Methodology

Abstract

This chapter describes the methodology of the toolkit. Phase I of the project defined the scope and framework which asked critical research questions about institutional actors and decision-making processes, leading to qualitative indicators of governance. Phase 2 was the development of the toolkit which consisted of sets of qualitative research questions, whose answers generated indicators that help to capture the quality of the decision-making process. Phase 3 saw the application of the TGI toolkit in the pilot cities (New Delhi, Bengaluru, Mysuru, Durgapur, Asansol, Siliguri, Kolkata, Chennai, Tiruchirappalli and Coimbatore), its review and refinement. The assessment teams were asked to assess each element as per the provided guidelines. Across the 10 cities in 3 states, a total of 29 different agencies were assessed and 381 indicators were evaluated by the 4 teams. The fourth phase is about expanding the application of the toolkit, building capacity and networks and advocacy.

Appendices

Annexure 4.1: Participants from consultative workshops (June 2014)

Bangalore: Ashwin Mahesh (Mapunity), Nitin Pai (Takshashila) and Sudhir Palibetty (B-PAC). Delhi: Geetam Tiwari, Dinesh Mohan (IIT Delhi/TRIPP), Anumita Roy Chowdhary(CSE), Rajendra Ravi (IDS) and Amit Bhatt (WRI).

Annexure 4.2: Participants from preliminary review workshop (June 2014)

Deepak Baindur (IIHS), ParthaBosu (Clean Air Asia), Raj Cherubal (City Connect), Akshay Mani, Roshan Toshniwal (WRI), Sanskriti Menon, Amar Karan, Avinash Madhale, Kalyan Tanksale (CEE), Vivek Vaidyanathan (TU DELFT), Preeti Pansare (Architect), Yacoub Kuruvilla (TISS), Sulakshana Mahajan (MTSU), Smita Waingankar(TISS), Dhanuraj D (CPPR, Kochi), Laasya Bhagavatula (ICLEI), Shantanu Dixit (Prayas), Shweta Pathak (Janwani), Prof Jyoti Chandiramani (Symbiosis School of Economics) and Sumedh Gurjar (YASHADA).

Annexure 4.3: Participants from final review workshop (July 2014)

Robin King (WRI), Althea Muriel Pineda (ASoG, Manila), Thusitha Sugathapala (SLSEA), Prashanta Khanal (Clean Air Nepal), Jaya Dhindaw (CISTUP, IISC), Madhavi Rajadhyaksha (Janaagraha), Vinay Sreenivasa (Hasiru Usiru), Debolina Kundu (NIUA), Akshima Ghate (TERI), Rishi Agarwal (ORF), Vijay Kowali (IBI Group), Akshay Mani, Anjali Mahendra, Amit Bhat (WRI), Bharath Jairaj (WRI), Dr. Kala Seetharam Sridhar (CRUA, ISEC) Deepak Baindur (IIHS), Sameera Kumar (Clean Air, India), Shabbir Sheikh (CGG, Hyderabad), Ashok Sreenivas (Prayas), Sanskriti Menon, Avinash Madhale(CEE), Shreya Gadepalli (ITDP) and Ravi Gadepalli (Shakti).

Annexure 4.4: Participants from governance issues workshop (September 2014)

Bharath Jairaj, Akshay Mani (WRI), Dinesh Mohan (IIT-Delhi), Shabbir Sheikh (CGG, Hyderabad), Jessica Sedon (Okapi Consultants), Anvita Arora (iTrans), Rajendra Ravi (IDS), Amita Bhide (TISS) and Anumita Roy Chowdhary (CSE).

Annexure 4.5: TGI Advisory Board Members’ List

(Late) Dr. Samuel Paul, Public Affairs Centre, Bangalore

Dr. O.P. Agarwal, CEO, WRI India

Dr. Ashwin Mahesh, Mapunity, Bangalore

Dr. Abhijit Lokre, CEPT, Ahmedabad

Dr. Jessica Seddon, WRI

Dr. Dinesh Mohan, IIT-Delhi.

