, public transport, and intermediate public transport (IPT)] within a sustainable urban transport system,• Assessment of the challenges facing each mode and potential

solutions to address them, and• Development and implementation of appropriate policies to

enable cities to achieve the intended role for each mode as part of a sustainable urban transport system.

The objective of this paper is to examine the above issues for the IPT sector in Indian cities.

IntermedIate PublIc transPort

IPT refers to modes that fill the gap between private transport and formal public transport modes in cities. Depending on the size and transport characteristics of a city, IPT modes may fall under two broad categories: (a) taxi (contract carriage) services, which are flexible demand-based services in which the passenger determines the destination, and (b) informal public transport (bus-like) services characterized by shared fixed-route services with intermediate stops for boarding and alighting (3). Within the IPT sector, the two service types, taxis and informal public transport, can be further classified by the type of vehicle used for service provision. Figure 1 presents the characterization of the IPT sector in Indian cities according to service and vehicle types.

Focus on autorickshaws

Within the framework described above, the approaches to devel-oping policy solutions for service improvements would need to be different for each vehicle–service combination because of the inher-ent differences in service characteristics and challenges associated with different vehicle and service types. This paper focuses specifi-cally on policy needs for taxi (contract carriage) services provided by motorized three-wheelers (also referred to as autorickshaws) in cities. In this paper, these services are referred to as the autorickshaw sector.

The specific policy focus on the autorickshaw sector is based on the following rationale, which is supported by detailed research, analysis, and surveys:

• Against the backdrop of current urban transport trends, the autorickshaw sector forms a ubiquitous part of urban mobility in Indian cities and plays a key role in sustainable urban transport.

Sustainable Urban Transport Policy in IndiaFocus on autorickshaw sector

Akshay Mani, Madhav Pai, and Rishi Aggarwal

Autorickshaws are ubiquitous in Indian cities. They play an important role in urban mobility by serving as an intermediate public transport mode and providing taxi-like services. Despite their role in urban transport, autorickshaws have received limited policy attention at the national level, which has resulted in problems with quality of service and in environmental and safety issues. Given the critical need to promote sustainable transport in a rapidly urbanizing India, this paper presents key policy focus areas for the autorickshaw sector. These policy areas are based on a structured assessment of the importance of autorick-shaws in cities, their role in sustainable transport, the sustainability challenges facing the sector and opportunities to address them, and gaps in the current policy framework. Available literature, government and industry websites, and surveys of stakeholders (regulatory authorities and autorickshaw drivers) were used in this research. The key findings include the following: autorickshaw services play an important role in sustainable transport strategies for managing private motorization and encouraging the use of sustainable modes (public transport); however, as an unorganized sector, autorickshaw services face environmental and safety challenges caused by engine and vehicle design issues that need to be addressed to ensure the role of autorickshaws in sustainable trans-port. A policy vision is presented to promote organizational reforms and develop sustainable solutions for fuel and engine and vehicle design, and recommendations are provided on the next steps for the central government in taking the policy vision forward.

India is experiencing rapid growth in urbanization. According to a recent study, population in Indian cities will grow from an esti-mated 340 million in 2008 to 590 million by 2030 (1). In the face of this expected growth in urban population, a holistic sustainable urban transport vision becomes critical to ensure a high quality of life in Indian cities by providing faster and reliable commuting, better air quality and public health, safe transport, and equitable mobility options for all sections of society. Recent policy initia-tives by the central government, such as the 2006 National Urban Transport Policy (NUTP), aim to provide a vision for promoting sustainable urban transport in India (2). The success of this initia-tive in meeting its intended objectives will critically depend on the following factors:

Mani, Pai, and Aggarwal 105

• Despite their important role in urban transport, autorickshaws are not given sufficient attention in national urban transport policy.• The challenges facing the autorickshaw sector need to be

addressed in policies to improve the quality of service and ensure the role of the autorickshaw in sustainable urban transport.

research methodology

The findings and recommendations presented in this paper are sup-ported with information collected from a detailed literature review, online sources including news articles and government and industry websites, and surveys conducted by EMBARQ of various stake-holders in the autorickshaw sector in India. Table 1 presents a description of the surveys.

urban transPort trends

An analysis of literature on urban transport trends in India yields the following key observations:

• Growth in urban transport demand. With rapid urbanization, urban transport demand continues to grow. It is projected that total daily passenger trips in 87 major urban centers in India will more than double, from around 229 million in 2007 to around 482 million in 2031 (4).• Unprecedented growth in private motorization. According to

industry data, India’s private motor vehicle market (motorized two-wheelers and cars) grew by more than 85% from FY 2003–2004

(around 59 million vehicles) to FY 2009–2010 (around 110 mil-lion vehicles), at an average annual growth rate of close to 11% (5). Rapid economic growth, rising per capita incomes, ease of consumer financing options, and favorable government policies toward the automotive sector will continue to drive an unprecedented shift toward private motorization (6, 7).• Declining public transport mode shares. Historical trends indi-

cate that public transport mode shares have declined in Indian cities (20% to 70% declines in different-sized cities) between 1994 and 2007 (4). This decline can be attributed to the inability of public transport services to keep pace with rising demand, coupled with increasing private motorization in cities (4).• Declining mode shares for nonmotorized transport (NMT). NMT

mode shares (walking and cycling) have declined in cities. Cycling mode shares fell from an average of 30% in 1994 to less than 11% in 2007, a decrease attributed to an increase in average trip lengths caused by urban sprawl and inadequate infrastructure for cycling, as well as unprecedented growth in private motorization (4).

These trends depict a shift in Indian cities away from public transport and NMT modes to an increasing use of private motor vehicles.

ImPortance oF autorIckshaw sector In cItIes

market size and sales trends

The market size of autorickshaws in cities currently varies from around 15,000 to 30,000 in Tier II cities (population between 1 and 4 million) to more than 50,000 in Tier I cities (population greater than 4 million). Based on population statistics, it is estimated that these cities have, on average, from four to 16 autorickshaws serving every 1,000 people (Figure 2).

Industry statistics on autorickshaw production and domestic sales over the past few years show that the autorickshaw market has contin-ued to grow (Figure 3). Domestic sales are driven both by the growing autorickshaw market, particularly in Tier II and Tier III (population less than 1 million) cities, and by replacement sales (scrappage of old vehicles and their replacement with new vehicles) in Tier I cities.

mode shares and user characteristics

Analysis of mode shares for four cities showed that autorickshaws serve from 10% to 20% of daily person trips made on motorized road

FIGURE 1 Characterization of IPT sector in Indian cities.

TABLE 1 EMBARQ Surveys Performed in September 2010

Survey Participants Description

Regional transport offices

Surveys of regional transport offices of eight major Indian cities: Delhi, Mumbai, Chennai, Bangalore, Pune, Rajkot, Surat, and Jaipur

Information collected on regulatory policies (permits, fares), and market characteristics (market size, vehicle characteristics)

Autorickshaw drivers

Surveys of autorickshaw drivers in major cities: Mumbai, Pune, Rajkot, Surat, and Jaipur (approximately 50 drivers surveyed in each city)

Information collected on regulatory policies, vehicle and operating characteristics, and driver issues, such as access to financing

106 Transportation Research Record 2317

transport modes (Table 2). For these cities, autorickshaws consti-tuted a small percentage (2% to 11%) of the total number of vehicles, but they accounted for relatively higher mode shares (10% to 20%) because they served multiple users over the course of a day or night.

Characteristics of autorickshaw users were assessed in terms of trip purposes served by autorickshaws. Table 3, which is based on avail-able published statistics, shows the mode share of autorickshaws for various trip purposes. As seen in the table, autorickshaws serve not just the working population, but are an important mode for stu-dents for education trips and for women and families for social and recreational trips.

The statistics presented in Figures 2 and 3 and Tables 2 and 3 on autorickshaw market size, domestic sales trends, and mode shares highlight the importance of the autorickshaw sector in urban trans-port. Given the importance of promoting a holistic sustainable trans-port system in cities, as envisioned in NUTP, it is critical to assess the role of autorickshaws in sustainable urban transport (2).