Annexure 4.6: List of Officials and Documents Consulted by Assessment Teams, Delhi, Durgapur and Siliguri, Kolkata and Trichy

City	Indicator	Officials	Documents
Bengaluru	Planning	Commissioner	CTTP Accessed from (http://praja.in/hi/gyan/bangalore-cttp-2007)
		Joint Director	National Urban Transport Policy (NUTP) (2006)
		Transport Planners
		Traffic Engineers	Comprehensive Mobility Plan (CMP 2011) Accessed from (https://wricitieshub.org/sites/default/files/Comprehensive%20Traffic%20and%20Transportation%20Plan%20for%20Bangalore.pdf)
		Travel Demand Modelers
		Civil Engineers and other staff
	Standards	Directorate of Urban Land Transport (DULT): Technical Head-Traffic Engineering	Guidelines for Pedestrian Infrastructure (Version 1.0 2014): DULT is the planning body which prepares parking policy, Pedestrian policy (Non-motorised Policy) for Karnataka including Bengaluru, Mysuru & Hubli-Dharwad. Hence a hard copy is available with DULT
		Public Transport Specialist
		Transport Planner
	Policy	Executive Engineer, BBMP	KMC Act of 1976, Translated version of BBMPs: Accessed from: (http://bbmp.gov.in/documents/10180/460906/14+of+1977+%28E%29%201976.pdf/7b2053a6-40c7-4026-b69a-9c91f6d5422a)
		Executive Engineer, Road Infrastructure, Traffic Engineer Cell (TEC)-BBMP	Parking policy 2013 (Parking Management Plan (PMP)): Soft copy is not available. Hard copy is available with DULT
		Assistant Engineer, Traffic Engineer Cell (TEC)-BBMP	Policy Paper for Pedestrian Movement-In the Bangalore Metropolitan Region Draft Report (2008): Soft copy is not available. Hard copy is available with DULT
			Draft Report (2008)
	Regulatory authority	Chief Statistical Officer	A copy of Tariff revision, proposal Soft copy is not available. Hard copy is available with KSRTC, Bangalore. Also see (http://www.mybmtc.com/vision-and-mission), regulatory decisions particularly tariff hike
		Assistant Traffic Superintendent
		Assistant (establishment)	Annual Administrative Report (2012–13), BMTC Hard copies are available with BMTC. For Annual Administrative Report 2011-12 access (https://www.ksrtc.in/pages/annual-administration-report.html)
		Chief Traffic Manager (O)Operations, BMTC
		Administrative Officer	The Government of Karnataka, Karnataka State Road Transport Corporation (Cadre & Recruitment) Regulations (1982); A copy of KPPTC Act (1982) Accessed from: (http://mybmtc.karnataka.gov.in/storage/pdf-files/KSRTC%20(Cadre%20&%20Recruitment)%20Regulations%201982.pdf)
		Assistant Executive Engineer
		Superintendent
		Assistant Traffic Engineer, BMTC
			A copy of Proceedings of Government of Karnataka dated 3 June 2000. Soft copy is not available. Hard copy is Available with KSRTC
	Executive authority	Chief Statistical Officer, Administrative Officer, Assistant (Establishment) & Superintendent (Establishment); Assistant Statistical Officer; Divisional Traffic Officer; Chief Engineer (Civil) Zone-1;-BMTC
		Administrative Officer	Annual Administrative Report (2013–14), BMTC
		Assistant (establishment)
		Superintendent (establishment)	A copy of KPPTC Act (1982)
		Assistant Statistical Officer	Citizen Charter-BMTC Accessed from: (http://mybmtc.karnataka.gov.in/storage/pdf-files/Citizen%20charter-2013.pdf)
		Divisional Traffic Officer	KSRTC Employees (Performance Appraisal Reports) Regulations (1985), BMTC Accessed from (http://www.mybmtc.com)
		Chief Engineer (Civil) Zone-1, BMTC
		Joint Director, DULT