Current PoliCy FoCus on AutoriCkshAw seCtor

NUTP is the key guiding policy framework at the national level focusing on urban transport in India. It was launched in April 2006 by the Indian government in response to growing concerns about urban transport problems such as congestion, deteriorating road safety, and

air pollution caused by the rapid growth in personal motor vehicles. The key objective of NUTP is to ensure safe, affordable, quick, com-fortable, and reliable access for the growing urban population to jobs, education, recreation, and other transportation needs (2).

A review of NUTP reveals that, given its underlying rationale of people-based transport planning, the NUTP framework primarily focuses on planning and investments in public transport and NMT systems in cities and gives limited attention to the autorickshaw sector (2). NUTP envisions the primary role of autorickshaws as a mode that serves “occasional trips such as trips to airports or rail stations with excessive baggage, or emergency trips that have to be undertaken immediately when it is not possible to wait for public transport” (2). Given the increasing use of autorickshaws in response to the lack of good-quality urban public transport services, NUTP stresses the need to restore autorickshaw services to their normal role by improving public transport services.

The following insights can be gathered from the NUTP treatment of the autorickshaw sector:

• The role of autorickshaws in cities as part of an integrated public transport system (as feeders) and in providing door-to-door connec-tivity for social and educational trips is not adequately recognized.• Beyond suggesting improving public transport as a way to restore

autorickshaw services, NUTP does not provide a specific policy vision for the autorickshaw sector based on an assessment of the challenges, if any, facing the sector, and opportunities to address them.

18

16

14

12

10

8

6

4

2

0Rajkot (1.5)Jaipur (3.2)Chennai (4.6)Pune (3.5)Delhi (12.6)Ahmedabad

(4.0)Bangalore

(5.4)Mumbai(13.8)

180,000

160,000

140,000

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FIGURE 2 Market size of autorickshaws for selected Indian cities in 2010. [Source: Data on city population obtained from World Gazetteer (8); data on market size obtained from EMBARQ Regional Transport Office surveys (unpublished data).]

700,000

600,000

500,000

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2003-04

Annual Production Annual Domestic Sales Annual Export Sales

2004-05 2005-06 2006-07 2007-08 2008-09 2009-10

Nu

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FIGURE 3 Trends in autorickshaw production and sales, FY 2003–2004 to FY 2009–2010 (9).


• Because the autorickshaw sector in cities is regulated by state transport departments, another important gap in NUTP is the lack of policy guidance to states on approaches for assessing shortcomings, if any, in existing state policies related to the autorickshaw sector and develop specific policy solutions to address them.

The following section presents the rationale for why it is important to give dedicated policy attention to the autorickshaw sector, based on an assessment of the role of autorickshaws in sustainable urban transport.

role oF autorIckshaws In sustaInable urban transPort

need for sustainable urban transport

According to the criteria defined by the former European Union Council of Ministers of Transport (15), a sustainable urban transport system is one that supports

• Environmental sustainability, minimizing pollution and waste within the planet’s capacity to absorb them and limiting the generation of noise and impacts on the use of land;• Road safety, ensuring safe access to jobs, education, and other

social needs for all sections of society; and• Social equity, promoting equity in society by offering choices

in transport modes, being affordable for all sections of society, and supporting a competitive economy.

As discussed in the section on urban transport trends, Indian cities are moving away from historically sustainable transport patterns (predominant use of public transport and NMT modes) toward unsustainable transport (increasing use of private motor vehicles). These transport trends are leading to significant impacts on the environment and road safety in cities. Private motor vehicles are the single largest contributors of total emissions (between 50% and 90%) by the passenger road transport sector in cities (4). The impacts of unsustainable transport trends are also visible in terms of deteriorat-ing road safety in cities. A comprehensive study by the Ministry of Urban Development of road fatalities and transport characteristics in 30 cities found that cities with public transport services were safer than those without them and concluded that improving public trans-port (and reducing private motor vehicle use) should be a key strategy for cities to improve road safety (4).

The discussion above indicates the urgent need in cities to mitigate the environmental and social costs of current transport trends by stall-ing and preventing the shift from sustainable to unsustainable trans-port. The current globally accepted strategy for achieving a sustainable transport system, referred to as the “avoid–shift–improve framework,” is based on three key approaches (16):

• Avoid. Integrate land use and transport planning in cities to avoid unnecessary trips and reduce trip lengths.• Shift. Enable a shift from unsustainable to sustainable transport

modes (or prevent the reverse shift) through a two-pronged strategy of (a) managing the growth of private motorization and (b) providing attractive sustainable transport alternatives, including NMT and public transport.• Improve. Improve fleet vehicle and fuel technology in all modes

to mitigate the environmental impacts of transport.

There is a significant opportunity to implement the approaches dis-cussed in the avoid–shift–improve framework to meet the goal of retaining and promoting sustainable urban transport systems.

role of autorickshaws in avoid–shift–Improve strategies

The role of autorickshaw services, in particular, will be important within the shift strategy of the avoid–shift–improve framework, based on the following aspects:

• The autorickshaw is a key part of integrated public transport. In addition to performance indicators such as frequency, comfort,

TABLE 2 Autorickshaw Mode Shares Compared with Share of Autorickshaws of Total Vehicle Population for Selected Indian Cities (10–13)

City

2010 Population (millions)

Autorickshaw Mode Share (% of motorized road transport modes)

Autorickshaws (% of total vehicles) Year

Mumbai 13.8 20 11 2005

Rajkot 1.5 16 2 2007

Bangalore 5.4 13 3 2005

Pune 3.5 11 3 2007

Source: Autorickshaw and total vehicle population data obtained from EMBARQ Regional Transport Office surveys, unpublished data.

TABLE 3 Autorickshaw Mode Shares for Different Trip Purposes for Selected Indian Cities (14)

City2010 Population (millions) Work (%) Education (%)

Social and Recreation Trips (%) Year

Delhi 12.6 10 23 22 2001

Hyderabad 4.1 4 7 12 2003

Pune 3.5 5 17 23 2008

Patna 1.9 5 23 17 2009

Note: Mode share data represent percentage of trips under each trip purpose that occurred on autorickshaws. For example, in Delhi, 10% of work trips and 23% of educational trips occurred on autorickshaws. Social trips represent trips for shopping, health care, and other social needs.


and safety, providing accessibility is an important aspect of public transport for retaining as well as attracting users. Autorickshaw ser-vices integrated as a feeder mode and providing first- and last-mile connectivity for public transport services will ensure that public transport is accessible to all parts of a city. Janmarg, Ahmedabad’s bus rapid transit system, has demonstrated that successful integration of autorickshaw services as a feeder mode is a key aspect of ensuring accessibility and attracting users to the system (17).• The autorickshaw provides door-to-door service as an alterna-

tive to private motor vehicles. Implementing demand management strategies to mitigate the growth of private motorization without pro-viding alternatives for door-to-door transport service (which cannot in all cases be provided by public transport) will be challenging and may also be counterproductive. The door-to-door on-demand service provided by autorickshaw services will be important in addressing this issue.

It is also important to assess whether autorickshaw services meet sustainable transport parameters. The next section specifically explores the sustainability aspects of autorickshaws relative to envi-ronmental sustainability and road safety and presents opportunities for improvements.

sustainability aspects of autorickshaws

Emissions Performance

The emissions performance of on-road autorickshaws is an impor-tant aspect of the overall environmental sustainability potential of the autorickshaw sector. Autorickshaw emissions are an important concern for cities with a large fleet of conventional two-stroke autorickshaws because of two major factors: the unorganized nature of autorickshaw services and the limitations of the government’s inspection and certi-fication program (14). As a result of these two factors, autorickshaws can become a significant source of particulate matter (PM) emis-sions. For example, more than 80% of the autorickshaws in Rajkot, Surat, and Pune run on conventional two-stroke engines (EMBARQ Regional Transport Office surveys, unpublished data).

The primary factors contributing to high levels of PM emissions from two-stroke autorickshaws include scavenging losses, misuse of lubricating oil, inadequate maintenance, and poor performance or lack of catalytic converters (18). High ambient concentrations of PM in cities in developing countries are of concern because of their documented adverse impacts on public health (18).