		Deputy General Manager-NURM-KUIDFC	A copy of DPR-TTMC-2006 project & RFP-ITS project-BMTC ix. Karnataka Transparency in Public Procurement Act (1999), Accessed from: DULT website (http://www.urbantransport.kar.gov.in) on Impact studies on TTMCs in Bangalore
		Chief Engineer (Civil) Zone-1
		Managing Director—KUIDFC
	Budgeting	Chief Accounts Officer	Annual Administrative Report 2013–14-KSRTC Accessed from: (https://www.ksrtc.in/pages/annual-administration-report.html)
		Financial Advisor-BMTC
		Accounts Superintendent
		Deputy Chief Accounts Officer (CAO), Central Office, Corporate Office, Bangalore	Annual Administrative Report (2012–13) Accessed from: (https://www.ksrtc.in/pages/annual-administration-report.html)
		Accounts Supervisor, Central Office, Corporate Office
Mysuru	Executive authority	Administrative Officer, KSRTC, Mysuru	Annual Administrative Report 2013–14-KSRTC
		Assistant Administrative Officer, Department, Human Resource Department, Central Office, Corporate Office, Shanthinagar	A copy of KPPTC Act (1982)
			Citizen Charter-KSRTC Soft copy is not available
			KSRTC Employees (Performance Appraisal Reports) Regulations (1985)—Performance Appraisal Reports) Regulations (1985) Accessed from: (http://mybmtc.karnataka.gov.in/storage/pdf-files/KSRTC%20Employees%20) (Performance%20Appraisal%20Report%20Regulations%201.pdf). Hard copy is available with KSRTC
			KSRTC webpage (www.ksrtc.com)
			A copy of DPR-ITS, 2006 project Karnataka Transparency in Public Procurement Act (1999) Accessed from: (http://www.asrtu.org/wp-content/uploads/2016/06/Intelligent_Transport_System_for_KSRTC_Mysore_Detailed_Project_Report.pdf)
			Karnataka Transparency in Public Procurement Act (1999)
		Chief Personal Manager (Recruitment), Human Resource Department, KSRTC, Central Office, Bangalore
		Administrative Officer (Department of Personnel), Human Resource Department (HRD), Central Office, Corporate Office, Bangalore
		(On Annual Reports/Action Plan/Strategic Plans), Assistant Statistical Officer (ASO), Central Office, Corporate Office, KSRTC, Shanthinagar, Bangalore
		Chief Planning & Statistical Officer, KSRTC-Central office, Sarigebhavana, K.H. Road, Shanthinagar, Bangalore
	Policy	Commissioner, Mysore City Corporation	CMP—2012
		Engineer (Superintendent), Mysore City Corporation	Minutes of the meetings
			KMC Act of 1976 Accessed from: (http://bbmp.gov.in/documents/10180/460906/14+of+1977+%28E%29%201976.pdf/7b2053a6-40c7-4026-b69a-9c91f6d5422a)
			Mysuru’s Parking policy 2012. Soft copy is not available. Hard copy is available with Mysore City Corporation
			Copy of Minutes of the meeting and Parking policy (Kannada) was received from the Corporation of Mysore
	Budget	Deputy Chief Accounts Officer (CAO), Central Office, Corporate Office	Annual Administrative Report (2012–13)
		Accounts Supervisor, Central Office, Corporate Office
	Regulatory authority	Divisional Traffic Officer, Central Office, Corporate Office	Annual Administrative Report (2012–13)
		Vice Chairman	A copy of Proceedings of Government of Karnataka, Letter No TR. Open: GEN: 01: 1272:2000–01 dated 30 June 2000
		Managing Director, Karnataka State Road Transport Corporation, Bangalore
Delhi	Planning	ICLEI	Delhi Decongestion Plan, MOUD 2016 http://mohua.gov.in/upload/uploadfiles/files/Decongesting_TrafficDelhi06.pdf
			Report of High Powered Committee on How to Decongest Delhi, MOUD 2016 http://mohua.gov.in/upload/uploadfiles/files/Decongesting_TrafficDelhi06.pdf
	Standards	Professor, IIT, Delhi	Circular on Urban Road codes by Ministry of Urban Development, October 2013 http://www.indiaenvironmentportal.org.in/files/file/Urban%20Road%20Code%20of%20Practice.pdf