Addressing the PM emissions problem from two-stroke auto-rickshaws is thus an important aspect of ensuring environmental sus-tainability in the autorickshaw sector. However, there are challenges associated with addressing this problem. Kojima et al. reported that the cost-effectiveness of catalytic converters for controlling PM emissions on two-stroke autorickshaws may be an issue because of the deactivation of the catalyst under high exhaust temperatures (19). Reynolds et al. suggested that two-stroke engines may not be the best choice for the use of clean fuels such as compressed natural gas (CNG) and stated that PM emissions from two-stroke autorickshaws “cannot be dramatically reduced by switching to a clean fuel” alone because of the inherent problems of scavenging losses (20). Moving from two-stroke to four-stroke engines is the best option for gasoline engines from the perspective of reducing PM emissions; these benefits can be further amplified by using CNG with four-stroke engines (20).

Initial findings on the economic feasibility of CNG indicate that CNG is preferable to gasoline because of its lower operating

costs (EMBARQ autorickshaw driver surveys, unpublished data). Although CNG may be a potentially viable option from both eco-nomic and environmental perspectives, the long-term availability of CNG supplies in cities would be an important consideration that would determine its viability for the autorickshaw sector.

Operational inefficiencies, such as empty trip kilometers, also contribute to excess emissions from autorickshaws. Up to 25% of total daily kilometers traveled by autorickshaws in Mumbai and Rajkot are empty trips (EMBARQ autorickshaw driver surveys, unpublished data). Opportunities to address the environmental impacts from empty trips include driver training and awareness, introduction of fleet companies, and dispatch services that use smart technology such as Global Positioning System devices.

Road Safety

Any discussion of road safety issues surrounding motorized transport modes should focus not only on the safety of in-vehicle passengers but also on the safety of NMT users (pedestrians and cyclists). This is particularly true in Indian cities, where average NMT mode shares are close to 40% (4). More importantly, NMT accounts for a significant share of road fatalities. For example, from 2003 to 2004, pedestrian fatalities were 78% and 53% of total road fatalities in Mumbai and Delhi, respectively (21).

Autorickshaws’ unique three-wheeled design and slower speeds make them particularly safe for pedestrians. This advantage was corroborated by EMBARQ in a comparison of data from Mumbai and Bangalore on pedestrian fatalities and modal person kilometers traveled. This analysis assessed the pedestrian safety of different modes (autorickshaws, buses, cars, and motorized two-wheelers) relative to their contribution to pedestrian fatalities (Figure 4). The numbers in parentheses in Figure 4 represent pedestrian fatality rates, that is, the number of pedestrian fatalities per 100,000 person kilometers traveled. Autorickshaws were the second-safest motor-ized mode of travel for pedestrians, relative to pedestrian fatalities, in both Mumbai and Bangalore. This inference is consistent with information presented by Mohan and Roy, who stated “because of lower speeds and lighter weights, they [autorickshaws] can’t produce fatal accidents among pedestrians and bicyclists easily as compared to cars” (23).

Though autorickshaws contribute to lower pedestrian fatalities, there is a critical need to enhance the safety of autorickshaw drivers and passengers. The growth in private motorization in cities means that autorickshaws are increasingly sharing urban roads with faster-moving private vehicles. These mixed-traffic flow conditions, cou-pled with the open design features of autorickshaws, increase the vulnerability of drivers and passengers to potentially severe impacts in the event of a crash. There are opportunities to enhance safety through improvements in vehicle design, such as the use of seat belts and protective shields, to reduce the risk of autorickshaw occupants in dangerous crashes.

The above sections highlight the importance of autorickshaw ser-vices in sustainable transport and the opportunities to improve services to address environmental sustainability and road safety issues.

reForm needs

Autorickshaw services are unorganized, as services are provided by individual owner–drivers or renter–drivers and not by organized fleet companies. Two major quality of service and environmental chal-


lenges facing the autorickshaw sector are a result of its unorganized structure:

• Driver behavior. There is no organized means of training drivers on issues such as proper behavior toward passengers and the need to maintain a unified brand image. Poor driver behavioral practices are most commonly seen in the form of refusals for short trips and other unprofitable destinations. Such refusals, which are a manifestation of inadequate training coupled with underlying economic issues of high capital and operating costs, lead to poor quality of service.• Two-stroke autorickshaws. The prevalence of two-stroke

autorickshaws in many cities stems from the unorganized nature of the sector, as individual drivers prefer two-stroke vehicles for the perceived benefits of the lower cost of spare parts and the ability to repair the engine themselves instead of going to a servicing center. The negative environmental impacts of two-stroke autorickshaws are discussed above.

way Forward

Policy Vision for autorickshaw sector

The findings presented in this paper corroborate the need for a pol-icy vision for the autorickshaw sector that would formalize its role in the urban transport system and incorporate solutions to improve quality of service and meet environmental sustainability and road safety objectives. A comprehensive policy vision should include the following key components.