		ICLEI	Website of Ministry of Urban Development, Urban Transport Section (http://moud.gov.in/sites/upload_files/moud/files/Part_I_Cross_Section.pdf)
			URDPFI guidelines in 2014 http://www.naredco.in/notification/pdfs/Volume%20II%20B%20-%20Appendices%20of%20URDPFI%20Guidelines%202014.pdf
			1986, Allocation of Business Amendment 188, 29 October
			Official mandate of Ministry of Urban Development: http://moud.gov.in/sites/upload_files/moud/files/Mandate_updated.pdf
			Gazette of India Extraordinary vide S.O. No. 2065(E) dated 7 August 2009. http://uttipec.nic.in/writereaddata/linkimages/5231506496.pdf
			UTTIPEC Street Design Guidelines, DDA (http://smartcities.gov.in/upload/uploadfiles/files/StreetGuidelines_DDA.pdf)
			1986, Allocation of Business Amendment 188, 29 October—Soft copy is not available, available with concerned authority
			UTTIPEC Street Design Guidelines, DDA http://smartcities.gov.in/upload/uploadfiles/files/StreetGuidelines_DDA.pdf
			Web portal of UTTIPEC, Minutes of Governing Body section, http://www.uttipec.nic.in/index1.asp?linkid=69&langid=1
			• The Delhi Development Act (1957) [61 of 1957, dated 27 December 1957] http://egazette.nic.in/WriteReadData/1957/E-2142-1957-0048-97085.pdf
			Personal Communication with Former Director, UTTIPEC, December 2015
	Policy	Manager (Urban), ICLEI South Asia	“The Delhi Development Authority: Accumulation without Development”. A report of the Cities of Delhi project, Centre for Policy Research, New Delhi, December-2014 https://docplayer.net/92520906-The-delhi-development-authority.html
		Former Director, UTTIPEC Unified Traffic and Transportation Infrastructure (planning & engineering) centre (UTTIPEC)	Gazette of India Extraordinary vide S.O. No. 2065(E) dated 7 August 2009. http://uttipec.nic.in/writereaddata/linkimages/5231506496.pdf
			Transit Oriented Development Policy for Delhi, Ministry of Urban Development, January, http://pib.nic.in/newsite/PrintRelease.aspx?relid=123246
			Master Plan of Delhi: 2021, the Gazette of India, 14 July 2015 (http://uttipec.nic.in/writereaddata/linkimages/2639737679.pdf)
			Review of master plan 2021 (http://dda.org.in/mpd2021rsms/_layouts/openoffice/suggestion.aspx)
	Executive authority	Chief Engineer (Projects), PWD, Delhi	CPWD Works manual 2012, http://cpwd.gov.in/publication/worksmanual2012.pdf
		Director (Works), PWD, Delhi	PWD Govt of Delhi (https://pwddelhi.com/UI/Home/Organization.aspx)
		Former Director, UTTIPEC	Annual Report CPWD, http://cpwd.gov.in/AnnualReport/report2008-2009.pdf
			Manual PWD, RTI Section, Web portal of PWD Delhi, https://pwddelhi.com/UI/Home/RTIDetails.aspx?enc=LxCW/tg0Jm3FrA76oRt8TA==
			Web portal of PWD, Govt of Delhi, https://pwddelhi.com/UI/Home/FAQ.aspx
			CPWD Works Manual, Published under the Authority of Director General, CPWD, New Delhi, pp. 80–90, http://cpwd.gov.in/publication/worksmanual2012.pdf
			PWD Govt of Delhi (http://www.cpwd.gov.in/Publication/worksmanual2014.PDF)
	Budgeting	Director (Works), PWD, Delhi	CPWD Works Manual, Published under the Authority of Director General, CPWD, New Delhi, p. 260, Section 47, http://cpwd.gov.in/publication/worksmanual2012.pdf
			2014, Report of the Comptroller and Auditor General of India on Social, General and Economic Sectors, Govt of NCT of Delhi, 31 March http://www.cag.gov.in/sites/default/files/audit_report_files/Delhi_Report_2_2015.pdf
Durgapur– West Bengal	Planning	Town Planner, ADDA	West Bengal Town and Country (planning and development) Act (1979) amendment 2013