Regulation Based on Market Characterization

In regulating the supply of autorickshaw services in cities, Schaller’s research on market characterization for the taxi mode is pertinent (24). According to Schaller, taxi services have three important customer

markets: dispatch, street hail, and stand. In the dispatch market, cus-tomers prearrange a trip through a taxi company; in contrast, street hails and stands are walk-up markets (i.e., customers walk to get a taxi on the street or at a taxi stand). Schaller examined the impacts of regulatory control policies on taxi service characteristics based on the experience of U.S. and Canadian cities. While the research cautions that taxi regulatory decisions should ultimately be based on unique local attributes, its findings on the relationship between regulatory policies and market characteristics hold important lessons for policy making in the autorickshaw sector:

• For a predominantly dispatch market, policies should focus on the entry of fleet companies, with entry qualifications with or without limits on fleet size.• For a predominantly walk-up market, a lack of regulation can

lead to oversupply and deterioration of service quality. This market should regulate the number of taxicabs, with periodic adjustments based on changes in demand.• For a mixed market (dispatch and walk-up), a two-tiered policy,

with entry qualifications for fleet companies serving the dispatch market and closed entry for walk-up markets, should be implemented.

The policy vision should ensure that an enabling regulatory envi-ronment is created for the entry of organized fleet companies in the autorickshaw sector. There are significant opportunities to achieve environmental sustainability in autorickshaw services through pro-moting fleet autorickshaw companies. In addition to improving qual-ity of service through technology innovations and marketing, fleet companies can (a) eliminate the barriers to financing that currently exist in the unorganized sector and (b) take advantage of economies of scale to achieve the transformation from two-stroke to four-stroke autorickshaws. Recent initiatives such as the Radio Tuk Tuk service in Gurgaon indicate that organizational reforms are being introduced in the autorickshaw sector, and there are opportunities to replicate them in other cities (25).

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FIGURE 4 Comparison of pedestrian safety across motorized modes in (a) Mumbai (2008) and (b) Bangalore (2007) (10, 12, 22) (PKT = person kilometers traveled). (Source: Mumbai fatality data obtained from Mumbai Traffic Police.)


Environmental Sustainability and Road Safety

The policy vision should also consider the following issues in promoting environmental sustainability and road safety in the autorickshaw sector:

• Development of an engine and fuel policy for the autorickshaw sector based on the lessons learned from successes and failures of (a) two-stroke to four-stroke engine conversion initiatives and (b) local and regional initiatives on CNG conversion in the autorickshaw sector on the long-term economic and environmental feasibility of CNG fuel and four-stroke engines; and• Development of a vehicle design policy to enhance road safety

through consultation with autorickshaw manufacturers and research institutes such as the Automotive Research Association of India.

next steps

The Ministry of Urban Development of the government of India is the nodal agency for the promotion of sustainable transport in cities. Given the important role of the autorickshaw sector in urban mobil-ity and sustainable urban transport and the pressing need to address the challenges faced by the sector, the ministry should take the lead in moving the policy vision outlined in this paper forward. However, the development and implementation of transport policies for cities come under the purview of state government transport departments. Therefore, it is envisioned that the role of the Ministry of Urban Development in this regard would be to act as the nodal agency in developing and disseminating guidelines for states for implement-ing the policy vision. The objective of these guidelines would be to give direction to states to enhance their current policy frameworks with regard to the autorickshaw sector to promote organizational reforms and ensure improvements in quality of service, environmental sustainability, and road safety.

acknowledgments

The authors thank Dario Hidalgo and Janet Ranganathan of the World Resources Institute, Narayan V. Iyer, and Nancy Kete for their valu-able comments, which helped strengthen the content and structure of the paper.

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The Transportation in the Developing Countries Committee peer-reviewed this paper.

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