		IAS, CEO ADDA	The Mobility Improvement Plan (2008) and Land-use and development Control Plan (2010) was assessed
			West Bengal Town and Country Planning Act (1979), 74th Amendment of Indian Constitution
	Executive authority	Executive cell of Asansol Durgapur Development Authority	WBT&CP Act (1979)
		Executive Engineer, ADDA	West Bengal Town and Country (planning and development) Act (1979) amendment 2013—Soft copy is not available
		Planning Directorate KMDA
		Director General, Planning KMDA
		Director of Statutory Planning Unit
		Transport Planning Unit
		Chief Engineer, Traffic and Transportation
	Budget	Divisional Manager, SBSTC Durgapur	Assessments per the RTC Act of 1950 and the information provided to the team by South Bengal State Transport Corporation (SBSTC) Department
			Road Transport Corporation Act (1950)
	Regulatory authority	Sub-divisional Officer Motor Vehicles Department Durgapur	Regional Transport Authority Durgapur and Motor Vehicles Act 1988
			WB Motor Vehicles Rule (1989)
Siliguri	Budget	APO and	RTC Act of 1950 and the information provided to the team by North Bengal State Transport Corporation (NBSTC) Department
		Deputy Managing Director
	Planning	Planning cell SJDA	West Bengal Town & Country (Planning and Development) Act (1979) amendment 2013
		Area region planner	Transportation in Perspective Plan (2015)
			The Mobility Improvement Plan (2008)—Soft copy is not available
	Executive authority	Executive Engineer, SJDA	West Bengal Town and Country Planning Act (1979), 74th Amendment of Indian Constitution
			Road Transport Corporation Act (1950) https://indiacode.nic.in/bitstream/123456789/1541/1/195064.pdf
	Regulatory authority	ARTO Siliguri	Regional Transport Authority Durgapur and Motor Vehicles Act 1988 (source for MVA1988) : https://indiacode.nic.in/bitstream/123456789/1798/3/A1988-59.pdf
			WB Motor Vehicles Rule (1989) https://wbxpress.com/wp-content/uploads/2013/09/WB-MOTOR-VEHICLE-RULES-1989.pdf
			West Bengal Town & Country (Planning and Development) Act (1979) amendment 2013- Soft copy is not available
			Transportation in Perspective Plan (2015)—Soft copy is not available
			Mobility plan Siliguri—Soft copy is not available, available with concerned authority
			Additional Regional Transport Authority Motor Vehicles Act (1988) https://indiacode.nic.in/bitstream/123456789/1798/3/A1988-59.pdf
			Kolkota Traffic and Transportation master plan—Soft copy is not available, available with concerned authority
			CDP Trichy- Soft copy is not available, available with concerned authority
			CDP, Coimbatore (2014) https://payment.ccmc.gov.in/smartcity.asp
			CMP, Coimbatore (2015) (https://payment.ccmc.gov.in/smartcity.asp)
Kolkata	Planning	CEE, Kolkata Transportation Planning Department, KMDA	Traffic Transport Master Plan
		Planning Department, KMC and Simplex Infrastructure Lmt
Trichy	Policy	City Engineer	NMT and BRT proposals
		AEE, Abhishekapuram Zone	CDP
		Urban planner at ITDP
	Planning	Engineers at TCMC
		City Engineer
		AEE, Town Planning Dept
	Policy	City Engineer	CDP draft final report for TCMC
		AEE, Town Planning Dept, Main Office
		Citizen consumer and civic Action Group (CAG)
	Standards	City Engineer	Citizen consumer and civic Action Group (CAG)
		AEE, Abhishekapuram Zone
	Executive authority	AEE, Abhishekapuram Zone	Citizen consumer and civic Action Group (CAG)
	Budget	Citizen consumer and civic Action Group (CAG)
		Assistant Commissioner, Finance, TCMC
	Policy (Coimbatore)	Commissioner, Corporation of Coimbatore	CMP, CDP, Smart cities—NMT

Annexure 4.7: Guidance on Rating Indicators

TGI Toolkit (2018).

Annexure 4.8: Indicator Assessment Sheets for Each Indicator

Policy 1—Mandate and capacity of the policymaking body

Assessment Details

Policy 2—Effective functioning of the policymaking body

Policy 3—Transparency in the working of the policymaking body

Policy 4—Public participation in policymaking

Assessment Details

Planning 1—Planning mandate

Assessment Details

Planning 2—Capacity of the planning agency

Planning 3—Effective planning

Assessment Details

Planning 4—Transparency in the working of the planning agency

Planning 5—Public participation in planning

Planning 6—Legislative review of plans

Planning 7—Capacity of legislative committee for review of plans

Planning 8—Public participation in the legislative review

Planning 9—Engagement of consultants/advisory groups

Standards 1—Mandate of standards’ organizations

Standards 2—Functioning of standards’ organizations

Standards 3—Stakeholder consultations in standards’ setting

Standards 4—Enforcement of standards

Executing Authority 1—Staffing policies and capacity of the executing authority

Executing Authority 2—Effective functioning of the executing authority

Executing Authority 3—Performance-based incentives

Executing Authority 4—Reporting by the executing authority

Assessment Details

Executing Authority 5—Capacity for strategy and planning

Executing Authority 6—Project selection

Executing Authority 7—Public participation in project selection

Executing Authority 8—Project specification

Executing Authority 9—Public participation in project specification

Executing Authority 10—Project contracting process

Executing Authority 11—Project contract execution

Assessment Details

Executing Authority 12—Physical audit of projects

Executing Authority 13—Public participation in physical audits

Assessment Details

Executing Authority 14—Transparency during project execution

Executing Authority 15—Post-implementation review

Assessment Details

Executing Authority 16—Public participation in post-implementation review

Assessment Details

Executing Authority 17—Capacity for project contracting, specification, execution, audit and post-implementation review

Executing Authority 18—Environmental and social impact assessment of projects

Assessment Details

Executing Authority 19—Public participation in environmental and social impact assessment

Assessment Details

Executing Authority 20—Capacity for carrying out EIA and SIA

Budgeting 1—Budget Process

Budgeting 2—Capacity of budgeting team

Budgeting 3—Public inputs into the budget

Budgeting 4—Legislative review of budget

Budgeting 5—Budget re-allocation process

Budgeting 6—Public participation in the budget re-allocation process

Budgeting 7—Budget auditing

Regulatory Authority 1—Existence and neutrality of the regulatory authority

Regulatory Authority 2—Autonomy and mandate of the regulatory authority

Regulatory Authority 3—Capacity of the regulatory authority

Regulatory Authority 4—Clarity in functioning of the regulatory authority

Regulatory Authority 5—Public consultations in regulatory decision-making

Regulatory Authority 6—Re-negotiation/termination of contracts

Regulatory Authority 7—Tariff philosophy

Regulatory Authority 8—Public consultations during tariff revision

Regulatory Authority 9—Appeals process

Regulatory Authority 10—Publication of performance information by regulated entities

Regulatory Authority 11—Performance reporting by the regulator